Measures being imposed

25.12.2021

1. Статья: 227 Пункт: 1 - The Civil Code of the Republic of Kazakhstan

1. Non-fulfillment, untimely fulfillment of obligations accepted and (or) imposed by applying restrictive enforcement measures

Центральный аппарат

1. в нарушении порядка покупки и (или) продажи безналичной иностранной валюты на внутреннем валютном рынке Республики Казахстан, установленного нормативным правовым актом Национального Банка Республики Казахстан

1. Статья: 252 Пункт: 1-1 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

408380

1. failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners, responsibility for which is provided for in part 4 of Article 214 of the Code of the Republic of Kazakhstan on Administrative Offenses

14.10.2021

1. Статья: 214 Пункт: 4 - The Code of Administrative Offenses

Resolution No. 7528-21-00-3/24019 of the Specialized Interdistrict Court for Administrative Offenses of the City of Almaty dated 13.10.2021

1.

Алматинский городской филиал (Алматы)

Warning

1. Submission of an incomplete and (or) inaccurate report by an authorized bank or a professional participant of the securities market carrying out foreign exchange transactions on behalf of clients for the purpose of monitoring sources of supply and demand in the domestic foreign exchange market of the Republic of Kazakhstan, provided for by a regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 218 Пункт: 3 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

Warning

1. Статья: 252 Пункт: 1-1 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

Warning

1. Violation by a currency control agent of the deadline for submitting a report on foreign exchange contracts for export or import, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 217 Пункт: 5 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

Warning

1. Submission by the currency control agent of an incomplete and (or) inaccurate report on the notification of the conducted currency transactions, provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan

1. Статья: 217 Пункт: 3 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

1. violation of paragraph 33-1 of the Rules for Carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by Resolution No. 49 of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019

20.09.2021

1. Статья: 33-1 -

1.

Алматинский городской филиал (Алматы)

1. Violation of terms for presentation financial or other reporting by financial organizations, an organization guaranteeing the insurance payments, microfinance organizations, collection agencies, credit bureaus and payment organizations provided by the regulatory legal acts of the National Bank of the Republic of Kazakhstan, shall

1. Статья: 212 Пункт: 1 - Of the Code of the Republic of Kazakhstan "on administrative offences"

1. On submission financial and other reporting

Туркестанский филиал (Туркестан)

408380

1. failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners, responsibility for which is provided for in part 4 of Article 214 of the Code of the Republic of Kazakhstan on Administrative Offenses

20.10.2021

1. Статья: 214 Пункт: 4 - The Code of Administrative Offenses

Resolution No. 7528-20-00-3/22363 of the Specialized Interdistrict Court for Administrative Offenses of the City of Almaty dated 09/20/2021 the fine was paid by "Azia Exchange" LLP on 05.10.2021 in the amount of 408 380 tenge

1.

Алматинский городской филиал (Алматы)