Collection agency
08.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. the deadline for reporting period
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
Пункт: пп.11 п.1
- The Law on Collection Activities
2. Статья: 2 - GO NB RK №112 of 30.06.2017
2. Статья: 2 - GO NB RK №112 of 30.06.2017
Type of Enactments
1. Law On collection activities
2. On issues of reporting by collection agencies
2. On issues of reporting by collection agencies
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
«MFO «Finance store» LLP
An organization engaged in microfinance activities
05.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation by organizations engaged in microfinance activities of the deadline for submission of financial or other statements provided for by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп. 9 п.2
- Of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
An organization engaged in microfinance activities
05.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation by organizations engaged in microfinance activities of the deadline for submission of financial or other statements provided for by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп. 9 п.2
- Of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
An organization engaged in microfinance activities
05.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation by organizations engaged in microfinance activities of the deadline for submission of financial or other statements provided for by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп. 9 п.2
- Of the Law of the Republic of Kazakhstan "On microfinance оrganizations"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
16.02.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
31.03.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
An organization engaged in microfinance activities
04.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
Authorized organization
29.01.2021
25-04-29/366
Limited enforcement action
Written prescription
The nature of a breach:
1. Paragraph 2 of Article 11 of the Law on Countering the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism in the absence of developed internal control rules
2. 1) Subparagraph 4) of paragraph 40 of Regulation No. 49, in the absence of developed internal control rules; 2) paragraph 41 of Regulation No. 49, regarding non-compliance with the requirements for storing cashiers ' own money in a specially designated room or cabinets located outside the premises of the operating cash register of the exchange office; 3) item 33-1 regulation No. 49, in part to ensure the availability of Bank accounts and cash exchange in the amount of not less than 100 (one hundred) percent of the minimum size of the authorized capital; 4) submission of incorrect data in the Reports on the structure of assets for the 2nd and 3rd quarters of 2020.
2. 1) Subparagraph 4) of paragraph 40 of Regulation No. 49, in the absence of developed internal control rules; 2) paragraph 41 of Regulation No. 49, regarding non-compliance with the requirements for storing cashiers ' own money in a specially designated room or cabinets located outside the premises of the operating cash register of the exchange office; 3) item 33-1 regulation No. 49, in part to ensure the availability of Bank accounts and cash exchange in the amount of not less than 100 (one hundred) percent of the minimum size of the authorized capital; 4) submission of incorrect data in the Reports on the structure of assets for the 2nd and 3rd quarters of 2020.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
28.01.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
01.03.2021
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Fala" LTD
Authorized organization
18.01.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
01.03.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 4
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Северо-Казахстанский филиал (Петропавловск)
"Eurasian Bank", JSC
Second tier banks
28.01.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
19.02.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 206
-
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
