Authorized organization
31.05.2021
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
09.06.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 49, 54
-
2. Статья: 41 - Regulation No. 49
3. Статья: 51 Пункт: 2 -
2. Статья: 41 - Regulation No. 49
3. Статья: 51 Пункт: 2 -
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
An organization engaged in microfinance activities
17.05.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
«LOMBARD ALLIANCE EK» LLP
An organization engaged in microfinance activities
06.05.2021
215500803000020
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation other reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
«LOMBARD ALLIANCE EK» LLP
An organization engaged in microfinance activities
06.05.2021
215500803000019
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation financial reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
«Qaz Finance Lombard» LLP
An organization engaged in microfinance activities
06.05.2021
215500803000018
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation other reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
An organization engaged in microfinance activities
06.05.2021
215500803000016
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation other reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
«Qaz Finance Lombard» LLP
An organization engaged in microfinance activities
06.05.2021
215500803000017
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation financial reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
"Сағат" LLP
Authorized organization
20.05.2021
211900803000007
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
583400
The nature of a breach:
1. Failure of financial monitoring entities to take measures for proper verification of clients (their representatives) and beneficial owners
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Shinhan Bank Kazakhstan"
Second tier banks
28.04.2021
210000803000035
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 3
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Shinhan Bank Kazakhstan"
Second tier banks
28.04.2021
210000803000034
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 3
-
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
