Authorized organization
12.01.2021
25-04-29/45
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Paragraph 33-1 of the Rules for Carrying out Exchange operations with Foreign Currency in Cash 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.
2. providing incorrect data in reports
2. providing incorrect data in reports
Статья/пункты НПА, Статья КоАП:
2. - Submission of unreliable, as well as incomplete report, according to the Annex 11-1 form to the NBK Board decree on September 24, 2014 No. 178 "On approval of the list, forms, deadlines for reporting by organizations performing the certain types of banking operations and the Rules for their submission"
Type of Enactments
1.
2. On submission financial and other reporting
2. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Таур Exchange" LLP
Authorized organization
12.01.2021
25-04-29/47
Limited enforcement action
Written prescription
The nature of a breach:
1. Paragraphs 49, 51, 54 of the Rules for Conducting Exchange Operations with Foreign Currency in Cash 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, were violated.
2. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime and the financing of terrorism in terms of providing information on transactions subject to financial monitoring, due diligence of clients (their representatives) and beneficial owners
2. Violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds from crime and the financing of terrorism in terms of providing information on transactions subject to financial monitoring, due diligence of clients (their representatives) and beneficial owners
Date of performance:
20.01.2021
Статья/пункты НПА, Статья КоАП:
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
12.01.2021
25-04-29/51
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Paragraph 33-1 of the Rules for Conducting Exchange Operations with Foreign Currency in Cash 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, was violated.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
12.01.2021
25-04-29/50
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Paragraph 33-1 of the Rules for Conducting Exchange Operations with Foreign Currency in Cash 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, was violated.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
23.12.2020
200000803000091
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
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
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
23.12.2020
200000803000090
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
"Фирма Александр и К" LLP
Authorized organization
31.12.2020
201900803000054
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
416 700
The nature of a breach:
1. violation of licensing standards, in terms of non-compliance with qualification requirements for licensed activities
Date of performance:
09.02.2021
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
"Mukan" LLP
Authorized organization
12.01.2021
25-04-29/46
Limited enforcement action
Written prescription
The nature of a breach:
1. Paragraph 33-1 of the Rules for Carrying out Exchange operations with Foreign Currency in Cash 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.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
10.12.2020
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 2
- Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
Authorized organization
28.12.2020
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
2. Статья: 464 Пункт: 1 - The Code of Administrative Offenses
Type of Enactments
1.
2. On requirenments for security and office space organization
2. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
