"BM Exchange" LLP
Authorized organization
13.04.2021
213100803000007
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Presentation of unreliable report on activities for organizing of exchange operations with cash foreign currency by an authorized organization, provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
LLP "Шу-Жібек Жолы"
Authorized organization
09.04.2021
213100803000006
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Presentation of unreliable report on activities for organizing of exchange operations with cash foreign currency by an authorized organization, provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Capital Bank Kazakhstan", JSC
Second tier banks
19.04.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
19.05.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 213
Пункт: 5
- Of the code of the Republic of Kazakhstan «on Administrative Infractions»
Type of Enactments
1. Cconcerning accomplishment of minimum reserve requirements' standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Authorized organization
16.04.2021
31-3-27/258
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
14.05.2021
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Западно-Казахстанский филиал (Уральск)
"Сағат" LLP
Authorized organization
16.04.2021
27-03-24/270
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. Violation of paragraph 49 and paragraph 51 of the Rules for Conducting Exchange Operations with Foreign currency in cash in the Republic of Kazakhstan
2. Violation of Article 5, paragraph 3, of the AML/CFT Law
2. Violation of Article 5, paragraph 3, of the AML/CFT Law
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Organization of exchange operations with cash foreign currency
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
Subsidiary Bank "Bank of China in Kazakhstan", JSC
Second tier banks
07.04.2021
210000803000021
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
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:
Центральный аппарат
Currency Exchange Capitalist LLP
Authorized organization
31.03.2021
215500803000007
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Presentation of unreliable report on activities for organizing of exchange operations with cash foreign currency by an authorized organization, provided by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 7
-
Type of Enactments
1. Organization of exchange operations with cash foreign currency
Name of Regional Branch of National Bank of Kazakhstan / Department:
Павлодарский филиал (Павлодар)
Authorized organization
14.04.2021
217500803000145
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
408380
The nature of a breach:
1. failure of financial monitoring entities to provide information on transactions with money and (or) other property subject to financial monitoring, provided for in paragraph 1 of Article 4 of the Law of the Republic of Kazakhstan "On Countering the legalization (laundering) of proceeds from crime and the financing of terrorism", responsibility for which is provided for in part 8 of Article 214 of the Code of the Republic of Kazakhstan on Administrative Offenses.
Date of performance:
30.05.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 8
- The Code of Administrative Offenses
Note:
Resolution of the Specialized Interdistrict Administrative Court of Almaty No. 7528-21-4-1/10251 dated 30.04.2021. The fine was paid by Real Exchange LLP on 14.05.2021 in the amount of 408 380 tenge
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
02.04.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
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:
Шымкентский филиал (Шымкент)
Authorized organization
13.04.2021
25-04-27/1421
Limited enforcement action
Written prescription
The nature of a breach:
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
Date of performance:
20.04.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 33-1
-
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:
Алматинский городской филиал (Алматы)
