Collection agency
13.08.2020
207500803000265
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)
Collection agency
13.08.2020
207500803000259
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)
"AZIZA" LLP
Authorized organization
10.07.2020
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
The nature of a breach:
1. Non-compliance with the requirements of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the resolution of the Board of the National Bank of Kazakhstan dated April 4, 2019 No. 49; Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
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:
Карагандинский филиал (Караганда)
An organization engaged in microfinance activities
11.06.2020
204300803000010
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
55560
The nature of a breach:
1. non-presentation of financial and other reporting by microfinancial organizations within established term, the presentation of which is required in accordance with the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Date of performance:
21.07.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 2
- 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:
Кызылординский филиал (Кызылорда)
Authorized organization
09.06.2020
38-03-31/848
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance:
01.07.2020
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:
Шымкентский филиал (Шымкент)
Authorized organization
05.06.2020
38-03-31/840
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance:
01.07.2020
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:
Шымкентский филиал (Шымкент)
Authorized organization
05.06.2020
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
222240
The nature of a breach:
1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity
Date of performance:
15.07.2020
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)
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
18.04.2013
66-4-2/10/606
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
18.04.2013
66-4-1-10/645
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Brocker-Dealers
22.04.2013
66-4-1-10/684
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
