LLP "Лимон Эксчейндж"
Authorized organization
04.11.2020
25-04-29/3810
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.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Таур Exchange" LLP
Authorized organization
26.10.2020
207500803000355
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
427 812 tenge
The nature of a breach:
1. 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:
20.12.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Note:
Постановление СМАС г.Алматы №7528-20-00-3/22642 от 11.11.2020г.
Type of Enactments
1. Law of the Republic of Kazakhstan dated 28.08.2009 “On Counteracting Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism”, Rules for the organization of exchange operations with foreign currency in cash in the Republic of Kazakhsta
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Capital Bank Kazakhstan", JSC
Second tier banks
03.11.2020
200000803000078
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
833 400
The nature of a breach:
Date of performance:
03.12.2020
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
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
03.11.2020
200000803000079
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
833 400
The nature of a breach:
Date of performance:
03.12.2020
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
02.11.2020
201500803000011
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
222240
The nature of a breach:
Date of performance:
16.11.2020
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Актюбинский филиал (Актобе)
Authorized organization
28.09.2020
207500803000341
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
486 150
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, the lack of developed internal control rules.
Date of performance:
30.11.2020
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
An organization engaged in microfinance activities
30.10.2020
207500803000368
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
30.10.2020
207500803000371
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
30.10.2020
207500803000367
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
30.10.2020
207500803000369
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)
