Subsidiary JSC Bank VTB (Kazakhstan)
Second tier banks
29.09.2020
200000803000074
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
"Пилигрим-V" LLP
Authorized organization
28.09.2020
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
07.10.2020
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:
Костанайский филиал (Костанай)
"Имран Шу и К" LLP
Authorized organization
18.09.2020
203100803000015
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of the deadline for submitting a report on activities related to the organization of exchange operations with foreign currency in cash provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 5
-
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)
"Ақниет-Шу" LLP
Authorized organization
18.09.2020
203100803000016
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of the deadline for submitting a report on activities related to the organization of exchange operations with foreign currency in cash provided for by the regulatory legal act of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 218
Пункт: 5
-
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)
"Exchange NC"
Authorized organization
25.09.2020
Limited enforcement action
Қадағалап ден қоюдың ұсынымдық шаралары
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 филиал (Нур-Султан)
"Имран Шу и К" LLP
Authorized organization
08.09.2020
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Submission by an authorized organization of an incomplete and (or) inaccurate report on the activities of organizing exchange operations with foreign currency in cash, provided for 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:
Жамбылский филиал (Тараз)
"Имран Шу и К" LLP
Authorized organization
09.09.2020
203100803000013
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
administrative fine in the amount of 222,240
The nature of a breach:
1. violation of licensing standards, in terms of non-compliance with qualification requirements for licensed activities
Date of performance:
23.09.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Note:
Paid voluntarily on 23.09.2020. according to PP №198
Type of Enactments
1. On requirenments for security and office space organization
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
An organization engaged in microfinance activities
24.09.2020
Sanctions and other administrative penalties
Warning
The nature of a breach:
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:
Центральный филиал (Нур-Султан)
An organization engaged in microfinance activities
24.09.2020
Sanctions and other administrative penalties
Warning
The nature of a breach:
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:
Центральный филиал (Нур-Султан)
Authorized organization
21.09.2020
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
20.10.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 49, 54
-
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:
Западно-Казахстанский филиал (Уральск)
