"Таур Exchange" LLP
Authorized organization
24.02.2021
217500803000096
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
729 250 тenge
The nature of a breach:
1. Violation in the form of negligence by the subjects of financial monitoring is based on the relevant verification of clients (their representatives) and beneficiaries, which is repeated in the year after the imposition of the administrative request, the Republic of Kazakhstan is responsible for the 12th day of the month.
Date of performance:
18.04.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 5
Пункт: пп.1 п.3
- The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
Note:
Постановление СМАС г.Алматы №7528-21-00-3/6025 от 11.03.2021г.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
24.02.2021
25-04-29/870
Limited enforcement action
Written prescription
The nature of a breach:
1. Violated: paragraph 33-1; sub-paragraphs 7) and 8) of paragraph 39; sub-paragraph 4) of paragraph 40; paragraphs 42, 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.
2. Paragraph 3 of Article 5 of the Law of the Republic of Kazakhstan "On Countering the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" dated August 28, 2009 No. 191-IV was violated.
2. Paragraph 3 of Article 5 of the Law of the Republic of Kazakhstan "On Countering the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" dated August 28, 2009 No. 191-IV was violated.
Date of performance:
26.02.2021
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)
"Таур Exchange" LLP
Authorized organization
24.02.2021
217500803000098
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 020 950
The nature of a breach:
1. Violation in the form of non-fulfillment by organizations carrying out certain types of banking operations, the obligations assumed by them and (or) imposed on them through the application of a supervisory response measure in the form of a written order, responsibility for which is provided for in part 1 of Article 227 of the Code of the Republic of Kazakhstan on Administrative Offenses.
Date of performance:
18.04.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 49, 54
-
Note:
Постановление от 09.03.2021г.
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)
"Таур Exchange" LLP
Authorized organization
24.02.2021
217500803000097
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
729 250
The nature of a breach:
1. Нарушение в виде непринятия субъектами финансового мониторинга мер по надлежащей проверке клиентов (их представителей) и бенефициарных собственников, совершенное повторно в течение года после наложения административного взыскания, ответственность за которое предусмотрена частью 12 статьи 214 Кодекса Республики Казахстан об административных правонарушениях.
Date of performance:
18.04.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 5
Пункт: пп.1 п.3
- The Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and Financing of Terrorism"
Note:
Постановление СМАС г.Алматы №7528-21-00-3/6024 от 10.03.2021г.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
11.02.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
23.02.2021
Статья/пункты НПА, Статья КоАП:
1.
Статья: 464
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Concerning observance of requirements of licensing
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
An organization engaged in microfinance activities
04.02.2021
213100803000001
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation financial or other reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
An organization engaged in microfinance activities
18.02.2021
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
04.02.2021
211900803000003
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. Violation of terms for presentation financial or other reporting by microfinance organizations by the regulatory legal acts of the National Bank of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Филиал в области Жетісу (город Талдыкорган)
An organization engaged in microfinance activities
17.02.2021
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Violation by organizations engaged in microfinance activities of the deadlines for submission of financial or other statements provided for by regulatory legal acts of the National Bank of the Republic of Kazakhstan
Date of performance:
29.03.2021
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
08.02.2021
Sanctions and other administrative penalties
Warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1. Law of the Republic of Kazakhstan " on microfinance activities"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
