Measures being imposed

1. unreliable report for May 2019

1. Статья: 56 -

1. Қазақстан Республикасында қолма-қол шетел валютасымен айырбастау операцияларын ұйымдастыру қағидалары №144

Северо-Казахстанский филиал (Петропавловск)

1. there is no legal address in the register journal for transactions over 500 thousand
2. the register log does not comply with Appendix 11 of Rules 49
3. number and time of issue are not available
4. misstatement of financial statements,
5. List of accounts that do not comply with TPN 79

16.11.2020

1. Статья: 51 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
2. Статья: 49 - Of the Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan No. 49 dated 04.04.2019
3. Статья: 41 - Of the Resolution of Board of National Bank of the Republic of Kazakhstan from July 16, 2014 № 144 "On approval of Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan"

5. Статья: 6 Пункт: 2 - Law of the RK "On Accounting and financial reporting"

1. Concerning observance of requirements of the foreign exchange legislation
4. The Law of the RK «On Accounting and Financial Reporting»

Северо-Казахстанский филиал (Петропавловск)

22.11.2020

1. Статья: 217 Пункт: 6 -

1. Concerning observance of requirements of the foreign exchange legislation

Центральный аппарат

416700

1. Impeding to civil servants of the state inspections and bodies of state control and supervision in performing their official duties in accordance with their competence being expressed in a refusal to represent necessary documents, materials, statistical (with the exception of the primary statistics) and other details, information on the activity, on incomes, on equipping by instruments for metering the energy resources, volume of consumption and losses of energy resources, water, on calculation and payment of insurance contributions, on use of nuclear energy, in a refusal of access for conducting the revisions, inspection, inventory, examination under the regulation of the authorized body and other actions provided by the legislation, or in creation of another obstacle in their carrying out, or provision of inaccurate information, shall

1. Статья: 462 Пункт: 1 -

1.

Туркестанский филиал (Туркестан)

1. Presentation of incomplete and (or) 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

1. Статья: 218 Пункт: 7 -

1. Organization of exchange operations with cash foreign currency

Жамбылский филиал (Тараз)

administrative fine in the amount of 222,240 tenge

1. violation of licensing standards, in terms of non-compliance with qualification requirements for licensed activities

09.10.2020

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

Paid voluntarily on 09.10.2020.

1. Organization of exchange operations with cash foreign currency

Жамбылский филиал (Тараз)

administrative fine in the amount of 222,240 tenge

1. violation of licensing standards, in terms of non-compliance with qualification requirements for licensed activities

13.10.2020

1. Статья: 464 Пункт: 1 - The Code of Administrative Offenses

Paid voluntarily on 13.10.2020

1. Organization of exchange operations with cash foreign currency

Жамбылский филиал (Тараз)

administrative fine in the amount of 41 670 tenge

1. Violation by an authorized organization of the deadline for submission of a report on the activities of organizing exchange operations with foreign currency in cash, as provided for by the regulatory legal act of the National Bank

27.10.2020

1. Статья: 218 Пункт: 6 -

Payment order № 13 of 27.10.2020 was paid voluntarily.

1. Organization of exchange operations with cash foreign currency

Жамбылский филиал (Тараз)

427 812 tenge

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 conducting due diligence of clients (their representatives) and beneficial owners

15.12.2020

1. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Постановление СМАС г.Алматы №7528-20-00-3/21659 от 06.11.2020г.

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

Алматинский городской филиал (Алматы)

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

1. On submission financial and other reporting

Филиал в области Жетісу (город Талдыкорган)