Brocker-Dealers
28.08.2025
250000800000414
Sanctions and other administrative penalties
Warning
Punishment awarded:
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
Authorized organization
22.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
01.10.2025
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
22.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
01.10.2025
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
22.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
01.10.2025
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Authorized organization
18.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
14.09.2025
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 6
-
2. Статья: 13 -
2. Статья: 13 -
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
Authorized organization
18.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
14.09.2025
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 4
- The Code of Administrative Offenses
2. Статья: 5 Пункт: пункт 3, подпункт 1 -
2. Статья: 5 Пункт: пункт 3, подпункт 1 -
Type of Enactments
1.
2.
2.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
«ГУДВИН» LLP
Authorized organization
13.08.2025
253500800000031
Sanctions and other administrative penalties
Warning
Punishment awarded:
Warning
The nature of a breach:
1. Submission by an authorized organization of an unreliable 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.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
Authorized organization
03.09.2025
Supervisory response
Measures to improve financial condition and / or minimize risks (written prescription)
The nature of a breach:
Date of performance:
11.09.2025
Статья/пункты НПА, Статья КоАП:
1.
Статья: пункт 5
Пункт: приложения 6
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Восточно-Казахстанский филиал (Усть-Каменогорск)
Authorized organization
19.08.2025
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
28.09.2025
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Атырау-Валюта" LLP
Authorized organization
19.08.2025
252300800000170
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
58 980
The nature of a breach:
1. Submission by an authorized bank or an authorized organization of an incomplete and (or) unreliable report on the activities of carrying out 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: 8
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
