АО "Алатау Жарык Компаниясы"
Issuer
24.10.2013
130000803000230
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
86550
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation to submit the information, reporting and information on the terms and conditionsdetermined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 191
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"First Heartland Securities", JSC
Issuer
02.04.2012
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Microfinance organization "Atameken Taraz" LLP
An organization engaged in microfinance activities
06.09.2018
183100803000053
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
240500
The nature of a breach:
1. inaccurate accounting by loan
Date of performance:
16.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Note:
completed by letter №117 from 25.09.2018 year.
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Жамбылский филиал (Тараз)
"Microfinancial organization "Alliance Horde Finance" LLP
An organization engaged in microfinance activities
07.09.2018
65-40-12/3085
Limited enforcement action
Written prescription
The nature of a breach:
1. inconsistency of the Microcredit Agreement with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
05.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 4
Пункт: 5
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
2. Статья: 4 Пункт: пп.2-1 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
3. Статья: 6 Пункт: 1-1 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
4. Статья: 7 Пункт: пп.1,2 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
5. Статья: 9-1 Пункт: 6, 7 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
2. Статья: 4 Пункт: пп.2-1 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
3. Статья: 6 Пункт: 1-1 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
4. Статья: 7 Пункт: пп.1,2 п.3 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
5. Статья: 9-1 Пункт: 6, 7 - The Law «Оn Microfinance Organizations» dated 26 November, 2012 No.56-V
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
«Microfinancial organization «Makhambet» LLP
An organization engaged in microfinance activities
07.09.2018
54-09-12/2025
Limited enforcement action
Written prescription
The nature of a breach:
1. Based on the results of the performed activity audit of MFO
Date of performance:
01.10.2018
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Атырауский филиал (Атырау)
"Microfinancial organization "∑parta Capital" LLP
An organization engaged in microfinance activities
12.09.2018
65-40-12/3130
Limited enforcement action
Written prescription
The nature of a breach:
1. non-reliable reporting
Date of performance:
10.10.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 22
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
JSC "Группа компаний "RESMI"
Issuer
22.08.2013
130000803000182
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519300
The nature of a breach:
1. Official committed an administrative offense, expressed in a violation by the Issuer of the terms and procedure of placement of the issued securities, established by the legislation of the Republic of Kazakhstan (Batyrgozhyn N. K.)
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196-1
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
LLP "Мicrofinance organization" MiG Credit Astana"
An organization engaged in microfinance activities
13.09.2018
3-21027/2018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1683500,00
The nature of a breach:
1. incorrect execution of the MFI Borrower's Consent
Статья/пункты НПА, Статья КоАП:
1.
Статья: 208
Пункт: 2
- The Code of Administrative Offenses
Type of Enactments
1. On Credit Bureaus and Formation of Credit Histories in the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный филиал (Нур-Султан)
JSC "Группа компаний "RESMI"
Issuer
22.08.2013
130000803000181
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
692400
The nature of a breach:
1. Administrative sanction was applied in a violation by the Issuer of the terms and procedure of placement of the issued securities, established by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196-1
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"First Heartland Securities", JSC
Issuer
29.08.2013
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200,00
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
