"Samat-BB" LLP
Authorized organization
29.11.2019
№ 59-3-29/1689
Limited enforcement action
Written prescription
The nature of a breach:
1. There was no armed guard post.
Date of performance:
05.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 1
- The Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
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)
"Microfinancial organization "Veles" LLP
An organization engaged in microfinance activities
14.05.2018
№59-8-32/1354
Limited enforcement action
Written warning
The nature of a breach:
1. forced norm isn't observed
Статья/пункты НПА, Статья КоАП:
1.
Статья: 7
Пункт: пп.8 п.2
- The Law of the Republic of Kazakhstan "On Microfinance Organizations".
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
"STATUS LOGISTICHESKIY" LLP
Authorized organization
29.11.2019
№ 59-3-29/1688
Limited enforcement action
Written prescription
The nature of a breach:
1. There was no armed guard post. Video surveillance does not comply
Date of performance:
05.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 11
Пункт: 1, 2
- The Rules for the organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49.
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)
"Microfinancial organization "Veles" LLP
An organization engaged in microfinance activities
14.05.2018
№59-8-32/1353
Limited enforcement action
Written prescription
The nature of a breach:
1. identity of the reporting data is not secured in electronic format versus data on paper
Статья/пункты НПА, Статья КоАП:
1.
Статья: 15
- The Resolution of the NBK No. 382 of December 24, 2012
2. Статья: 23 - The Resolution of the NBK No. 381 of December 24, 2012
3. Статья: 5 - Annex 6 of the Resolution of the NBK No. 272 of 28.11.2016
4. Статья: 5 - The Resolution of the NBK No. 41 of January 28
2. Статья: 23 - The Resolution of the NBK No. 381 of December 24, 2012
3. Статья: 5 - Annex 6 of the Resolution of the NBK No. 272 of 28.11.2016
4. Статья: 5 - The Resolution of the NBK No. 41 of January 28
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Костанайский филиал (Костанай)
"Обменный пункт "МЕР-НУР" LLP
Authorized organization
24.12.2019
197500803000537
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
555500
The nature of a breach:
1. Violation by the entities of financial monitoring of the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of criminally obtained incomes and the financing of terrorism in terms of documenting, storing and providing information about transactions subject to financial monitoring, their clients, due diligence of clients (their representatives) and beneficial owners, suspension and refusal to conduct operations subject to financial monitoring, protection of documents received in the process its activities
Date of performance:
24.02.2020
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 1
- The Code of Administrative Offenses
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Обменный пункт "МЕР-НУР" LLP
Authorized organization
05.02.2020
25-04-18/420
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance with the requirements of the Rules of organization of exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the resolution of the Board of the National Bank of Kazakhstan dated April 4, 2019 No. 49; Failure to comply with the requirements of the legislation on combating the legalization (laundering) of proceeds from crime and the financing of terrorism, when conducting transactions on the purchase, sale and exchange of foreign currency in exchange offices.
Date of performance:
12.02.2020
Статья/пункты НПА, Статья КоАП:
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: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
2. Статья: 5 - Of the Law “On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism” of 28.08.2009
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
«MFO «Finance store» LLP
An organization engaged in microfinance activities
15.05.2018
52-14-23/2419
Limited enforcement action
Written prescription
The nature of a breach:
1. untimely submission of reports to the authorized body
Date of performance:
31.05.2018
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)
"Microfinancial organization "Tumar" LLP
An organization engaged in microfinance activities
15.05.2018
52-14-23/2418
Limited enforcement action
Written warning
The nature of a breach:
1. violation of the amount of equity and the coefficients k1, k2 and k3 are violated
Date of performance:
31.05.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 4, 5, 10, 12
- Prudential standards and other binding norms for microfinance organization limits and the method of their calculation , as well as forms and terms of reporting on their implementation
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
"Microfinancial organization "1Kredit" LLP
An organization engaged in microfinance activities
16.05.2018
52-14-11/2447
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
15.06.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 28
- In accordance with the standard 28 of the Law of the Republic of Kazakhstan "On Microfinance Organizations" in accordance with the requirements of the legislation of the Republic of Kazakhstan and regulatory legal acts of the authorized body.
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Алматинский городской филиал (Алматы)
Microfinancial organization " MAX-M " LLP
An organization engaged in microfinance activities
17.05.2018
58-12-12/1929
Limited enforcement action
Written warning
The nature of a breach:
1. For untimely submission of reporting of the Rules, approved by the Resolution No41 of 28 January 2016 of the Board of the NBRK
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. The Law "On Microfinance Organizations"
Name of Regional Branch of National Bank of Kazakhstan / Department:
Карагандинский филиал (Караганда)
