Measures being imposed

LLP "Фаэтон"

Authorized organization

27.11.2019

193100803000025

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

202 000

The nature of a breach:

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

Статья/пункты НПА, Статья КоАП:

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

Note:

Paid 12.12.2019.

Type of Enactments

1. Concerning observance of requirements of licensing

Name of Regional Branch of National Bank of Kazakhstan / Department:

Жамбылский филиал (Тараз)

Petrovskoye JSC

Issuer

22.11.2019

40-4-17/1609

Limited enforcement action

Written prescription

The nature of a breach:

1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", article 41, paragraph 1

Date of performance:

23.12.2019

Статья/пункты НПА, Статья КоАП:

1. Статья: 41 Пункт: 1 - Of the Law «On joint stock companies»

Type of Enactments

1. Concerning regulation of financial sector

Name of Regional Branch of National Bank of Kazakhstan / Department:

Центральный аппарат

"Галант-Тараз-Люкс" LLP

Authorized organization

27.11.2019

193100803000026

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

202 000

The nature of a breach:

1. violation of the laws of the Republic of Kazakhstan licensing standards, including inconsistency qualification requirements to licensed kinds of activity

Статья/пункты НПА, Статья КоАП:

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

Note:

Paid 24.12.2019

Type of Enactments

1. Concerning observance of requirements of licensing

Name of Regional Branch of National Bank of Kazakhstan / Department:

Жамбылский филиал (Тараз)

Petrovskoye JSC

Issuer

22.11.2019

40-4-17/1610

Limited enforcement action

Written prescription

The nature of a breach:

1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102

Date of performance:

09.12.2019

Статья/пункты НПА, Статья КоАП:

1. Статья: 102 Пункт: 5 - Law of the Republic of Kazakhstan "On Securities Market"

Type of Enactments

1. Concerning regulation of financial sector

Name of Regional Branch of National Bank of Kazakhstan / Department:

Центральный аппарат

«West money» LTD

Authorized organization

28.11.2019

192300803000046

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000033, №192300803000036, №192300803000037, №192300803000040, №192300803000041, №192300803000046. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000045

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 10, 2019 according to the protocols №192300803000043, №192300803000045. Fine 308 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

JSC "АИФРИ "Nomade Investments Group"

Issuer

26.11.2019

40-4-17/1625

Limited enforcement action

Written warning

The nature of a breach:

1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102

Статья/пункты НПА, Статья КоАП:

1. Статья: 102 Пункт: пп.3 п.2 - Law of the Republic of Kazakhstan "On Securities Market"

Type of Enactments

1. Concerning regulation of financial sector

Name of Regional Branch of National Bank of Kazakhstan / Department:

Центральный аппарат

«West money» LTD

Authorized organization

28.11.2019

192300803000044

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000030, №192300803000032, №192300803000035, №192300803000038, №192300803000039, №192300803000044. Fine 924 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000043

Sanctions and other administrative penalties

Fine imposed under administrative law

Punishment awarded:

777700,00 тенге

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 10, 2019 according to the protocols №192300803000043, №192300803000045. Fine 308 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)

«West money» LTD

Authorized organization

28.11.2019

192300803000042

Sanctions and other administrative penalties

Fine imposed under administrative law

The nature of a breach:

1. Violation of paragraph 2 of Article 10 of the AML / CFT Law;
2. Part 1 of Article 214 of the Code of Administrative Offenses

Статья/пункты НПА, Статья КоАП:

1. Статья: 10 Пункт: 2 - AML / CFT Law
2. Статья: 214 Пункт: 1 - The Code of Administrative Offenses

Note:

General Decision of December 9, 2019 according to the protocols №192300803000034, №192300803000031, №192300803000042. Fine 462 MCI.

Type of Enactments

1.

Name of Regional Branch of National Bank of Kazakhstan / Department:

Атырауский филиал (Атырау)