Commentary to article 226. Violation of the requirements related to the liquidation of banks, insurance (reinsurance) organizations of the Code of the Republic of Kazakhstan on Administrative Offenses
1. Evasion of the chairman or head of a division of the liquidation commission from conducting an audit by the National Bank of the Republic of Kazakhstan of the activities of the liquidation commission or obstruction of its conduct -
entails a fine in the amount of twenty-five monthly calculation indices.
2. Repeated (two or more times within six consecutive calendar months) provision of false reports and information established by the banking legislation of the Republic of Kazakhstan, the legislation of the Republic of Kazakhstan on insurance and insurance activities, late provision, failure to provide reports and additional information established by the banking legislation of the Republic of Kazakhstan, the legislation of the Republic of Kazakhstan on insurance and insurance activities, Chairman, Head of the division of the Liquidation Commission of the National Bank of the Republic of Kazakhstan -
they entail a fine in the amount of fifty monthly calculation indices.
The commented article establishes administrative liability for violation of requirements related to the liquidation of banks and insurance (reinsurance) organizations.
The generic object of offenses provided for in Article 226 of the Administrative Code is the procedure established in the legislation of the Republic of Kazakhstan and protected by the state for conducting business in the field of finance.
The direct object of administrative offenses provided for in the commented article is the established procedure for the liquidation of banks and insurance (reinsurance) organizations.
The subjects of offenses provided for in Article 226 of the Administrative Code are the chairman of the liquidation commission of a bank or an insurance (reinsurance) organization or the head of a division of such a liquidation commission.
The subjective side of the acts provided for in Article 226 of the Administrative Code, for those who have committed offenses, is characterized by guilt in the form of intent. The guilt of a person is revealed by his mental attitude towards the illegal acts committed by him and their harmful consequences.
Part 1 of the commented article establishes administrative responsibility for evading the chairman or head of a division of the liquidation commission from conducting an audit by the National Bank of the Republic of Kazakhstan of the activities of the liquidation commission or obstructing its conduct.
The objective side of the offense provided for in Part 1 of Article 226 of the Administrative Code is that the offender commits guilty unlawful acts (inaction) in the form of:
1) evasion from conducting an audit by the National Bank of the Republic of Kazakhstan of the activities of the liquidation commission;
2) preventing the National Bank of the Republic of Kazakhstan from conducting an audit of the activities of the liquidation commission.
According to paragraphs 3) paragraph 1 of Article 74-4 of the Law of the Republic of Kazakhstan "On Banks and Banking Activities" and paragraphs 3) paragraph 1 of Article 73 of the Law of the Republic of Kazakhstan "On Insurance Activities", in order to monitor the activities of liquidation commissions of voluntarily and forcibly liquidated banks and insurance (reinsurance) organizations, including on the basis of The authorized body has the right to inspect the activities of liquidation commissions in accordance with the procedure established by the laws of the Republic of Kazakhstan.
Accordingly, the chairman of the liquidation commission or the head of its division is obliged to ensure that the authorized body conducts an audit of the activities of the liquidation commissions by allowing inspectors to the inspection facility, providing them with the necessary documents and information, and not obstructing such an audit.
Violation by obligated persons of the requirements imposed on them during the inspection forms the final composition of the offense provided for in Part 1 of the commented article.
The composition of the offense provided for in Part 1 of the commented article is formal. There is no reason to calculate and impose a fine on the offender under Part 1 of the commented article.
There is no need to establish the fact and amount of damage caused by the commission of an offense.
For committing an offense provided for in Part 1 of the commented article, a person is punished with a fine.
The fine for committing an offense under Part 1 of Article 226 of the Administrative Code is 25 MCI.
This penalty is imposed on the offender by the National Bank of the Republic of Kazakhstan or the court, in case the case is considered in court.
Part 2 of the commented article establishes administrative responsibility for the repeated provision of false reports and information established by the banking legislation of the Republic of Kazakhstan, the legislation of the Republic of Kazakhstan on insurance and insurance activities, late provision, failure to provide reports and additional information established by the banking legislation of the Republic of Kazakhstan, the legislation of the Republic of Kazakhstan on insurance and insurance activities, chairman, head of the division of the liquidation Commission to the National Bank of the Republic of Kazakhstan.
The objective side of the offense provided for in Part 2 of Article 226 of the Administrative Code is that the offender commits the guilty unlawful acts or omissions in the form of:
1) repeated (two or more times within six consecutive calendar months) provision of false reports and information established by the banking or insurance legislation of the Republic of Kazakhstan.
2) late provision of reports and additional information established by the banking or insurance legislation of the Republic of Kazakhstan.
3) failure to provide reports and additional information established by the banking or insurance legislation of the Republic of Kazakhstan.
According to paragraphs 3) paragraph 1 of Article 74-4 of the Law of the Republic of Kazakhstan "On Banks and Banking Activities" and paragraphs 3) paragraph 1 of Article 73 of the Law of the Republic of Kazakhstan "On Insurance Activities", in order to monitor the activities of liquidation commissions of voluntarily and forcibly liquidated banks and insurance (reinsurance) organizations, including on the basis of The authorized body has the right to receive reports from the liquidation commissions on the work done, and, if necessary, additional information.
Accordingly, the chairman of the liquidation commission or the head of its division is required to provide the National Bank with reports on the work done, and, if necessary, additional information at the request of the National Bank of the Republic of Kazakhstan.
Violation by obligated persons of the requirements imposed on them for the full and timely submission of reliable reports and additional information to the National Bank of the Republic of Kazakhstan at the request of the National Bank of the Republic of Kazakhstan forms the final composition of the offense provided for in Part 2 of the commented article.
The composition of the offense provided for in Part 2 of the commented article is formal. In order to calculate and impose a fine on an offender under Part 2 of the commented article, it is not necessary to establish the fact and amount of damage caused by the commission of an offense.
For committing an offense provided for in Part 2 of the commented article, a person is punished with a fine.
The amount of the fine for committing an offense under Part 2 of Article 226 of the Administrative Code is 50 MCI, is fixed and is not subject to change by the body imposing it.
This penalty is imposed on the offender by the National Bank of the Republic of Kazakhstan or the court, in case the case is considered in court.
Scientific and practical commentary to the Code of the Republic of Kazakhstan on Administrative Offences (article-by-article) from the Author's team:
Bachurin Sergey Nikolaevich, Candidate of Law, Associate Professor – chapter 48 (co-authored with E.M. Khakimov);
Gabdualiev Mereke Trekovich, Candidate of Law – Chapters 11, 21, 22, 23;
Zhusipbekova Ainur Maratovna, M.yu.n. – chapter 13 (co-authored with Karpekin A.V.); chapters 33, 39 (co-authored with Seitzhanov O.T.);
Alexander Vladimirovich Karpekin, Candidate of Law, Associate Professor – chapter 13 (in collaboration with A.M. Zhusipbekova);
Korneychuk Sergey Vasilyevich – chapters 2; chapter 6 (co-authored with O.T. Seitzhanov, E.M. Khakimov); chapter 8; chapter 25 (co-authored with E.M. Khakimov); articles 457-470, 488, 488-1, 491-506; chapters 28, 30, 52;
Ilya Petrovich Koryakin, Doctor of Law, Professor – Chapter 49;
Kisykova Gulnara Bauyrzhanovna, Candidate of Law – chapter 20;
Omarova Botagoz Akimgereevna, Candidate of Law – chapters 17; chapter 18 (co-authored with B.A. Parmankulova); chapters 26, 31; chapter 32 (co-authored with B.A. Parmankulova);
Parmankulova Bayan Askhanbaevna – chapter 18 (co-authored with Omarova B.A.); chapters 19, 32 (co-authored with Omarova B.A.); chapter 43 (co-authored with Tukiev A.S.);
Podoprigora Roman Anatolyevich, Doctor of Law, Professor - Chapter 24, articles 489, 489-1, 490;
Porokhov Evgeny Viktorovich, Doctor of Law – Chapters 14, 15, 16, 29, articles 471-475;
Seitzhanov Olzhas Temirzhanovich, Candidate of Law, Associate Professor, – chapter 4; chapter 5 (co-authored with E. M. Khakimov); chapter 6 (co-authored with S.V. Korneychuk, E.M. Khakimov); chapter 9; chapter 10 (co-authored with B.E. Shaimerdenov, V.V. Filin); chapter 33 (co-authored with Zhusipbekova A.M.); chapter 36 (co-authored with Shaimerdenov B.E.); chapter 39 (co-authored with Zhusipbekova A.M.);
Smyshlyaev Alexander Sergeevich, PhD. – chapters 38, 40, 42, 43-1 (co-authored with A.S. Tukiev); chapter 44;
Aslan Sultanovich Tukiev - Candidate of Law, Associate Professor – chapters 1, 3, 35; chapters 38, 40, 42, (co-authored with A.S. Smyshlyaev); chapter 43 (co-authored with B.A. Parmankulova); chapter 43-1 (co-authored with A.S. Smyshlyaev); chapter 44-1 (co-authored with Shipp D.A.); chapter 45; 46 (co-authored with Shipp D.A.); chapter 47;
Filin Vladimir Vladimirovich, Candidate of Law, Associate Professor – Chapter 10 (in collaboration with O.T. Seitzhanov, B.E. Shaimerdenov);
Yerzhan Maratovich Khakimov, M.yu.n. – chapter 5 (co-authored with O.T. Seitzhanov); chapter 6 (co-authored with O.T. Seitzhanov, S.V. Korneychuk); chapter 7; chapter 25 (co-authored with S.V. Korneychuk); chapters 34, 41; chapter 48 (co-authored with S.N. Bachurin); chapter 53;
Shaimerdenov Bolat Yerkenovich, M.yu.n., – chapter 10 (co-authored with O.T. Seitzhanov, V.V. Filin); chapter 12; articles 476-487, 507-509; chapter 36 (co-authored with O.T. Seitzhanov); chapters 37, 50, 51.
Shipp Denis Alekseevich – chapters 44-1, 46 (in collaboration with A.S. Tukiev).
Date of amendment of the act: 01.01.2020 Date of adoption of the act: 01.01.2020 Place of acceptance: 100050000000 Authority that adopted the act: 103001000000 Region of operation: 100000000000 NPA registration number assigned by the regulatory body: 5 Status of the act: new Sphere of legal relations: 029000000000 / 028000000000 / 029002000000 / 028004000000 / 029001000000 / 026000000000 / 001000000000 / 001008000000 / 030000000000 The form of the act: COMM / CODE Legal force: 1900 Language of the Act: rus
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