LAW OF THE REPUBLIC OF KAZAKHSTAN

of May 13, 2020 No. 325-VI ZRK

About modification and amendments in some legal acts of the Republic of Kazakhstan concerning counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

Article 1. Make changes and additions to the following legal acts of the Republic of Kazakhstan:

1. In the Code of the Republic of Kazakhstan about administrative offenses of July 5, 2014 (The sheet of Parliament of the Republic of Kazakhstan, 2014, No. 18-І, 18-II, Art. 92; No. 21, Art. 122; No. 23, Art. 143; No. 24, Art. 145, 146; 2015, No. 1, Art. 2; No. 2, Art. 6; No. 7, Art. 33; No. 8, Art. 44, 45; No. 9, Art. 46; No. 10, Art. 50; No. 11, Art. 52; No. 14, Art. 71; No. 15, Art. 78; No. 16, Art. 79; No. 19-І, Art. 101; No. 19-II, Art. 102, 103, 105; No. 20-IV, Art. 113; No. 20-VI І, Art. 115; No. 21-І, Art. 124, 125; No. 21-II, Art. 130; No. 21-III, Art. 137; No. 22-І, Art. 140, 141, 143; No. 22-II, Art. 144, 145, 148; No. 22-III, Art. 149; No. 22-V, Art. 152, 156, 158; No. 22-VI, Art. 159; No. 22-VII, Art. 161; No. 23-І, Art. 166, 169; No. 23-II, Art. 172; 2016, No. 1, Art. 4; No. 2, Art. 9; No. 6, Art. 45; No. 7-І, Art. 49, 50; No. 7-II, Art. 53, 57; No. 8-І, Art. 62, 65; No. 8-I І, Art. 66, 67, 68, 70, 72; No. 12, Art. 87; No. 22, Art. 116; No. 23, Art. 118; No. 24, Art. 124, 126, 131; 2017, No. 1-2, of Art. 3; No. 9, Art. 17, 18, 21, 22; No. 12, Art. 34; No. 14, Art. 49, 50, 54; No. 15, Art. 55; No. 16, Art. 56; No. 22-III, Art. 109; No. 23-III, Art. 111; No. 23-V, Art. 113; No. 24, Art. 114, 115; 2018, No. 1, Art. 4; No. 7-8, of Art. 22; No. 9, Art. 27; No. 10, Art. 32; No. 11, Art. 36, 37; No. 12, Art. 39; No. 13, Art. 41; No. 14, Art. 44; No. 15, Art. 46, 49, 50; No. 16, Art. 53; No. 19, Art. 62; No. 22, Art. 82; No. 23, Art. 91; No. 24, Art. 93, 94; 2019, No. 1, Art. 2, 4; No. 2, Art. 6; No. 5-6, of Art. 27; No. 7, Art. 36, 37; No. 8, Art. 45; No. 15-16, of Art. 67; No. 19-20, of Art. 86; Art. No. 21-22, 90, 91; No. 23, Art. 99, 103, 106, 108; No. 24-І, Art. 118; No. 24-II, Art. 120, 122, 123, 127):

Heading of Article 149 to state 1) in table of contents in the following edition:

"Article 149. Non-execution and (or) improper execution of obligations on ensuring anti-terrorist security of object, vulnerable in the terrorist relation";

Heading and paragraph one of part one of Article 149 to state 2) in the following edition:

"Article 149. Non-execution and (or) improper execution of obligations on ensuring anti-terrorist security of object, vulnerable in the terrorist relation

1. Non-execution and (or) improper execution by the owner, owner, head or other official of object, vulnerable in the terrorist relation, or the subject of security activities which signed the agreement on rendering security services in object, vulnerable in the terrorist relation, obligations on ensuring anti-terrorist security of object -";

Article 214 to state 3) in the following edition:

"Article 214. Violation of the law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

1. Violation by subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism regarding fixation of data, storage of data and documents, protection of documents

attracts penalty on physical persons in the amount of twenty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of fifty, on subjects of medium business - in the amount of hundred fifty, on subjects of big business - in the amount of two hundred monthly settlement indicators.

2. Failure to provide, untimely provision by subjects of financial monitoring of information on the transactions with money and (or) other property which are subject to financial monitoring, provided by Items 3 and 5 of article 4 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

attract penalty on physical persons in the amount of fifty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred forty, on subjects of medium business - in the amount of two hundred twenty, on subjects of big business - in the amount of four hundred monthly settlement indicators.

3. Failure to provide, untimely provision by subjects of financial monitoring of information, data and documents at the request of authorized body on financial monitoring

attract penalty on physical persons in the amount of thirty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of eighty, on subjects of medium business - in the amount of two hundred, on subjects of big business - in the amount of three hundred monthly settlement indicators.

4. Rejection by subjects of financial monitoring of measures for proper check of clients (their representatives) and beneficial owners

attracts penalty on physical persons in the amount of thirty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of eighty, on subjects of medium business - in the amount of two hundred, on subjects of big business - in the amount of three hundred monthly settlement indicators.

5. Violation by subjects of financial monitoring of the legislation of the Republic of Kazakhstan on counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism regarding taking measures to freezing of transactions with money and (or) other property and (or) provisions of information on measures for freezing of transactions with money and (or) other property

attracts penalty on physical persons in the amount of fifty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred forty, on subjects of medium business - in the amount of two hundred twenty, on subjects of big business - in the amount of four hundred monthly settlement indicators.

6. Non-execution by subjects of financial monitoring of obligations on refusal to the client in establishment of business relations and carrying out transactions with money and (or) other property and (or) to provision of information on refusals in establishment of business relations and carrying out transactions with money and (or) other property

attracts penalty on physical persons in the amount of thirty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of eighty, on subjects of medium business - in the amount of two hundred, on subjects of big business - in the amount of three hundred monthly settlement indicators.

7. Non-execution by subjects of financial monitoring of the program of preparation and training in the field of counteraction of the legalization (washing) of income gained in the criminal way, and to financing of terrorism approved by rules of internal control

attracts penalty on physical persons in the amount of twenty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of fifty, on subjects of medium business - in the amount of hundred fifty, on subjects of big business - in the amount of two hundred monthly settlement indicators.

8. Failure to provide, untimely provision by subjects of financial monitoring of information on the transactions with money and (or) other property which are subject to financial monitoring, stipulated in Item 1 article 4 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

attract penalty on physical persons in the amount of thirty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of eighty, on subjects of medium business - in the amount of two hundred, on subjects of big business - in the amount of three hundred monthly settlement indicators.

9. Not suspension of transactions of clients by subjects of financial monitoring according to the decision of authorized body on financial monitoring

attracts penalty on physical persons in the amount of fifty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred forty, on subjects of medium business - in the amount of two hundred twenty, on subjects of big business - in the amount of four hundred monthly settlement indicators.

10. Non-execution by subjects of financial monitoring of obligations on development and adoption of rules of internal control and programs of its implementation or discrepancy of rules of internal control to requirements of the legislation of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

attracts penalty on physical persons in the amount of eighty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred thirty, on subjects of medium business - in the amount of two hundred thirty, on subjects of big business - in the amount of five hundred monthly settlement indicators.

11. The notice subjects of financial monitoring of the clients and other persons about provision in authorized body on financial monitoring of information

attracts penalty on physical persons in the amount of fifty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred forty, on subjects of medium business - in the amount of two hundred twenty, on subjects of big business - in the amount of four hundred forty monthly settlement indicators.

12. The actions (failure to act) provided by parts one, the second, third, fourth, fifth, sixth, seventh, ninth, tenth and eleventh this Article, made repeatedly within year after imposing of administrative punishment

attract penalty on physical persons in the amount of hundred, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of hundred fifty, on subjects of medium business - in the amount of two hundred fifty, on subjects of big business - in the amount of six hundred monthly settlement indicators.

13. The actions (failure to act) provided by parts one, the second, third, fourth, fifth, sixth, seventh, ninth, tenth and eleventh this Article, committed three and more times within year after imposing of administrative punishment

attract penalty on physical persons in the amount of hundred fifty, on officials, notaries and lawyers, small business entities, non-profit organizations - in the amount of three hundred, on subjects of medium business - in the amount of six hundred, on subjects of big business - in the amount of one thousand two hundred monthly settlement indicators with suspension of action of the license or competence certificate (certificate) for a period of up to six months or their deprivation or suspension of operations for a period of up to three months.";

The subitem 2) to state 4) to part nine of Article 247 in the following edition:

"2) not elimination within three months of the reasons on which the precautionary letter of authorized body is taken out;";

5) in Article 804:

add part one with subitem 27-1) of the following content:

"27-1) authorized body performing financial monitoring (Article 214 (when these violations are made by the legal consultants, the independent legal issues specialists, individual entrepreneurs and legal entities performing leasing activities as the lessor without license, rendering intermediary services when implementing transactions of purchase and sale of real estate, performing transactions with precious metals and gemstones, jewelry from them, the accounting organizations and professional accountants performing business activity in the field of financial accounting), 463 (when these violations are made by legal consultants, the independent legal issues specialists, individual entrepreneurs and legal entities performing leasing activities as the lessor without license rendering intermediary services when implementing transactions of purchase and sale of real estate, performing transactions with precious metals and gemstones, jewelry from them);";

in part two of the word "and the fourth" shall be replaced with words ", the fourth, the fifth, the sixth, the seventh, the eighth, the ninth, the tenth, eleventh and twelfth";

regarding 2-1 word "and the fourth" shall be replaced with words ", the fourth, the fifth, the sixth, the seventh, the eighth, the ninth, the tenth, eleventh and twelfth".

2. In the Entrepreneurial code of the Republic of Kazakhstan of October 29, 2015 (The sheet of Parliament of the Republic of Kazakhstan, 2015, No. 20-II, 20-III, Art. 112; 2016, No. 1, Art. 4; No. 6, Art. 45; No. 7-II, Art. 55; No. 8-І, Art. 62, 65; No. 8-II, Art. 72; No. 12, Art. 87; No. 23, Art. 118; No. 24, Art. 124, 126; 2017, No. 9, Art. 21; No. 14, Art. 50, 51; No. 22-III, Art. 109; No. 23-III, Art. 111; No. 23-V, Art. 113; No. 24, Art. 115; 2018, No. 10, Art. 32; No. 11, Art. 37; No. 14, Art. 44; No. 15, Art. 46, 49, 50; No. 19, Art. 62; No. 22, Art. 82, 83; No. 24, Art. 94; 2019, No. 2, Art. 6; No. 5-6, of Art. 27; No. 7, Art. 37, 39; No. 8, Art. 45; No. 15-16, of Art. 67; No. 19-20, of Art. 86; Art. No. 21-22, 90, 91; No. 23, Art. 108; No. 24-І, Art. 118; No. 24-II, Art. 123, 124):

1) in Item 2 of Article 36 of the word of "terrorism and extremism" shall be replaced with words "distribution of weapons of mass destruction, and (or) in the list of the organizations and faces tied with financing of terrorism and extremism";

2) in the subitem 5) of Item 2 of Article 38 of the word of "terrorism and extremism" shall be replaced with words "distribution of weapons of mass destruction, and (or) in the list of the organizations and faces tied with financing of terrorism and extremism";

The subitem 76) of Article 138 to state 3) in the following edition:

"76) behind condition of anti-terrorist security of objects, vulnerable in the terrorist relation;";

The subitem 21) to state 4) to part one of Item 3 of Article 140 in the following edition:

"21) observance of requirements of the legislation of the Republic of Kazakhstan on counteraction to terrorism regarding ensuring anti-terrorist security of objects, vulnerable in the terrorist relation;".

3. In the Law of the Republic of Kazakhstan of April 17, 1995 "About state registration of legal entities and accounting registration of branches and representations" (Sheets of the Supreme Council of the Republic of Kazakhstan, 1995, No. 3-4, of Art. 35; No. 15-16, of Art. 109; No. 20, Art. 121; Sheets of Parliament of the Republic of Kazakhstan, 1996, No. 1, Art. 180; No. 14, Art. 274; 1997, No. 12, Art. 183; 1998, No. 5-6, of Art. 50; No. 17-18, of Art. 224; 1999, No. 20, Art. 727; 2000, Art. No. 3-4, 63, 64; No. 22, Art. 408; 2001, No. 1, Art. 1; No. 8, Art. 52; No. 24, Art. 338; 2002, No. 18, Art. 157; 2003, No. 4, Art. 25; No. 15, Art. 139; 2004, No. 5, Art. 30; 2005, No. 13, Art. 53; No. 14, Art. 55, 58; No. 23, Art. 104; 2006, No. 10, Art. 52; No. 15, Art. 95; No. 23, Art. 141; 2007, No. 3, Art. 20; 2008, No. 12, Art. 52; No. 23, Art. 114; No. 24, Art. 126, 129; 2009, No. 24, Art. 122, 125; 2010, No. 1-2, of Art. 2; No. 5, Art. 23; 2011, No. 11, Art. 102; No. 12, Art. 111; No. 17, Art. 136; 2012, No. 2, Art. 14; No. 13, Art. 91; No. 21-22, of Art. 124; 2013, No. 10-11, of Art. 56; 2014, No. 1, Art. 9; No. 4-5, of Art. 24; No. 12, Art. 82; No. 14, Art. 84; No. 19-І, 19-II, Art. 96; No. 21, Art. 122; No. 23, Art. 143; 2015, No. 8, Art. 42; No. 15, Art. 78; No. 16, Art. 79; No. 20-IV, Art. 113; No. 22-VI, Art. 159; No. 23-І, Art. 169; 2016, No. 24, Art. 124; 2017, No. 4, Art. 7; No. 22-III, Art. 109; 2018, No. 13, Art. 41; 2019, No. 2, Art. 6; No. 7, Art. 37; No. 15-16, of Art. 67; No. 21-22, of Art. 90; No. 23, Art. 103; No. 24-І, Art. 118):

to state subitem 4-1) of part one of Article 11 in the following edition:

"4-1) if the physical person which is the founder (participant) and (or) the head of the legal entity is included in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction and (or) in the list of the organizations and faces tied with financing of terrorism and extremism according to the legislation of the Republic of Kazakhstan, except for the shares (shares in the authorized capital) confiscated and (or) collected by a court decision;".

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