As a result of inspection of JSC "Caucasus Capital Group Brokerage Company" (identification number: 205116943) was revealed 4 (Four) facts of submission of incorrect information to the National Bank by the Report Approved by the Order of the President of the National Bank №48/04 of May 05, 2016, "The Procedure for Filling out and Presenting Information About the Risk of Money Laundering and Terrorism Financing of the Brokerage Companies", Which under the Article 5¹, Paragraph 4, sub-paragraph “d” of the Rule Approved by the Decree N35/04 (a version after amendment made on April 05, 2021) of the President of the National Bank of Georgia on February 14, 2012 “On Determining, Imposing and Enforcing the Amount of Fines for Violations of the Securities’ Legislation, the Law of Georgia "On Accounting, Reporting and Auditing" and the law of Georgia “On Facilitating the Prevention of Money Laundering and the Financing of Terrorism” against Entities and Members of their Governing Body” envisages a fine of 1 000 (One Thousand) GEL for each fact of violation. Total – 4 000 (Four Thousand) GEL.

THE BROKERAGE COMPANY – JSC “BROKERAGE COMPANY CAUCASUS CAPITAL GROUP” (I/N205116943) is fined in the total amount of 4 000 (Four Thousand) GEL.