1. 1 (one) case of late submission of report to the Financial Monitoring Service of Georgia, a violation of the established deadline (five or more working days later), determined under the Article 5, Paragraph 4, sub-paragraph “B”. of the Rule Approved by the Decree N35/04 (amended version of April 05, 2021) Approved by the Order of the President of the of Georgia on February 14, 2012 “ On Determination, 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 300 (Three Hundred)GEL.
2. 1 (One) fact such as submitting incorrect information to the National Bank of Georgia, determined under the Article 51, Paragraph 3, sub-paragraph “O” of the Rule Approved by the Decree N35/04 (a version after amendment made on April 05, 2021) Approved by the Order of the President of the 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 2 000 (Two Thousand) GEL.

The Brokerage company JSC "Galt & Taggart" is fined in the total amount of 2,300 (Two thousand three hundred) GEL.