"Kazkommertsbank", JSC
Second tier banks
29.07.2011
27
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
105840
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to satisfy obligations applied to it by the Authorized Agency by means of application of the restricted impact measures
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
26.03.2013
66-4-2-06/186
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
26.03.2013
66-4-2-06/188
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
02.04.2013
50
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
03.04.2013
66-4-2-10/380
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
11.04.2013
66-4-1-10/497
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
12.04.2013
66-4-2-10/528
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
12.04.2013
66-4-1-10/529
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
16.04.2013
66-4-2-10/565
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
18.04.2013
66-4-2/10/606
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
