"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
22.10.2009
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
388800
The nature of a breach:
1. repeated violation of minimum reserve requirements
Статья/пункты НПА, Статья КоАП:
1.
- Approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 27, 2006 No. 38 Rules on Minimum Reserve Requirements
2. Статья: 168-2 Пункт: 4-1 - The Code of Administrative Offenses
2. Статья: 168-2 Пункт: 4-1 - The Code of Administrative Offenses
Note:
repeated violation of minimum reserve requirements
Type of Enactments
1. Cconcerning accomplishment of minimum reserve requirements' standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
03.12.2015
150000803002309
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
198200
The nature of a breach:
1. Non-performance by subjects of securities market of an obligation for disclosure of information in an order and on the conditions determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
17.03.2016
33-4-01/1256
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of article 79, paragraph-1 of the Law of Republic Kazakhstan «About joint-stock companies
Date of performance:
26.04.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 1
- Of the Law «On joint stock companies»
Note:
performed by №24581 / 18.04.2016
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "Национальная компания "Социально-предпринимательская корпорация "Ертiс"
Issuer
12.04.2016
33-3-19/1613
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of article 79, paragraph-1 of the Law of Republic Kazakhstan «About joint-stock companies
Date of performance:
05.05.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 1
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "Банковское сервисное бюро Национального Банка Казахстана"
Issuer
20.04.2016
33-3-20/1735
Limited enforcement action
Written warning
The nature of a breach:
1. As a violance paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market"
Статья/пункты НПА, Статья КоАП:
1.
Статья: 24
Пункт: 2
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"CAIFC INVESTMENT GROUP", JSC
Investment portfolio managers combining activity with broker and (or) dealer
03.05.2019
№190000803000189
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
554 830
The nature of a breach:
1. Аdministrative offense resulted in the accounting of the violation of the requirements established by the legislation of the Republic of Kazakhstan on accounting and financial reporting, and methods (principles) accounting, which led to a distortion of the financial statements
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- 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:
Центральный аппарат
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
03.02.2014
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. Concerning observance of requirements of the foreign exchange legislation
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Qazaq Banki", JSC
Second tier banks
03.07.2014
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200,00
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Qazaq Banki", JSC
Second tier banks
03.07.2014
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200,00
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
19.05.2016
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements 2-2 of article 79 of the Law of Republic Kazakhstan «About joint-stock companies»
Date of performance:
20.06.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
