"Karvol" JSC
Issuer
19.05.2016
33-3-20/2241
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements 1 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: 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
"Bank CenterCredit", JSC
Second tier banks
11.03.2015
25-5-04/358
Limited enforcement action
Commitment letter
The nature of a breach:
1. For untimely submission of reporting of the Rules, approved by the Resolution №249 of 23 September 2013 of the Board of the NBRK
Date of performance:
20.03.2015
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
АО "Западно - Казахстанская распределительная электросетевая компания"
Issuer
01.06.2016
33-3-20/2571
Limited enforcement action
Written prescription
The nature of a breach:
1. As a violance paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
01.08.2016
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
Issuer
01.06.2016
33-3-20/2557
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements 1 of article 79 of the Law of Republic Kazakhstan «About joint-stock companies»
Date of performance:
01.07.2016
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
"National Company "Kazakhstan Engineering" JSC
Issuer
26.07.2016
33-4-01/3486
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the Stock exchange regulations on financial disclosure
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Samruk-Energy" JSC
Issuer
02.08.2016
33-4-04/3571
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements 1 of article 79 of the Law of Republic Kazakhstan «About joint-stock companies»
Date of performance:
22.08.2016
Статья/пункты НПА, Статья КоАП:
1.
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
28.08.2016
№160000803003619
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
212 100 тенге
The nature of a breach:
1. Unfair advertising of activities in the securities market
Статья/пункты НПА, Статья КоАП:
1.
Статья: 255
-
Note:
implemented on 01.09.2016
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
02.09.2016
33-3-20/4014
Limited enforcement action
Written prescription
The nature of a breach:
1. 79 art ph 2-2 JSC
Date of performance:
02.10.2016
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
Issuer
05.09.2016
33-3-20/4036
Limited enforcement action
Written prescription
The nature of a breach:
1. 79 art ph 2-2 JSC
Date of performance:
08.10.2016
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
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
14.08.2015
65-40-11/2004
Limited enforcement action
Commitment letter
Punishment awarded:
42241
The nature of a breach:
1. "As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank, recognizing the failure to comply with regulations. "
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning observance of financial consumer's rights
Name of Regional Branch of National Bank of Kazakhstan / Department:
Южно-Казахстанский филиал (Шымкент)
