«Lancaster Invest», JCS
Portofolio Manager
04.06.2015
33-1-06/4040
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.06.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
22.07.2015
33-1-06/5638
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.07.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
03.08.2015
33-1-06/6033
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance payments guarantee fund", JSC
Insurance Idemnity Fund
22.10.2012
9
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
04.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
11.07.2014
1400008030000210
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
11.07.2014
1400008030000209
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
14.07.2014
140000803000208
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
92600
The nature of a breach:
1. administrative sanction was applied due to non-fulfillment by the Bank of its obligation to specify in its contracts, concluded with clients, of fee rate in its true, annual, effective, comparable calculation, as well as the dissemination of information on the quantities of interest on financial services, including its publication.
Date of performance:
14.07.2014
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 11
- 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:
"Qazaq Banki", JSC
Second tier banks
17.07.2014
38-1-10/640
Limited enforcement action
Commitment letter
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.
Date of performance:
06.08.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №07/3585 of 05.08.2014
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
17.07.2014
38-1-10/641
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the RK, written notification, for violation of regulations
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
23.07.2014
140000803000211
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
648200
The nature of a breach:
1. administrative sanction was applied due to inappropriate subject of financial monitoring legislation of Republic of Kazakhstan on countering the legalization (laundering) of illegally obtained, and the financing of terrorism in terms of documenting and providing information on transactions subject to financial monitoring.
Date of performance:
23.07.2014
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- 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:
