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)
"ATFBank", JSC
Second tier banks
03.02.2016
38-1-05/107 от 03.02.16г.
Limited enforcement action
Written prescription
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
Date of performance:
12.02.2016
Статья/пункты НПА, Статья КоАП:
1.
- test Eng
Note:
concerning regulation of financial sector
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
“Kazinvestbank", JSC
Second tier banks
22.02.2016
160000803000073
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 272 600 тг.
The nature of a breach:
1. administrative sanction was applied due to submission of inaccurate reporting to the Authorized Body.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 213
Пункт: 3
- 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
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
22.04.2016
13-3-10/649
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the Republic of Kazakhstan, written order was requested from the bank for violation of the Instructions on prudential regulation, approved by the Resolution of the Agency's Board dated September 30, 2005, №358
Date of performance:
06.05.2016
Статья/пункты НПА, Статья КоАП:
1.
Статья: 46
- In accordance of the Banking Law of the Republic of Kazakhstan, written order was requested from the bank for violation of the Instructions on prudential regulation, approved by the Resolution of the Agency's Board dated September 30, 2005, №358
Note:
Исполнено письмом №12-02-06/11647 от 06.05.2016г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
