"Kazpost", JSC
Brocker-Dealers
31.07.2014
140000803000249
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 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:
"Kazpost", JSC
Brocker-Dealers
31.07.2014
140000803000248
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400тг.
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:
JSC Kaspi Group
Bank holdings
07.09.2009
02-03-14/3494
Limited enforcement action
Written agreement
The nature of a breach:
1. For the purposes of Article 46 of The Law on banks, for the breach of “The Instructions for the establishment of normative values and of procedures for computation of prudential norms for bank conglomerates - and for the establishment of forms and terms of reporting the compliance with the prudential norms”, the FSA has concluded a Written agreement with the Bank holding, i.e., in complying with this Agreement, JSC “Astana Finance” is obliged to bring up its actual ratios and norms to the level of the prudential norms as required by the Instructions.|
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC Kaspi Group
Bank holdings
19.11.2009
02-03-12/4568
Limited enforcement action
Written prescription
The nature of a breach:
1. For non-fulfillment by Astana Finance, JSC of terms and conditions of the Written agreement №02-03-14/3494 dated 7 September, 2009, in particular, for its failure to ensure compliance of the values of the banking conglomerate’s prudential standards with requirements of the Agency’ Decree №44 “On values and methods of calculation of prudential standards for banking conglomerates as well as forms and dates of reporting on compliance with them” as of 25 February 2006, the Agency applied sanction against Astana Finance, JSC by issuing its written instruction. |
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
04.08.2014
140000803000286
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
166 680тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
19.08.2014
33-1-06/1852
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Bank holdings
19.11.2009
02-03-12/4568
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Financial Group", JSC
Bank holdings
06.06.2011
663/110/11
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
19.08.2014
33-1-06/1859
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.03.2014
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
Brocker-Dealers
21.08.2014
33-2-06/1928
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.09.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
