"Kaspi Bank", JSC
Second tier banks
04.05.2010
75
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70650
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, the fee rate in true, annual, effective, comparable calculation
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 12
- 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:
"NGDEM Finance", JSC
Organizations engaged in pension assets investment management
20.10.2009
157
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
324 000 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to satisfy obligations applied to the financial organization by the Authorized Agency by means of application of the restricted impact measures |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
04.05.2010
04-01-08/513/7898-и
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank about meeting minimal capital requirements established by Resolution of the Board # 140 dated 02.09.2008.
Date of performance:
01.07.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"NGDEM Finance", JSC
Organizations engaged in pension assets investment management
20.10.2009
154
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Fund delayed in producing insurance payments in due date|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 88
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment management of Pension assets organization “Nur Trust” , JSC(renamed from “Nur Bank”, JSC)
Organizations engaged in pension assets investment management
22.10.2009
05-01-18/5031
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment management of Pension assets organization “Nur Trust” , JSC(renamed from “Nur Bank”, JSC)
Organizations engaged in pension assets investment management
23.11.2009
05-01-18/5514
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Organizations engaged in pension assets investment management
25.01.2010
05-01-18/123/1367
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.02.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Grantum Asset management” (subsidiary company of Kazcommertsbank”, JSC)
Organizations engaged in pension assets investment management
18.02.2010
05-01-18/276/3059-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment management of Pension assets organization “Nur Trust” , JSC(renamed from “Nur Bank”, JSC)
Organizations engaged in pension assets investment management
23.02.2010
34
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment management of Pension assets organization “Nur Trust” , JSC(renamed from “Nur Bank”, JSC)
Organizations engaged in pension assets investment management
23.02.2010
35
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
