“Investment management of Pension assets organization “Grantum Asset management” (subsidiary company of Kazcommertsbank”, JSC)
Organizations engaged in pension assets investment management
18.07.2014
33-3-20/1054
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.09.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
07.06.2010
104
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 untimely notification of Authorized Body on opening of branch
Date of performance:
07.06.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
08.06.2010
103
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
28260
The nature of a breach:
1. administrative sanction was applied due to a maintenance of accounting records in violation with the requirements, prescribed by the legislation of the Republic of Kazakhstan on business and financial accounting
Date of performance:
08.06.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 8
- 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
17.03.2015
33-3-20/1965
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.04.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
08.06.2010
04-01-14/702/10511
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
08.06.2010
04-01-14/702/10511
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank recognizing the facts of violation ratio of the maximum risk exposure for a single borrower (k3) and guarantee of elimination of such violation.
Date of performance:
16.06.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letters №13-2/6242 оf 25.05.2010, № 13-2/7122 of 16.06.2010)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
08.06.2010
04-02-08/710/10592-и
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written notification was issued to the bank for violation of requirements established by paragraph 7 and 8 article 40 of the Banking Law of the Republic of Kazakhstan on disclosure of information about related-parties and violation of requirements on participation in related-parties deals.
Статья/пункты НПА, Статья КоАП:
Note:
N/A
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"EU Банк ("SB "Eurasian Bank", JSC )", JSC (renamed from «BankPozitiv Kazakhstan», JSC)
Second tier banks
10.06.2010
105
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 the failure of the Company to submit information to the Authorized Agency
Date of performance:
10.06.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
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
16.06.2010
05/1139
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank recognizing the facts of violation Agency requirements on provision of incorrect information about related-parties.
Статья/пункты НПА, Статья КоАП:
Note:
N/A
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
17.06.2010
04-01-08/25ДСП
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
