"Temirbank" JSC
Second tier banks
05.01.2011
10-01-14/9/55-і
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 for violation of the paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market".|
Date of performance:
31.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №18/75 of 31.01.2011 |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altay Asset Management”, JSC
Portofolio Manager
14.04.2009
05-01-18/1766
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
14.04.2009
05-01-18/1768
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
05.01.2011
10-01-14/10/57-і
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 for violation of the paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market".|
Date of performance:
07.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №03/0172 of 07.02.2011|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Lancaster Securities” JSC (renamed from “Accept Invest”, JSC)
Portofolio Manager
14.04.2009
05-01-18/1788
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
10.01.2011
04-02-04/18/222-и
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.01.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
14.04.2009
05-01-18/1788
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
30.04.2009
05-01-18/2200
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
07.05.2009
63
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
509 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank CenterCredit", JSC
Second tier banks
11.01.2011
200
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
166320
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
11.01.2011
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:
