"Freedom Finance”, JSC
Portofolio Manager
12.05.2009
70
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:
"Greenwich Capital Management" JSC
Portofolio Manager
12.05.2009
69
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
254 600 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:
“Real Asset Management”, JSC
Portofolio Manager
12.05.2009
05-01-18/2345
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
13.05.2009
05-02-13/2368
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
12.01.2011
04-01-08/33/415-и
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:
"Astana-Finance" Bank", JSC
Second tier banks
12.01.2011
04-01-08/33/415-и
Limited enforcement action
Written warning
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:
"SkyBridge Invest", JSC
Portofolio Manager
21.05.2009
05-01-18/2496
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
04.06.2009
05-01-18/2748
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
17.01.2011
04-01-08/57/682
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 for non-provision in fixed terms of action plan, providing measures of early reaction, aimed at improvement of bank's financial stability and control of bank risks.
Date of performance:
28.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
The bank presents the petition № 01-18-3/424 of 27.01.2011 about prolongation of term of execution of written order till March, 1st, 2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
11.06.2009
05-01-18/2854
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
