"Investment House "Fincraft", JSC
Portofolio Manager
12.06.2009
05-01-18/2862
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altay Asset Management”, JSC
Portofolio Manager
15.06.2009
05-01-18/2912
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
18.01.2011
08-01-06/173/800-і
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 of requested information in fixed terms. |
Date of performance:
28.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №2469 оf 03.02.2011 |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
18.01.2011
08-01-06/173/800-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
19.01.2011
10-01-14/286/915-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
29.06.2009
05-02-13/3098
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank CenterCredit", JSC
Second tier banks
19.01.2011
04-03-04/66/866-и
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 Rules of calculating interest rates when spreading information about values of interest for financial services, approved by the Resolution of the Agency's Board dated September 23, 2006 # 215, the Resolution of the Agency's Board dated October 2, 2008 # 145 "Concerning approval of the list of the off-shore areas for the purposes of banking and insurance activity of the professional participants of the security market and another licensed activities on the security market, the activities of the accumulated pension funds and joint-stock investment funds", the Resolution of the Agency's Board dated August 28, 2009 # 196 "About minimal size of the reserve capital of second tier banks" and paragraph 5 article 17 of the Banking Law of the Republic of Kazakhstan.
Date of performance:
31.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №№20-2/483 of 28.01.2011, № 16-6-1/508 of 31.01.2011, №16-6-1/699 of 09.02.2011.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
03.07.2009
05-01-18/3223
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
03.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
19.01.2011
10-01-14/286/915-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 4 Article 9 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 № 220/1 of 07.02.2011|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
АО "ABC Bank"
Second tier banks
20.01.2011
04-01-14/89/994
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
