Broker company “Astana-Finance”, JSC
Portofolio Manager
28.07.2009
05-01-18/3614
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.09.2009
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
24.01.2011
04-01-08/115/1367-и
Limited enforcement action
Written warning
The nature of a breach:
Date of performance:
31.01.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Portofolio Manager
28.07.2009
05-01-18/3613
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:
“Investment management of Pension assets organization "Orleu", JSC (renamed from - “IMPAO “RESMI Asset Management”, JSC)
Portofolio Manager
07.08.2009
135
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 repeated (two or more times within the consecutive calendar months) violation of the requirements to its activity according to legislation|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
25.01.2011
08-01-06/307/1510
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 Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
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:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
26.01.2011
08-01-06/320/1549-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 article 50 of the Banking Law of the Republic of Kazakhstan about disclosure of banking secrecy.
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:
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
27.01.2011
04-03-08/1291/1647-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 for violation of paragraph 1 article 8 of the Banking Law of the Republic of Kazakhstan, about prohibition for banks to fulfill operations and transactions, such as entrepreneurian activity, not related to banking activity.
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
14.08.2009
05-01-18/3946
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning untimely submission of the regulatory statements |
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Portofolio Manager
19.08.2009
05-01-19/3990
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
28.01.2011
08-01-02/377/1783
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 following the decision of Medeo district Court in Almaty city dated November 04,2010.
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:
