"Halyk Bank of Kazakhstan", JSC
Second tier banks
28.01.2011
08-01-02/3771783
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
19.08.2009
05-01-19/3992
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:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
01.02.2011
02-04-32/185/1863-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №654 of 08.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
19.08.2009
05-01-19/3991
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:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
01.02.2011
10-01-14/60/1928-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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
21.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №870 of 17.02.11
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
19.08.2009
05-01-19/3988
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:
"ASYL-INVEST", JSC
Portofolio Manager
19.08.2009
05-01-19/3987
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:
«Private Asset Management», JSC
Portofolio Manager
24.08.2009
05-01-18/4074
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
07.09.2009
05-02-09/4267
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
15.09.2009
05-01-18/4427
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
