"SkyBridge Invest", JSC
Portofolio Manager
17.09.2009
142
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
129 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
17.09.2009
05-01-18/4440
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
01.02.2011
02-04-32/184/1862-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
01.02.2011
02-04-32/184/1862-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 №11-1/198K of 09.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Industrial and Commercial Bank of China in Almaty", JSC
Second tier banks
01.02.2011
02-04-32/186/1864-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 №8 of 08.02.2011 "
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
18.09.2009
05-02-11/4461
Limited enforcement action
Written prescription
The nature of a breach:
1. To take corrective measures in order to eliminate the shortcomings , stated in this letter and present to an Agency the plan of measures on elimination of shortcomings |
Date of performance:
28.09.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
02.02.2011
05-01-18/136/1967
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 broker-dealer activities report within required deadline.
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters № 1-4965 of 03.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
18.09.2009
05-02-11/4462
Limited enforcement action
Commitment letter
The nature of a breach:
1. To recognize revealed violations and to guarantee elimination of the violations within a certain time frame and prevention of similar violations in future |
Date of performance:
28.09.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
04.02.2011
10-02-02/703/2212
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 requirements established by subpoint 2) paragraph 6 and 8 article 29 of the Banking Law of the Republic of Kazakhstan for violation of indispensable conditions for opening of additional premises of branch of a bank.
Date of performance:
07.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters № 12/941 of 28.02.2011
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
22.09.2009
05-02-13/4510
Limited enforcement action
Commitment letter
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:
