“Eurasian Capital”, JSC
Portofolio Manager
01.10.2009
156
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 submission to the authorized body of inadequate information in the framework of reporting on the results of professional activity on the security market|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
07.10.2009
177
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
17.02.2011
18
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
17.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
07.10.2009
179
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company entered into security transaction with the aim to manipulate paper securities’ prices|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
17.02.2011
16
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
17.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
08.10.2009
166
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
518 400 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact the Company violated the securities transactions’ order, provided for by legislation |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
17.02.2011
17
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
37855313
The nature of a breach:
1. administrative sanction was applied due to the fact of making the deals with violation of banking legislation of the Republic of Kazakhstan
Date of performance:
17.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 5
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
22.02.2011
04-01-08/253/3495-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 domestic assets coefficient.
Date of performance:
28.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
24.02.2011
20
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
Date of performance:
24.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
02.03.2011
04-01-08/279/4117
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
