"Bank CenterCredit", JSC
Second tier banks
21.01.2011
201
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
662104
The nature of a breach:
1. administrative sanction was applied due to submission of maintenance of accounting records in violation of the requirements, set by legislation of the Republic of Kazakhstan on financial accounting
Date of performance:
21.01.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 8
- 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:
“Real Asset Management”, JSC
Portofolio Manager
28.07.2009
05-01-18/3617
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
28.07.2009
05-01-18/3615
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.08.2009
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-і
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. |
Date of performance:
31.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №09/134 of 26.01.2011 |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
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:
