JSC “NOMAD FINANCE”
Portofolio Manager
29.03.2012
29
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
12.04.2010
71
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
KZT 70 650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company breached the requirements related to the order of nomination (election) for the position of leading employee|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
18.05.2010
94
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 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:
"Freedom Finance”, JSC
Portofolio Manager
25.05.2010
100
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 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:
«Lancaster Invest», JCS
Portofolio Manager
31.05.2010
05-01-18/946/10027
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
31.05.2010
05-01-18/946/10026
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
22.06.2010
116
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
29.07.2010
05-01-18/1330/14561
Limited enforcement action
Commitment letter
The nature of a breach:
1. The need to submit a letter of of obligation , which contains recognition of gaps and warranty management to prevent further violations of the deadline for submission of statement showing the list of planned activities.|
Date of performance:
05.08.2010
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Al-Hilal" Islamic Bank" Joint Stock Company
Second tier banks
18.03.2011
02-04-32/473/5438-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:
30.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
30.07.2010
05-01-18/1343/14657
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
