"Eximbank Kazakhstan”, JSC
Second tier banks
18.03.2011
04-02-04/373/5425-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 Rules of calculating interest rates when spreading information about values of interest for financial services, approved by the Resolution of the Agency's Board dated September 23, 2006 # 215.
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Partially implemented (letter № 01-1600/1179 of 24/03/2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
09.08.2010
05-01-18/1363/15175
Limited enforcement action
Written prescription
The nature of a breach:
1. Concerning the elimination of violations of requirements of laws of the Republic of Kazakhstan to minimal size of the authorized capital and prudential norm of equity capital adequacy|
Date of performance:
20.08.2010
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
18.03.2011
04-01-08/370/5362-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 paragraph 2 Article 43 of the Banking Law of the Republic of Kazakhstan.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
20.08.2010
10
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
22.09.2010
05-01-18/1667/18170-И
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
07.10.2010
156
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
14.10.2010
05-01-18/1858/19804-и
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
14.10.2010
05-01-18/1859/19805-и
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
20.10.2010
05-01-18/1923/20233-И
Limited enforcement action
Commitment letter
The nature of a breach:
1. О представлении плана мероприятияй по недопущению впредь нарушения сроков представления в Агентство отчетности Организации
Date of performance:
02.11.2010
Статья/пункты НПА, Статья КоАП:
Note:
исполнено письмом от 04.11.10г.
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
21.10.2010
167
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:
