«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
27.01.2011
04-03-08/1291/1647-и
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 paragraph 1 article 8 of the Banking Law of the Republic of Kazakhstan, about prohibition for banks to fulfill operations and transactions, such as entrepreneurian activity, not related to banking activity.
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
14.08.2009
05-01-18/3946
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning untimely submission of the regulatory statements |
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Portofolio Manager
19.08.2009
05-01-19/3990
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
28.01.2011
08-01-02/377/1783
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 following the decision of Medeo district Court in Almaty city dated November 04,2010.
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
28.01.2011
08-01-02/3771783
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
19.08.2009
05-01-19/3992
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
01.02.2011
02-04-32/185/1863-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 №654 of 08.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
19.08.2009
05-01-19/3991
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
01.02.2011
10-01-14/60/1928-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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
21.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №870 of 17.02.11
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
19.08.2009
05-01-19/3988
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
