"EU Банк ("SB "Eurasian Bank", JSC )", JSC (renamed from «BankPozitiv Kazakhstan», JSC)
Second tier banks
18.03.2011
04-01-08/366/5343
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 subordinated debt pre-payment without approval by the Agency.
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:
"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
25.03.2011
04-01-08/378/5586-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 7 Article 40 of the Banking Law of the Republic of Kazakhstan about decision of the Board of Directors of the bank on participation in related-parties deal.
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:
«Investment Financial House» RESMI», JSC
Portofolio Manager
28.10.2010
155
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650KZT
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance (two or more times within the consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
11.11.2010
182
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
105 975 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
28.03.2011
04-01-08/397/5788
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 ratio of maximum limit of short-term liabilities to nonresidents of the Republic of Kazakhstan (k7).
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:
"Freedom Finance”, JSC
Portofolio Manager
18.11.2010
05-01-18/2100/22224
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.11.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
25.11.2010
185
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:
"ASYL-INVEST", JSC
Portofolio Manager
11.01.2011
189
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
604 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
24.01.2011
05-01-18/106/1423-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
24.01.2011
05-01-18/107/1427-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
