"Qazaq Banki", JSC
Second tier banks
11.02.2011
04-03-04/200/2748-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 40 of the Banking Law of the Republic of Kazakhstan about granting blank loans to related party, and for violation of calculation of current cost and securities interest coupon in a bank portfolio.
Статья/пункты НПА, Статья КоАП:
Note:
N/А
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
25.09.2009
08-01-08/6844
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
15.02.2011
14
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
15.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
15.02.2011
15
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was applied due to the fact of making the deals with violation of banking legislation of the Republic of Kazakhstan
Date of performance:
15.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 5
- 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:
“Eurasian Capital”, JSC
Portofolio Manager
01.10.2009
156
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 submission to the authorized body of inadequate information in the framework of reporting on the results of professional activity on the security market|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
07.10.2009
177
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 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:
"Qazaq Banki", JSC
Second tier banks
17.02.2011
18
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
17.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
07.10.2009
179
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company entered into security transaction with the aim to manipulate paper securities’ prices|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
17.02.2011
16
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
17.02.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
08.10.2009
166
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
518 400 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact the Company violated the securities transactions’ order, provided for by legislation |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
