"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
11.04.2011
05-01-18/508/7056-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
19.04.2011
10029/179
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
05.05.2011
10030/905
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 the maximum exposure to non-related party ratio (k3).
Date of performance:
31.05.2011
Статья/пункты НПА, Статья КоАП:
Note:
For not implemented the sanction was apply to the bank of 20.06.2011г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FIVE BROKERS' CAPITAL" JSC
Portofolio Manager
21.04.2011
10030/121
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
21.04.2011
100030/93
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
05.05.2011
10030/931
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per of the subpoint 3) paragraph 1 Article 3-1 of the Law of the Republic of Kazakhstan "On securities market" commitment letter was requested from the bank for non-provision of broker-dealer activities report within required deadline.
Date of performance:
20.05.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented within required deadline (letter #01-1800/1976 of 12.05.2011г.)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Al-Hilal" Islamic Bank" Joint Stock Company
Second tier banks
06.05.2011
10030/1086
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 the domestic assets coefficient.
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
06.05.2011
10030/1074
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.05.2011
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
06.05.2011
10030/1055
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 storage of documents terms.
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:
«Private Asset Management», JSC
Portofolio Manager
18.05.2011
66001/3
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
