"Shinhan Bank Kazakhstan"
Second tier banks
09.03.2011
04-01-14/315/4630-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 ratio of maximum amount of bank’s investments in fixed assets and other non financial assets.
Date of performance:
18.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №277 of 11.03.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
15.10.2009
176
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
90 720 KZT
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance (two or more time during consecutive calendar months) by the professional participant of the securities market with the requirements provided for by legislation of the RK|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
10.03.2011
10-01-14/1399/4751-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:
05.04.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №9493 of 15.03.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
15.03.2011
25
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
Date of performance:
15.03.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 194-1
-
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
15.10.2009
173
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 repeated non-compliance (two or more time during consecutive calendar months) by the professional participant of the securities market with the requirements provided for by legislation of the RK |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
20.10.2009
175
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
90 720 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact of multiple (two or more time during consecutive calendar months) violation of the specified requirements, provided by the Agency to its activity |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Portofolio Manager
27.10.2009
05-01-14/5108
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Portofolio Manager
03.11.2009
05-01-18/5185
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Management Company “ Delta-Invest”, JSC
Portofolio Manager
09.11.2009
05-01-18/5283
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altay Asset Management”, JSC
Portofolio Manager
03.12.2009
05-01-18/5676
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
