"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
11.11.2011
664/117/2300
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
18.11.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank CenterCredit", JSC
Second tier banks
13.06.2011
66001/1595
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 Article 39 of the Banking Law of the Republic of Kazakhstan about increase of annual efficient interest rate in bank's loan agreement.
Date of performance:
15.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 20-4/3524 of 29.06.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
26.11.2011
14
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
20.12.2011
664/118/2939
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
17.06.2011
668/206/283
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 terms of granting of documents for the coordination of executives with the authorized body according to point 5 of article 20 of the Banking Law have been broken.
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:
АО "ABC Bank"
Second tier banks
17.06.2011
668/206/283
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:
"Verny Capital", JSC
Portofolio Manager
20.12.2011
664/118/2940
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
20.06.2011
66001/1852
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 Article 39 of the Banking Law of the Republic of Kazakhstan about increase of annual efficient interest rate in bank's loan agreement.
Date of performance:
20.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 1136 of 08.11.11, № AMAPFS1200566 of 13.02.12)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
20.06.2011
3
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
756000
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company repeatedly violated the specified prudential normative
Date of performance:
20.06.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 4
- 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:
«Lancaster Invest», JCS
Portofolio Manager
22.12.2011
664/117/2961
Limited enforcement action
Written agreement
The nature of a breach:
1. With respect to the violation of subparagraph 3) of paragraph 7 of Article 37 of the Law "On Investment Funds"|
Date of performance:
01.03.2012
Статья/пункты НПА, Статья КоАП:
Note:
executed by letter №142 as of 28.12.2011 |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
