"First Heartland Securities", JSC
Portofolio Manager
12.01.2012
97
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
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:
"Kazkommertsbank", JSC
Second tier banks
21.06.2011
2
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 the fact that the Company repeatedly violated the mandatory norms and limits
Date of performance:
21.06.2011
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:
"Nurbank", JSC
Second tier banks
23.06.2011
663/110/271
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
13.01.2012
664/106/189
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
24.06.2011
663/110/301
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
24.06.2011
665/111/195
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Bank", JSC
Second tier banks
24.06.2011
663/110/289
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 the violation of the requirements of Article 102 of the Law of the Republik of Kazakhstan «CONCERNING THE SECURITIES MARKET»
Date of performance:
30.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter #01GO/ 374 of 30.06.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
19.01.2012
668/205/233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
24.06.2011
663/121/120
Limited enforcement action
Written prescription
The nature of a breach:
1. In complying with Article 46 Law of the Republic of Kazakhstan "On banks and banking activity in the Republic of Kazakhstan', the letter of commitment has been exacted from the bank owing to violations of the requirements established by Paragraph 10 Article 2 and Paragraph 11 Article 2 of the Law of the Republic of Kazakhstan "Anti - money laundering and countering financing of terrorism" |
Date of performance:
08.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №15336 of 08.07.2011)|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
19.01.2012
668/203/233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
