“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
25.11.2010
185
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
11.01.2011
189
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
604 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
24.01.2011
05-01-18/106/1423-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
24.01.2011
05-01-18/107/1427-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
28.03.2011
04-01-08/396/5787
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 of ratio of banks' capitalization to liabilities to nonresidents of the Republic of Kazakhstan (k8, k9).
Date of performance:
08.04.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №24.1.5.06/3770 оf 29.03.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
31.03.2011
27
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
Date of performance:
31.03.2011
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:
"Gold Investment Group" JSC
Portofolio Manager
26.01.2011
05-01-18/120/1575
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
02.02.2011
05-01-18/135/1964
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
03.02.2011
05-01-18/145/2051
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
05.04.2011
04-01-08/444/6435-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 1 Article 8 of the Law of the Republic of Kazakhstan, about purchase of securities.
Date of performance:
06.04.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 04-1800/2378 of 09/06/2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
