"ASYL-INVEST", JSC
Portofolio Manager
10.03.2011
05-02-09/351/4707-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
21.04.2011
10030/119
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) and ratio of banks' capitalization to liabilities to nonresidents of the Republic of Kazakhstan (k9).
Date of performance:
01.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №14-2/774к of 12.05.2011)
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
10.03.2011
05-02-09/356/4716-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
21.04.2011
10030/119
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:
"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:
