"Bank of Astana" JSC
Second tier banks
10.06.2011
663/121/121
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
10.06.2011
663/121/121
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 audited annual report publication procedure for year 2010.
Date of performance:
25.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter№ 13/1378 от 24.06.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
10.06.2011
663/121/120
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 audited annual report publication procedure for year 2010.
Date of performance:
01.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 01-263-8-1/2785 of 20.06.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Grantum Asset management” (subsidiary company of Kazcommertsbank”, JSC)
Portofolio Manager
15.07.2011
19
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
19.07.2011
19
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800KZT
The nature of a breach:
1. administrative sanction was applied due to submission of misleading information to the Authorized body|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
19.07.2011
664/118/377
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
19.07.2011
664/118/377
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
20.07.2011
664/118/436
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
18.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
26.07.2011
664/118/578
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
15.08.2011
664/118/905
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
