"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
27.12.2010
08-01-06/5745/25142-И
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 violation of article 50 of the Banking Law of the Republic of Kazakhstan about disclosure of banking secrecy.
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:
“Kazakhstan Finservise”, JSC
Portofolio Manager
22.09.2010
05-01-18/1655/18168-И
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
18.02.2011
05-01-18/223/3214
Limited enforcement action
Written prescription
The nature of a breach:
1. About violation of requirements prescribed by paragraph 3) of paragraph 7 of Article 37 of the Law of the Republic of Kazakhstan "On investment funds ", namely the size of investments by the investment fund assets in securities or financial instruments issued by one person|
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
04.09.2008
127
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
584 000 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:
Portofolio Manager
11.09.2008
130
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200 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:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
23.09.2008
135
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 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:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
23.09.2008
134
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 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:
«Lancaster Invest», JCS
Portofolio Manager
25.09.2008
05-0118/4910
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.09.2008
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
06.11.2008
145
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
06.11.2008
144
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 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:
