«Private Asset Management», JSC
Portofolio Manager
29.05.2015
150000803001012-1500000803001015
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
198 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
31.10.2013
255
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
692 400тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 199
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
11.02.2014
140000943000040
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
166 680тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Portofolio Manager
01.08.2014
33-2-06/1441
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Portofolio Manager
01.08.2014
33-2-06/1443
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
21.07.2011
663/207/711
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №286 of 28.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
21.07.2011
663/110/714
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks"
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letters №01-1900/3196 of 29.07.11г.; №01-1900/3236 of 03.08.2011г.)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank CenterCredit", JSC
Second tier banks
25.07.2011
667/106/838
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Al-Hilal" Islamic Bank" Joint Stock Company
Second tier banks
26.07.2011
663/216/778
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:
АО "ABC Bank"
Second tier banks
29.07.2011
30
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
