«Investment Financial House» RESMI», JSC
Portofolio Manager
23.01.2012
664/106/322
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
04.07.2011
667/106/279
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
23.01.2012
664/106/322
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
07.07.2011
668/120/732
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 30486 of 25.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
07.07.2011
668/120/732
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
08.07.2011
663/110/502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
08.07.2011
663/110/502
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 with bank conglomerate ratio (k3).
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №14-2/858629.07.11, №12-1/1215К 01.08.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
11.07.2011
663/207/537
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 the Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
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:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
11.07.2011
663/207/526
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 ratio of term currency liquidity (k4-4).
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 65387 of 26.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
15.07.2011
17
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to perform its duties to indicate rate of remuneration in its accurate, annual, effective, measured calculation in the contracts concluded with the clients
Date of performance:
15.07.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 12
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
