"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
21.07.2011
663/207/709
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:
Objection letter №073-24/2058 of 29.07.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
21.07.2011
663/207/710
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 №1399 of 25.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
21.07.2011
663/207/713
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 № 03/1583 от 26.07.2011г.)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
06.04.2012
36
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
16.04.2012
664/106/1952
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
19.04.2012
664/106/2009
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
19.04.2012
664/106/2010
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
21.05.2012
664/106/2710
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.05.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
30.05.2012
665/310/1064
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.06.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
01.06.2012
58
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
