"Centras Securities", JSC
Portofolio Manager
03.10.2013
231
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
03.10.2013
229
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
04.10.2013
66-4-2-05/4369
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
09.10.2013
66-4-2-05/4471
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
17.10.2013
246
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
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:
«Lancaster Invest», JCS
Portofolio Manager
17.10.2013
248
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
Пункт: 6
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
24.10.2013
247
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
Пункт: 6
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
01.08.2011
665/211/518
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law of the Republic of Kazakhstan “On banks and banking activity in the Republic of Kazakhstan”, 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 23 March 2007, № 49 “On approval Rules of documentation for credit”.
Date of performance:
08.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
01.08.2011
663/221/854
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 2 September 2008, №140 "About the establishment of minimal size of authorized and equity capital of second-tier banks"
Date of performance:
08.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
05.08.2011
663/121/929
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 2 September 2008, №140 "About the establishment of minimal size of authorized and equity capital of second-tier banks"
Date of performance:
15.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
