"Freedom Finance”, JSC
Portofolio Manager
25.05.2010
100
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
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
31.05.2010
05-01-18/946/10027
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
31.05.2010
05-01-18/946/10026
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
22.06.2010
116
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
29.07.2010
05-01-18/1330/14561
Limited enforcement action
Commitment letter
The nature of a breach:
1. The need to submit a letter of of obligation , which contains recognition of gaps and warranty management to prevent further violations of the deadline for submission of statement showing the list of planned activities.|
Date of performance:
05.08.2010
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Al-Hilal" Islamic Bank" Joint Stock Company
Second tier banks
18.03.2011
02-04-32/473/5438-И
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank for non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.03.2011
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 “NOMAD FINANCE”
Portofolio Manager
30.07.2010
05-01-18/1343/14657
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
18.03.2011
04-02-04/373/5425-И
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank for violation of the Rules of calculating interest rates when spreading information about values of interest for financial services, approved by the Resolution of the Agency's Board dated September 23, 2006 # 215.
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Partially implemented (letter № 01-1600/1179 of 24/03/2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
09.08.2010
05-01-18/1363/15175
Limited enforcement action
Written prescription
The nature of a breach:
1. Concerning the elimination of violations of requirements of laws of the Republic of Kazakhstan to minimal size of the authorized capital and prudential norm of equity capital adequacy|
Date of performance:
20.08.2010
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
18.03.2011
04-01-08/370/5362-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 paragraph 2 Article 43 of the Banking Law of the Republic of Kazakhstan.
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:
