"ASYL-INVEST", JSC
Portofolio Manager
11.11.2010
182
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
105 975 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
28.03.2011
04-01-08/397/5788
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 ratio of maximum limit of short-term liabilities to nonresidents of the Republic of Kazakhstan (k7).
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:
"Freedom Finance”, JSC
Portofolio Manager
18.11.2010
05-01-18/2100/22224
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.11.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
25.11.2010
185
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
11.01.2011
189
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
604 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
24.01.2011
05-01-18/106/1423-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
24.01.2011
05-01-18/107/1427-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
28.03.2011
04-01-08/396/5787
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 of ratio of banks' capitalization to liabilities to nonresidents of the Republic of Kazakhstan (k8, k9).
Date of performance:
08.04.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №24.1.5.06/3770 оf 29.03.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
31.03.2011
27
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
Date of performance:
31.03.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
26.01.2011
05-01-18/120/1575
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
