«Management company «ORDA Capital» , JSC
Portofolio Manager
02.02.2015
33-1-06/4523
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
20.02.2015
33-1-06/1117
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.02.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
13.03.2015
33-1-06/1865
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.05.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
06.04.2015
33-3-20/2456
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.04.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
23.04.2015
33-1-06/2983
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
23.04.2015
33-1-06/2982
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
АО "ABC Bank"
Second tier banks
24.08.2011
665/211/721
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.09.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
24.08.2011
665/211/721
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 calculating interest rates when spreading information about values o interest for financial services, approved by Resolution of the Agency's Board dated September 23, 2006, №215.
Date of performance:
02.09.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
27.08.2011
663/207/1237
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, twritten order was issued to 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:
07.09.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
27.08.2011
668/120/1898
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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
30.09.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter 27.09.2011 вх.№43748
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
