«ForteBank», JSC
Second tier banks
11.04.2011
04-03-04/481/6925-и
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
11.04.2011
04-03-04/481/6925-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 the Article 35 and paragraph 2 Article 34 of the 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:
"SkyBridge Invest", JSC
Portofolio Manager
25.02.2011
05-01-18/267/3807
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
10.03.2011
05-02-09/351/4707-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
21.04.2011
10030/119
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank for violation of the maximum exposure to non-related party ratio (k3) and ratio of banks' capitalization to liabilities to nonresidents of the Republic of Kazakhstan (k9).
Date of performance:
01.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №14-2/774к of 12.05.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
10.03.2011
05-02-09/356/4716-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
21.04.2011
10030/119
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
11.04.2011
05-01-18/508/7056-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
19.04.2011
10029/179
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
05.05.2011
10030/905
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank for violation of the maximum exposure to non-related party ratio (k3).
Date of performance:
31.05.2011
Статья/пункты НПА, Статья КоАП:
Note:
For not implemented the sanction was apply to the bank of 20.06.2011г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
