"Investment House "Fincraft", JSC
Portofolio Manager
23.01.2012
664/106/328
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the late reporting |
Date of performance:
30.01.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
01.07.2011
665/211/322
Limited enforcement action
Written prescription
The nature of a breach:
1. In complyng with Article 46 Law of the Republic of Kazakhstan "On banks and banking activity in the Republic of Kazakhstan", the letter of commitment has been exacted from the bank owing failure of the Action Plan on the previous inspection.
Date of performance:
18.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №16221 of 21.07.2011)
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
01.07.2011
663/221/398
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 non-publication of audited annual report for year 2010 within required deadline.
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:
«Investment Financial House» RESMI», JSC
Portofolio Manager
23.01.2012
664/106/322
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
04.07.2011
667/106/279
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
23.01.2012
664/106/322
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
07.07.2011
668/120/732
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 30486 of 25.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
07.07.2011
668/120/732
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
08.07.2011
663/110/502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
08.07.2011
663/110/502
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 with bank conglomerate ratio (k3).
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №14-2/858629.07.11, №12-1/1215К 01.08.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
