"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:
«ForteBank», JSC
Second tier banks
05.09.2011
665/111/809
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law of the Republic of Kazakhstan “On banks and banking activity in the Republic of Kazakhstan”, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 23 March 2007, № 49 “On approval Rules of documentation for credit”.
Date of performance:
12.09.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 2662-1/213 of 12.09.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
АО "ABC Bank"
Second tier banks
05.09.2011
665/111/809
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.09.2011
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
07.09.2011
50
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
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
07.09.2011
50
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453600
The nature of a breach:
1. administrative sanction was applied due to repeated violation of the requirements established by law to the Bank, as a professional participant of the securities market.
Date of performance:
07.09.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
08.09.2011
663/221/1366
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 not execution of some measures stipulated by the Plan of measures on elimination of lacks and infringements, revealed during inspection of Bank.
Date of performance:
12.09.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 06/2644 of 12.09.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
