«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
09.09.2011
42
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
680400
The nature of a breach:
1. administrative sanction was applied due to non-fulfillment by the Bank of its obligation imposed to it by the restricted impact measure
Date of performance:
09.09.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
09.09.2011
663/221/1391
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 requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
01.11.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №073-24/2530 of 30.09.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
14.09.2011
668/120/2166
Limited enforcement action
Commitment letter
The nature of a breach:
1. For violation of the requirements of paragraph 4 of Article 9 of the Law of RK "On securities market"
Date of performance:
28.09.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №43896 of 29.09.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Credit Altyn Bank" JSC
Second tier banks
16.09.2011
663/208/2004
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 "Rules about quality of assets and contingent liabilities and establishment of provisions" approved by the Resolution of the Agency's Board dated, 25th, 2006 №296.
Date of performance:
28.09.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
19.09.2011
663/121/2018
Limited enforcement action
Written warning
The nature of a breach:
Date of performance:
01.10.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
23.09.2011
663/110/2114
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan a written notification has been sent to the bank in connection with the submission of the report containing inaccurate information
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
28.09.2011
663/207/2163
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 Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
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:
"Citibank Kazakhstan", JSC
Second tier banks
28.09.2011
663/207/2150
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 Instruction "On order of asset allocation into domestic assets" approved by the Resolution of the Agency's Board dated June 2, 2000, #262.
Date of performance:
30.09.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №1-6490 of 30.09.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
28.09.2011
663/207/2155
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 Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
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:
"EU Банк ("SB "Eurasian Bank", JSC )", JSC (renamed from «BankPozitiv Kazakhstan», JSC)
Second tier banks
28.09.2011
663/207/2164
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 Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
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:
