"Qazaq Banki", JSC
Second tier banks
12.10.2011
663/207/2373
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the RK, the bank demanded a letter of recognition obyazatelstvosoderzhaschee gaps in the timing of execution of the individual items under the action plan to address violations identified during a routine inspection of the Agency and the guarantee of the Bank's management to address them in a strictly defined terms with a list of planned activities.
Date of performance:
18.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №03/2352 оf 18.10.2011, №03/2363 оf 20.10.2011)
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
12.10.2011
663/207/2374
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.10.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
13.10.2011
663/207/2395
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, 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 2 September 2008, №140 "About the establishment of minimal size of authorized and equity capital of second-tier banks"
Date of performance:
19.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №28-01/2143 of 17.10.2011). Commitment letter was withdraw by Сommittee letter # 663/207/2922 of 16.11.2011.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
14.10.2011
665/111/1157
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.10.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
14.10.2011
62
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226800
The nature of a breach:
1. administrative sanction was ap
Date of performance:
14.10.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
14.10.2011
665/111/1157
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 in connection with violation of Article 53-1 of the JSC Law, regarding the approval of the Committees of the Board of Directors
Date of performance:
21.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №18/3536 of 20.10.2011 and additional letter №18/3547 of 23.10.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
14.10.2011
62
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
17.10.2011
668/205/2844
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 requirements established by article 29 of the Banking Law of the Republic of Kazakhstan for violation of indispensable conditions for opening of additional premises of branch of a bank.
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:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
18.10.2011
668/120/2875
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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
31.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter int # 51922 of 27.10.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
19.10.2011
70
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company repeatedly violated the specified prudential normative.
Date of performance:
19.10.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 4
- 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:
