JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
05.12.2011
83
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to untimely reporting authorized body.
Date of performance:
05.12.2011
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:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
06.12.2011
663/221/3209
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 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.
Date of performance:
14.12.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №62679 of 14.12.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
07.12.2011
663/207/3231
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Law of the Republic of Kazakhstan "On Banks and Banking in the Republic of Kazakhstan", the Bank ordered to take binding corrective measures to address identified deficiencies.
Date of performance:
21.12.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №03/3205 of 21.12.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
07.12.2011
668/120/3870
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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
27.12.2011
Статья/пункты НПА, Статья КоАП:
Note:
revoked by Committee (letter №668/120/4515 of 30.12.11)
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
07.12.2011
668/120/3870
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.12.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
13.12.2011
665/103/1824
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.12.2011
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
13.12.2011
665/103/1824
Limited enforcement action
Commitment letter
The nature of a breach:
1. The commitment letter is requested from bank in connection with infringement of point 3 of article 35 of the Law of Republic
Date of performance:
21.12.2011
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter was provided by the bank №18/4144 от 21.12.11г
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
15.12.2011
663/221/3332
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 39 of the Banking Law of the Republic of Kazakhstan.
Date of performance:
19.12.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №3003 of 20.12.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
21.12.2011
90
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226800
The nature of a breach:
1. administrative sanction was applied due to providing by the Bank to the authorized body repeatedly within one year after the imposition of an administrative penalty misreporting information.
Date of performance:
21.12.2011
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:
"Alliance Bank", JSC
Second tier banks
21.12.2011
89
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 Bank’s actions, characterized by the repeated violations by the Bank established by the authorized body of binding norms.
Date of performance:
21.12.2011
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:
