“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
31.10.2011
663/207/2671
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
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
31.10.2011
663/207/2668
Limited enforcement action
Written warning
The nature of a breach:
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
31.10.2011
663/207/2671
Limited enforcement action
Written warning
The nature of a breach:
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
01.11.2011
665/211/1272
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 subpoint 3) paragraph 2 Article 59 of the Law of the Republic of Kazakhstan “On securities market”.
Date of performance:
09.11.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №960 of 08.11.2011)
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
01.11.2011
665/211/1272
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.11.2011
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
11.11.2011
663/207/2860
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
11.11.2011
72
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was apllied due to the failure of the Compani to submit information to the authorized body.
Date of performance:
11.11.2011
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:
“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
11.11.2011
663/207/2860
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:
“Eurasian Capital”, JSC
Portofolio Manager
03.06.2015
33-1-06/4022
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
18.06.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
04.06.2015
33-1-06/4040
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.06.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
