Issuer
10.01.2013
66-4-3-20/4306
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.11.2013
Статья/пункты НПА, Статья КоАП:
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
16.11.2012
663/209/5034
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, in connection with violations of the Rules of early warning measures and methods for determining the factors affecting the deterioration of the financial position of commercial banks, approved by the Board of the Agency of the Republic of Kazakhstan on Regulation and Supervision of Financial Market and Financial Organizations 28.02.2011. № 23 require to the bank a written liability
Date of performance:
22.11.2012
Статья/пункты НПА, Статья КоАП:
Note:
Executed by letter №1-9293 of 21/11/12
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
11.01.2013
668/120/178
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.02.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kagazy Investments" JSC
Issuer
11.01.2013
668/120/173
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.02.2013
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
19.11.2012
663/113/5049
Limited enforcement action
Commitment letter
The nature of a breach:
1. Тhe written liability has been exacted from the bank owing to violations of the requirements established by The instruction on requirements for having in place the risk management systems and internal controls in tier two banks, approved by the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of financial market and financial organizations in its decision #359 dated 30.09.2005
Date of performance:
26.11.2012
Статья/пункты НПА, Статья КоАП:
Note:
Executed by letter №02 БА-264-4-2/5972 of 30.11.2012
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Scientific Research Institute "Gidropribor" JSC
Issuer
07.02.2013
66-4-3-20/2178
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.08.2013
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
21.11.2012
663/209/5092
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 for violation of requirements established by paragraph 7 article 40 of the Banking Law of the Republic of Kazakhstan.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
07.02.2013
66-4-3-20/2167
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Second tier banks
21.11.2012
667/206/9789
Limited enforcement action
Written warning
The nature of a breach:
1. For failure to provide the requested information and documents from the Bank
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
10.02.2013
66-4-3-20/4329
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
