"Halyk Bank of Kazakhstan", JSC
Second tier banks
05.03.2013
37
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
The nature of a breach:
1. administrative sanction was applied due to late submission to the competent authority reporting
Date of performance:
05.03.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
18.06.2013
66-4-3-20/1835
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
18.03.2013
33
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
605850
The nature of a breach:
1. administrative sanction was applied due to inappropriate subjects of financial monitoring legislation of Republic of Kazakhstan on countering the legalization (laundering) of illegally obtained, and the financing of terrorism in terms of documenting and providing information on transactions subject to financial monitoring.
Date of performance:
18.03.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- 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:
Issuer
18.06.2013
66-4-3-20/1823
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
19.03.2013
47
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
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:
19.03.2013
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:
Issuer
18.06.2013
66-4-3-20/1824
Limited enforcement action
Commitment letter
The nature of a breach:
1. Нарушение требований пункта 4 статьи 9, ЗРК "О рынке ценных бумаг"
Date of performance:
30.09.2013
Статья/пункты НПА, Статья КоАП:
Note:
Частично исполнено письмом №39931 от 27.06.2013г. Направлено письмо №66-4-3-20/2300 от 09.07.2013г. Исполнено №61055 от 30.09.2013г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
18.06.2013
66-4-3-20/1818
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
19.03.2013
39
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
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:
19.03.2013
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:
"National Company "KazMunayGas" JSC
Issuer
20.06.2013
66-4-3-20/1872
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary JSC Bank VTB (Kazakhstan)
Second tier banks
26.03.2013
66-3-2-09/1339
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 delay in the execution of one of the points of the measures plan about elimination of the violations and concerns identified during on-site inspection.
Date of performance:
01.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
