Issuer
20.06.2013
66-4-3-20/1874
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
20.06.2013
66-4-3-20/1870
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 Bank "Alfa-Bank", JSC
Second tier banks
29.03.2013
66-2-3-05/394
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirement of point 2 of article 29 of the Law of the Republic of Kazakhstan "About banks and bank activity in RK" regarding not representations of a full package of documents on opening of branch of Bank for acceptance to information data
Date of performance:
15.04.2013
Статья/пункты НПА, Статья КоАП:
Note:
№073-44/1699 of 04.04.2013
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
21.06.2013
66-4-3-20/1898
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
02.04.2013
38
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
86550
The nature of a breach:
1. administrative sanction was applied due to non-fulfillment by the Bank of its obligation to specify in its contracts, concluded with clients, of fee rate in its true, annual, effective, comparable calculation, as well as the dissemination of information on the quantities of interest on financial services, including its publication.
Date of performance:
02.04.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 11
- 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
21.06.2013
66-4-3-20/1907
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“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
02.04.2013
43
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173100
The nature of a breach:
1. administrative sanction was applied due to transactions on the informal market of securities admitted to trading on the organized securities market, the issuers of which are resident banks RK.
Date of performance:
02.04.2013
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
21.06.2013
66-4-3-20/1913
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“National company “Astana EXPO-2017” JSC
Issuer
21.06.2013
66-4-3-20/1905
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2013
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
02.04.2013
54
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:
02.04.2013
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:
