«ForteBank», JSC
Second tier banks
25.09.2012
663/209/4076
Limited enforcement action
Written prescription
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 exposed to the bank a written order
Date of performance:
26.09.2012
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 "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
25.09.2012
663/209/4066
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 in connection with the submission of the report containing inaccurate information
Статья/пункты НПА, Статья КоАП:
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
25.09.2012
663/113/4074
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 the 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:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
26.09.2012
663/209/4096
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 the law and internal regulations of the вank
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 "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
27.09.2012
99
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323600
The nature of a breach:
1. administrative sanction was applied due to untimely reporting authorized body.
Date of performance:
27.09.2012
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:
"Kazkommertsbank", JSC
Second tier banks
28.09.2012
667/106/8014
Limited enforcement action
Written warning
The nature of a breach:
1. Discrepancy of bank activities to requirements 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 and other regulations
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
01.10.2012
668/216/5555
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 order was issued to the bank for violation of requirements established by paragraph 6 Article 20 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:
"Kaspi Bank", JSC
Second tier banks
02.10.2012
80
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
566300
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.
Date of performance:
02.10.2012
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:
«ForteBank», JSC
Second tier banks
03.10.2012
667/206/9014
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:
"Capital Bank Kazakhstan", JSC
Second tier banks
03.10.2012
98
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323600
The nature of a breach:
1. administrative sanction was ap
Date of performance:
03.10.2012
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:
