Issuer
07.01.2013
66-4-3-20/2118
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
06.11.2012
117
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323600
The nature of a breach:
1. administrative offence resulted in repeated (two or more times in three consecutive calendar months) violation of banks minimum reserve requirements set by the National Bank of the Republic of Kazakhstan
Date of performance:
06.11.2012
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 4
- 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:
"Islamic bank "Zaman-Bank", JSC
Second tier banks
07.11.2012
663/209/4842
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the RK, written order was issued for providing incorrect regulatory report
Date of performance:
15.11.2012
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank 03-10/2297 of 15.11.12
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
07.11.2012
663/209/4815
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Law of the Republic of Kazakhstan "On Banks and Banking Activities in the Republic of Kazakhstan" a written notification was ussued to the Bank for the private ruling of the court #2 in Aktau, Mangistau region on the 15.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
08.11.2012
106
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
809000
The nature of a breach:
1. administrative sanction was applied in the violation of established by the legislation of the Republic of Kazakhstan the order of execution of transactions with securities.
Date of performance:
08.11.2012
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
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
15.11.2012
152
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 not giving, as well as late submission of the subject securities market to the authorized body for the control and supervision of financial market and financial organizations reporting
Date of performance:
15.11.2012
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:
“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
15.11.2012
152
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
16.11.2012
663/113/5026
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:
Issuer
07.01.2013
66-4-3-20/2122
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
16.11.2012
150
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 subject to financial monitoring
Date of performance:
16.11.2012
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:
