«ForteBank», JSC
Second tier banks
26.06.2013
66-3-1-25/3015
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
26.06.2013
66-3-1-25/3015
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 to bank for violation of the terms of fulfillment of measures provided by the plan of measures on elimination of the violation revealed during scheduled inspection as at 01.10.11
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
27.06.2013
103
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:
27.06.2013
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:
"Eurasian Bank", JSC
Second tier banks
27.06.2013
110
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 failure to providing to authorized body and providing misreporting of information the disclosure of which is required under the banking law
Date of performance:
27.06.2013
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:
"Citibank Kazakhstan", JSC
Second tier banks
28.06.2013
66-3-2-09/3068
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank for violation of the Instructions on prudential regulation, approved by the Resolution of the Agency's Board dated September 30, 2005, №358
Date of performance:
03.07.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter of 03.07.2013 г. №2-1062)
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
28.06.2013
66-3-2-09/3074
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank for violation of the Instructions on prudential regulation, approved by the Resolution of the Agency's Board dated September 30, 2005, №358
Date of performance:
03.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
28.06.2013
66-3-1-11/3071
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan Written liability was issued to the Bank for inadequate execution of the requirements of Resolution №74 of 24.02.2013 approved by the Board of NBRK
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 of Astana" JSC
Second tier banks
01.07.2013
66-4-3-20/2140
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market" |
Date of performance:
05.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
01.07.2013
66-4-3-20/2157
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
01.07.2013
66-4-3-20/2157
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
