“Kazinvestbank", JSC
Second tier banks
16.07.2013
66-3-2-09/3437
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 not eliminated the violation of measures plan about elimination of the violations in the organization of the system of risk management and internal control
Date of performance:
31.08.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №03/3768
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
17.07.2013
66-3-1-11/3465
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 №296 of 25.12.2006 approved by the Board of FSA
Date of performance:
29.07.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №56775520 from 26.07.13)
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
18.07.2013
129
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 7
-
Type of Enactments
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
18.07.2013
128
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
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
18.07.2013
128
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 of submission of information to the Authorized Body, which is required according to banking legislation of the Republic of Kazakhstan.
Date of performance:
18.07.2013
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:
“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
18.07.2013
129
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 providing of the Bank reports, which led to the distortion it contains indicators or information on the implementation of prudential standards
Date of performance:
18.07.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 7
- 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:
"Citibank Kazakhstan", JSC
Second tier banks
18.07.2013
125
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
The nature of a breach:
1. administrative offense resulted in the unlawful actions of the Bank, expressed in the representation of the Bank to the authorized body misreporting information
Date of performance:
18.07.2013
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
18.07.2013
116
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1731000
The nature of a breach:
1. administrative sanction was applied due to implementation of transactions prohibited under the banking law.
Date of performance:
18.07.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 5
- 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:
"Citibank Kazakhstan", JSC
Second tier banks
18.07.2013
113
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
The nature of a breach:
1. administrative offense resulted in the unlawful actions of the Bank, expressed in the representation of the Bank to the authorized body misreporting information
Date of performance:
18.07.2013
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:
"Eurasian Bank", JSC
Second tier banks
18.07.2013
127
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:
18.07.2013
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:
