“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
19.07.2013
133
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
605 850тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
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
19.07.2013
133
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:
19.07.2013
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:
"Capital Bank Kazakhstan", JSC
Second tier banks
19.07.2013
66-4-3-20/2654
Limited enforcement action
Written prescription
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:
"ATFBank", JSC
Second tier banks
19.07.2013
66-3-1-11/3546
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 notification was issued to bank for non complying the requirements established by authorized body
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
24.07.2013
67-1-1-06/6062
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 notification was issued to bank for violation of conditions of the credit agreement.
Date of performance:
08.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
24.07.2013
66-3-2-24/3656
Limited enforcement action
Written prescription
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 presenting uncorrect report to the Committee
Date of performance:
01.08.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №2-1344/2 of 31.07.2013y.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
25.07.2013
136
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
3462000
The nature of a breach:
1. administrative offense resulte
Date of performance:
25.07.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 170-1
Пункт: 3
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
31.10.2013
66-4-3-20/5135
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
03.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
25.07.2013
115
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:
25.07.2013
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:
"Nurbank", JSC
Second tier banks
25.07.2013
66-4-3-20/2778
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"
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
