"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
28.02.2013
667/106/1498
Limited enforcement action
Written warning
The nature of a breach:
1. Тhe written notification was issued owing to violations of the requirements established by 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
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
17.06.2013
66-4-3-20/1774
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:
Issuer
18.06.2013
66-4-3-20/1834
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
18.06.2013
66-4-3-20/1829
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.07.2013
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
05.03.2013
37
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 late submission to the competent authority reporting
Date of performance:
05.03.2013
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:
Issuer
18.06.2013
66-4-3-20/1835
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
18.03.2013
33
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:
18.03.2013
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:
Issuer
18.06.2013
66-4-3-20/1823
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
19.03.2013
47
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346200
The nature of a breach:
1. administrative sanction was apllied due to the failure of the Compani to submit information to the authorized body.
Date of performance:
19.03.2013
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:
Issuer
18.06.2013
66-4-3-20/1824
Limited enforcement action
Commitment letter
The nature of a breach:
1. Нарушение требований пункта 4 статьи 9, ЗРК "О рынке ценных бумаг"
Date of performance:
30.09.2013
Статья/пункты НПА, Статья КоАП:
Note:
Частично исполнено письмом №39931 от 27.06.2013г. Направлено письмо №66-4-3-20/2300 от 09.07.2013г. Исполнено №61055 от 30.09.2013г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
