"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
15.01.2014
341
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
648200
The nature of a breach:
1. administrative sanction was applied violation by the subjects of financial monitoring of the legislation of the Republic of Kazakhstan concerning counteraction to legalization (laundering) of income earned illegally, and terrorism financing in the part of the documentary recording and provision of information on transactions subject to financial monitoring.
Date of performance:
15.01.2014
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
27.11.2014
33-3-20/2981 от 27.11.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kagazy Investments" JSC
Issuer
03.12.2014
33-3-20/4093 от 03.12.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
29.12.2014
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 "Alfa-Bank", JSC
Second tier banks
15.01.2014
66-3-2-09/161
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Law on Banks of the Republic of Kazakhstan, the written warning was issued to the Bank for the violation of paragraph 7 of Article 40 of the Law on Banks
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
03.12.2014
33-3-20/4095 от 03.12.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
15.01.2014
66-3-2-09/166
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Law on Banks of Kazakhstan due to the delayed execution of the Action Plan that contained early response measures aimed to improve the financial stability of the bank, preventing the deterioration of its financial situation and increase of risks related to its activities, the Bank received the written order
Date of performance:
21.01.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №kas/sb-14-3007 of 10.02.2014
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
09.12.2014
33-3-20/4261 от 09.12.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Al-Hilal" Islamic Bank" Joint Stock Company
Second tier banks
15.01.2014
66-3-2-09/165
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Law on Banks of the Republic of Kazakhstan a written notification was issued to the Bank for provision of inaccurate reporting to the National Bank
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
15.01.2014
66-3-2-09/160
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Law on Banks of Kazakhstan due to the delayed execution of the Action Plan that contained early response measures aimed to improve the financial stability of the bank, preventing the deterioration of its financial situation and increase of risks related to its activities, the Bank received the written order
Date of performance:
21.01.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №23-05/517 of 20.01.2014
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
09.12.2014
33-3-20/4260 от 09.12.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
