"Halyk Bank of Kazakhstan", JSC
Second tier banks
24.10.2013
66-4-1-05/4855
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning the fact of infringement of subparagraphs 6) of article 44 of the Law «About investment funds»
Date of performance:
31.10.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №07-13730 of 31.10.2013)
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
25.10.2013
66-4-3-20/4875
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:
25.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №73560 of<
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Bank", JSC
Second tier banks
29.10.2013
67-1-1-06/8132/2270-фл/е
Limited enforcement action
Written warning
The nature of a breach:
1. for the violation of paragraph 24 of the Rules of providing bank services banks and consideration of customer requests, resulting in the provision of banking services approved by the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of financial market and financial organizations №19 dated 28.02.11
Статья/пункты НПА, Статья КоАП:
Note:
sanction was cancelled in 14.05.2014 by decision of appeals board on civil and administrative division of the Almaty City court
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
29.10.2013
66-6-1-10/2712
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 order was issued to the bank for violation of regulations
Date of performance:
11.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
29.10.2013
66-6-1-10/2713
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Banking law of RK, written notification, for violation of regulations
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 CenterCredit", JSC
Second tier banks
29.10.2013
66-4-1-05/5065
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violence paragraph 1 and 2 Article 9 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
07.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter №15-6-25/7233 of 06.11.2013
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
31.10.2013
256
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155790
The nature of a breach:
1. administrative sanction was applied in violation of a financial institution of the period of approval of the Executive officer.
Date of performance:
31.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
31.10.2013
256
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155790
The nature of a breach:
1. administrative sanction was applied in violation of a financial institution of the period of approval of the Executive officer.
Date of performance:
31.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
01.11.2013
66-3-1-11/5467
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Law of the Republic of Kazakhstan "On Banks and Banking Activities in the Republic of Kazakhstan" a written notification was issued to the Bank for the private ruling of the Medeo district court of Almaty city dated 30.09.13 on the civil case №2-3993/13/21060
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
04.11.2013
66-3-2-09/5489
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with Article 46 of the Law on Banks of Kazakhstan, due to the failure of the Bank to comply with the requirements of Instruction № 359 on the requirements for risk management and internal control in the second-tier banks, approved by the Board of the Agency on September, 30, 2005, the Bank was requested a letter of commitment.
Date of performance:
13.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
The bank presented a letter of
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
