Subsidiary JSC Bank VTB (Kazakhstan)
Second tier banks
08.11.2013
66-3-2-09/5578
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Law of the Republic of Kazakhstan "On Banks and Banking Activities in the Republic of Kazakhstan" a written notification was ussued to the Bank for violation of requirements established by the Law of the Republic of Kazakhstan "On Anti-money Laundering and Combating Financing of Terrorism".
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
08.11.2013
66-6-1-04/2831
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 during on-site inspection.
Date of performance:
12.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented 14.11.2013
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
11.11.2013
66-3-2-09/5624
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, in connection with violations of the Rules of early warning measures and methods for determining the factors affecting the deterioration of the financial position of commercial banks, approved by the Board of the National Bank of Kazakhstan 25.02.13. № 73 exposed to the bank a written notification
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
12.11.2013
279
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173100
The nature of a breach:
1. Official (Abdurrahman Z.A.) committed an administrative offense, expressed in the banking operations in violation of banking legislation of the Republic of Kazakhstan.
Date of performance:
12.11.2013
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:
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
12.11.2013
280
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:
12.11.2013
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:
"Alliance Bank", JSC
Second tier banks
13.11.2013
66-3-1-11/5686
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, in connection with violations of the Rules of early warning measures and methods for determining the factors affecting the deterioration of the financial position of commercial banks, approved by the Board of the National Bank of Kazakhstan 25.02.13. № 73 exposed to the bank a written notification
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
13.11.2013
67-1-1-06/8454
Limited enforcement action
Written prescription
The nature of a breach:
1. For incorrect indication of the size of the annual effective interest rate in the loan agreement
Date of performance:
30.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
13.11.2013
66-3-1-11/5686
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
14.11.2013
66-3-1-25/5713
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
14.11.2013
66-3-1-25/5713
Limited enforcement action
Commitment letter
The nature of a breach:
1. Тhe letter of obligation has been requested from the Bank 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 Decree of the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of financial market and financial organizations #359 dated 30.09.2005
Date of performance:
25.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter №20/2776 of November, 22, 2013
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
