"Industrial and Commercial Bank of China in Almaty", JSC
Second tier banks
09.01.2014
66-3-2-09/59
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 warning was issued to the Bank in connection with violation of the Resolution of the Board of the Committee "On approval of the submission of information on transactions of the second-tier banks with persons associated with them by special relations" on July 15, 2010 № 108, as well as providing Bank Committee with the false statements.
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
09.01.2014
66-6-1-10/26
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:
20.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
09.01.2014
66-6-1-10/25
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:
Issuer
21.11.2014
33-3-20/3841 от 21.11.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Issuer
21.11.2014
33-3-20/3836 от 21.11.2014
Limited enforcement action
Commitment letter
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:
Issuer
26.11.2014
33-3-20//3941 от 26.11.2014
Limited enforcement action
Commitment letter
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:
"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:
