Issuer
05.02.2015
33-3-20/687 от 05.02.2015
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.03.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
23.01.2014
66-3-1-11/287
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of timeframes for approval methodology of determining the value of the object
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Industrial and Commercial Bank of China in Almaty", JSC
Second tier banks
27.01.2014
66-3-2-09/365
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with Article 46 of the Law on Banks of the Republic of Kazakhstan written liability was issued to bank for violation of Article 50 of the Law on Banks
Date of performance:
04.02.2014
Статья/пункты НПА, Статья КоАП:
Note:
The bank presented a letter of commitment №08-403 of 03.02.2014
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
27.01.2014
66-3-2-09/344
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 the 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:
"Kaspi Bank", JSC
Second tier banks
27.01.2014
5008-08/162
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with article 46 of the banking law of the Republic of Kazakhstan to the bank was sent a written order for violation of the law of the Republic of Kazakhstan "On the order of consideration of physical and legal persons"
Date of performance:
13.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
03.02.2014
66-3-2-09/479
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 for non-provision of the required information in Committee.
Date of performance:
06.02.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter № 18-22/215 of 05.02.14y.
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
04.02.2014
140000943000024
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1666800
The nature of a breach:
1. administrative penalty resulted in non-compliance with the Bank of the duties assigned to him by the authorized body through the use of enforcement measures
Date of performance:
04.02.2014
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
Пункт: 4
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
04.02.2014
140000943000024
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 666 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
Пункт: 4
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
05.02.2014
66-4-3-20/702
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:
25.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
05.02.2014
66-4-3-20/701
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
