"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
14.07.2014
140000803000208
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
92600
The nature of a breach:
1. administrative sanction was applied due to non-fulfillment by the Bank of its obligation to specify in its contracts, concluded with clients, of fee rate in its true, annual, effective, comparable calculation, as well as the dissemination of information on the quantities of interest on financial services, including its publication.
Date of performance:
14.07.2014
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 11
- 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:
"Qazaq Banki", JSC
Second tier banks
17.07.2014
38-1-10/640
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank, recognizing the failure to comply with regulations.
Date of performance:
06.08.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №07/3585 of 05.08.2014
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
17.07.2014
38-1-10/641
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the 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:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
23.07.2014
140000803000211
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
648200
The nature of a breach:
1. administrative sanction was applied due to inappropriate subject of financial monitoring legislation of Republic of Kazakhstan on countering the legalization (laundering) of illegally obtained, and the financing of terrorism in terms of documenting and providing information on transactions subject to financial monitoring.
Date of performance:
23.07.2014
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:
"Bank RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
23.07.2014
38-2-10/710
Limited enforcement action
Written warning
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the 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 RBK" Bank" JSC (renamed from "Kazakhstan Innovational Сommercial Bank", JSC)
Second tier banks
23.07.2014
38-2-10/709
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank, recognizing the failure to comply with regulations.
Date of performance:
08.08.2014
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter №23-05/9138 of 07.08.2014)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
31.07.2014
13-1-01/1518
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with Article 46 of the Banking Law of the RK written order was issued to bank for failure to meet requirements of the National Bank
Date of performance:
11.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
08.08.2014
140000803000471
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тенге
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
08.08.2014
140000803000469
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185200
The nature of a breach:
1. administrative sanction was applied to Official (Rimer N.G.) as a result of bank's submission of incorrect financial statements to the National Bank of Kazakhstan
Date of performance:
08.08.2014
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:
"Eximbank Kazakhstan”, JSC
Second tier banks
08.08.2014
140000803000467
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185200
The nature of a breach:
1. administrative sanction was applied to Official (Krivtsova T.L.) as a result of failing to provide financial statements, containing summaries, required by Banking Legislation of the Republic of Kazakhstan
Date of performance:
08.08.2014
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:
