JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
07.10.2013
235
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173100
The nature of a breach:
1. Official (Kuvanysheva L.M.) committed an administrative offense, expressed in the expressed in non-submission and submission to the authorized body of false statements, the disclosure of which is required under the banking law.
Date of performance:
07.10.2013
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:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
07.10.2013
234
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173100
The nature of a breach:
1. Official (Tolepbergenova B.K.) committed an administrative offense, expressed in the drafting of the Bank statements, which led to the distortion it contains indicators or information on the implementation of prudential standards and (or) other mandatory standards and limits defined by the banking legislation of the Republic of Kazakhstan.
Date of performance:
07.10.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 7
- 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:
"Alliance Bank", JSC
Second tier banks
07.10.2013
66-3-1-25/5012
Limited enforcement action
Commitment letter
The nature of a breach:
1. According to the instruction on requirements for having in place the risk management systems and internal controls in tier two banks, approved by the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of financial market and financial organizations in its decision #359 dated 30.09.2005 due to violations of the requirements from the bank the Committee requested commitment letter.
Date of performance:
16.10.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter of 16.10.2013 № 14-3/11714)
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
09.10.2013
67-1-1-06/7652
Limited enforcement action
Written warning
The nature of a breach:
1. For non-conformity of the method of payments, calculated in the schedule of payments specified in the contract to the bank loan
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 “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
16.10.2013
66-3-2-09/5178
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-compliance of the requirement of Resolution #74 of 24.02.2013 of the Board NBRK
Date of performance:
22.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
17.10.2013
66-3-2-09/5191
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-compliance of the requirements established by Article 53-1 of the Law of the Republic of Kazakhstan "On Joint Stock Companies"
Date of performance:
05.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №02/05-2013-81097 of 05.11.2013)
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
22.10.2013
66-3-1-11/5263
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 for violation of the Instruction on prudential regulation, approved by the Resolution of the Agency's Board dated September 30, 2005, №358
Date of performance:
28.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"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:
