«ForteBank», JSC
Second tier banks
15.05.2008
04-01-15/1142
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
15.05.2008
04-01-15/1142
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, about requirements of software Agency #288 from 11.12.2006 wich are not executed.
Date of performance:
11.06.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemrnted via letter # 13-1-2/3887 от 22.05.08г.
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
21.05.2008
04-01-15/1196
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written notification was issued to the bank about inadmissibility in the further of discrepancies of data published balance sheet as of December, 31st 2007 and profits and losses report for a year which has ended on December, 31st, 2007 joint-stock Subsidiary Bank “Sberbank of Russia”, confirmed by auditor company KPMG Audit LLC, to data of balance sheet as of December, 31st, 2007 and the report on profits and losses for a year which has ended on December, 31st 2007 represented in Agency.
Date of performance:
30.05.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemrnted via letter №1902-1/100 от 02.06.08
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
21.05.2008
04-01-15/1198
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 liability was issued to the bank, which content recognition facts about faulty (balance sheet, profits and losses report on 1st of April 2008 was untimely publication)
Date of performance:
22.05.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemrnted via letter #286/1-1/100
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
АО "ABC Bank"
Second tier banks
21.05.2008
04-01-15/1198
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
АО "ABC Bank"
Second tier banks
03.06.2008
312-1/100
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
03.06.2008
312-1/100
Limited enforcement action
Commitment letter
The nature of a breach:
1. Commitment letter about breach of short-term currency liquidity requirement was submitted by the bank.
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Note:
Bank's letter No 312-1/100 of 03.06.2008.
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
13.06.2008
08-02-2/2346
Limited enforcement action
Written warning
The nature of a breach:
1. Warning letter was issued to the bank for violation of paragarph 2, Article 39 of the Banking Law of the Republic of Kazakhstan.
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Note:
N/A
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
17.06.2008
05-01-13/3970
Limited enforcement action
Commitment letter
The nature of a breach:
1. Following agreed-upon procedures related to custody activity, a commitment letter was requested for violation of the Investment Funds Law requirements.
Date of performance:
25.06.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by bank's letter No 07.1.15/3927 of 24.06.2008.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
19.06.2008
87
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175200
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance by the professional participant of the securities market with the requirements provided for by legislation.
Date of performance:
19.06.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
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Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
