«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
07.04.2008
04-01-15/816
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, a written instruction was issued to the bank because of the latter's failure to submit unconsolidated annual financial report certified by an auditor.
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter #04/587 of 24.04.08
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
07.04.2008
04-03-08/801
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, a written instruction was issued to the bank because of the latter's failure to establish, as found through a full-scope examination of the bank, the required amount of loan loss reserves
Date of performance:
01.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
07.04.2008
04-01-15/815
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, a written instruction was issued to the because of the latter's failure to submit unconsolidated annual financial report certified by an auditor
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
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
07.04.2008
04-01-15/802
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, a written instruction was issued to the bank because of the latter's failure to submit unconsolidated annual financial report certified by an auditor.
Date of performance:
21.04.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter #03-1900/1076 of 21.04.08
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
08.04.2008
34
Limited enforcement action
Written agreement
The nature of a breach:
1. administrative sanction was applied due to submission to the Authorized body of information, submission of which is required according to the banking legislation of the Republic of Kazakhstan, as well as submission of misleading information
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
08.04.2008
34
Limited enforcement action
Written agreement
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:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
16.04.2008
05-02-09/2390
Limited enforcement action
Written warning
The nature of a breach:
Date of performance:
21.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
16.04.2008
05-02-09/2390
Limited enforcement action
Written warning
The nature of a breach:
1. Based on examination findings (violation of the Procedures for submission of returns on affiliates as approved by the Aegncy's Decree #272, of item 3 Article 57 of the Law onSecurities Market, and some others)
Date of performance:
21.04.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter #13165 of 21.04.08
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
29.04.2008
08-02-2/1735
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of the requirement of the Instruction on the procedures for execution and and reproting of the documents in tier two banks, a written warning was issued to the bank
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Note:
Open date implementation
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
29.04.2008
04-02-08/1006
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 47 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank, about formation of additional provisions (reserves).
Date of performance:
05.02.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
