JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
16.02.2009
05-02-13/665
Limited enforcement action
Written prescription
The nature of a breach:
1. Written order was issued to the bank to take corrective action following on-site inspection report and provide relative information to the Agency.
Date of performance:
26.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 7215 of 24.02.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank "Bank of China in Kazakhstan", JSC
Second tier banks
16.02.2009
04-01-14/496
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 for violation of prudential requirements - open currency position limits.
Date of performance:
01.03.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №08-11/327 of 24.02.2009
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
17.02.2009
05-02-13/684
Limited enforcement action
Written prescription
The nature of a breach:
1. Written order was issued to the bank to take corrective action following on-site inspection report and provide relative information to the Agency.
Date of performance:
27.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 02-19.00/884 of 27.02.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
17.02.2009
20
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
63650
The nature of a breach:
1. administrative sanction was applied due to the submission to the Agency misleading information
Date of performance:
17.02.2009
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:
"Kaspi Bank", JSC
Second tier banks
17.02.2009
08-02-02/792
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per paragraph 2, Article 39 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank, for incorrect annual effective fee rate provision.
Date of performance:
25.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter was provided by the bank №7409 of 25.02.2009
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
17.02.2009
10-01-22/1715
Limited enforcement action
Written prescription
The nature of a breach:
1. As per subpoint 1) paragraph 1, Article 3-1 of the Securities market Law of Republic of Kazakhstan, written order was issued to the bank, for non-provision of affiliated persons lists in fixed terms.
Date of performance:
02.03.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter without number and date, income № 2664 of 23.02.2009)
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
19.02.2009
04-01-14/540
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 reports into "Credit register" database in fixed terms.
Date of performance:
01.03.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 362 of 27.02.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
19.02.2009
02-04-32/596
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 non-provision of regulatory report in fixed terms, recognizing the facts of late provision of regulatory report and guarantee of elimination of such violation, with provide a list of planing measures.
Date of performance:
23.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №12.2-04/1266 оf 02.03.2009)
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
19.02.2009
10-01-22/1785
Limited enforcement action
Written prescription
The nature of a breach:
1. As per subpoint 1) paragraph 1, Article 3-1 of the Securities market Law of Republic of Kazakhstan, written order was issued to the bank, for non-provision of affiliated persons lists in fixed terms.
Date of performance:
28.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 09ДВ1/365 of 27.02.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Freedom Finance Insurance", JSC (renamed from "Insurance Company "Trust Insurance", JSC)
Insurance organizations
22.04.2013
66-5-1-08/582
Limited enforcement action
Commitment letter
The nature of a breach:
1. For the failure to meet reporting deadline
Date of performance:
15.05.2013
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:
