"Halyk Bank of Kazakhstan", JSC
Second tier banks
16.03.2009
28
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
76380
The nature of a breach:
1. Administrative sanction was applied due to the fact that the Company failed to submit to the Agency information that doesn’t contain the data submission of which is required according to the banking legislation.
Date of performance:
16.03.2009
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:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
16.03.2009
30
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
66065
The nature of a breach:
1. Administrative sanction was applied due to the fact that the company failed to keep its books in accordance with the established principles of business and financial accounting.
Date of performance:
16.03.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 8
- 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:
"ATFBank", JSC
Second tier banks
16.03.2009
02-04-32/984
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 commitment letter in fixed terms.
Date of performance:
20.03.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №01/1048 of 18.03.2009
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
17.03.2009
08-02-02/1436
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.03.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Life Insurance Company of the BTA Bank "BTA Life", JSC
Insurance organizations
25.06.2013
66-5-2-07/1426
Limited enforcement action
Written warning
The nature of a breach:
1. For the failure to meet report
Date of performance:
01.10.2013
Статья/пункты НПА, Статья КоАП:
Note:
Answer is not required
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
17.03.2009
08-02-02/1436
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-reply to the Agency's inquiry.
Date of performance:
20.03.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №10255 of 20.03.2009
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Life Insurance Company of the BTA Bank "BTA Life", JSC
Insurance organizations
25.06.2013
66-5-2-07/1423
Limited enforcement action
Written prescription
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
15.07.2013
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:
"ATFBank", JSC
Second tier banks
19.03.2009
04-01-14/958
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:
01.04.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №03.3-06/1724 of 26.03.2009
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Life Insurance Company State Annuity Company", JSC
Insurance organizations
25.06.2013
66-4-3-20/1993
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
30.07.2013
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:
«ForteBank», JSC
Second tier banks
25.03.2009
04-01-14/1012
Limited enforcement action
Written warning
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
