"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
15.06.2009
08-01-06/3778
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 order was issued to the bank for non-provision of requested documents and information.
Date of performance:
18.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №23356 of 23.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Insurance Company "Jýsan Garant" JSC (renamed from - Subsidiary "Tsesnabank" JSC Insurance Company "Tsesna Garant" JSC)
Insurance organizations
15.08.2013
157
Sanctions and other administrative penalties
Not specified
Punishment awarded:
692400
The nature of a breach:
1. administrative sanction was applied due to in reporting, which led to a distortion of the contained inspections of compliance with prudential standards.
Date of performance:
15.08.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 11
-
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
16.06.2009
08-01-06/3791
Limited enforcement action
Commitment letter
The nature of a breach:
1. As per Article 39 of the Banking Law of the Republic of Kazakhstan, commitment letter was requested from the bank due to lack of annual effective interest rate in loan agreement following a complaint from individual client
Date of performance:
25.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №05Ю-77-9-3/3105 of 30.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«STANDARD» Insurance Company», JSC (renamed from - "Insurance Company "Astana - Finance" JSC)
Insurance organizations
16.08.2013
66-4-3-20/3305
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
24.09.2013
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:
"Bank CenterCredit", JSC
Second tier banks
16.06.2009
86
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 fact that the Company submitted misleading data (information) to the Authorized Agency
Date of performance:
16.06.2009
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
18.06.2009
05-02-13/2960
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 violation of professional activity in the securities market following on-site inspection report.
Date of performance:
29.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №06-5936 of 29.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasia" Insurance Company", JSC
Insurance organizations
20.08.2013
66-5-1-08/2172
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«STANDARD» Insurance Company», JSC (renamed from - "Insurance Company "Astana - Finance" JSC)
Insurance organizations
21.08.2013
66-5-1-08/2188
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
10.09.2013
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:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
18.06.2009
05-02-13/2966
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 following on-site inspection report, to provide a plan of action.
Date of performance:
29.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 06-5936 of 25.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Kazakhmys", JSC
Insurance organizations
22.08.2013
174
Sanctions and other administrative penalties
Not specified
Punishment awarded:
86550
The nature of a breach:
1. administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
22.08.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
