"Halyk Bank of Kazakhstan", JSC
Second tier banks
28.04.2009
08-01-06/2331
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 violation of subpoint 2) paragraph 10 of the Instructions "on requirements for risk management and internal control systems in tier two banks".
Date of performance:
11.05.2009
Статья/пункты НПА, Статья КоАП:
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
28.04.2009
04-01-08/1599
Limited enforcement action
Written agreement
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, the Agency and the Bank concluded a written agreement to improve the situation in the Bank.
Date of performance:
01.01.1900
Статья/пункты НПА, Статья КоАП:
Note:
until recapitalization Plan is fulfilled
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
01.07.2013
66-5-1-08/1509
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:
"Bank CenterCredit", JSC
Second tier banks
29.04.2009
08-01-02/2366
Limited enforcement action
Written prescription
The nature of a breach:
1. concluded insurance agreements without prior settlement of the rules of voluntary casualty insurance with the Agency
Date of performance:
01.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
as of 29 June 2009, the reply was received from NIC, JSC by letter № 291 dated 26 June 2009 executed
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Shinhan Bank Kazakhstan"
Second tier banks
30.04.2009
04-01-08/1632
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 audited annual report for year 2008 in fixed terms.
Date of performance:
08.05.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter№401 от 30.04.09г.)
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
06.05.2009
904
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank with guarantee of timely and qualitative information provision.
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:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
07.05.2009
2238-1/247
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank with guarantee of elimination of mistakes in reports.
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №2238-1/247 of 15.04.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
07.05.2009
64
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
152760
The nature of a breach:
1. administrative sanction was applied due to fact that the Bank violated the system of registering the nominal holding, as well as violation of the order confirmation the privileges to the securities
Date of performance:
07.05.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
07.05.2009
65
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
152760
The nature of a breach:
1. administrative sanction was applied due to the fact of submission of misleading information to the Authorized Agency
Date of performance:
07.05.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
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
12.05.2009
04-01-14/1780
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 late provision of documents stated in the Plan of elemination of defects in risk management.
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:
