«ForteBank», JSC
Second tier banks
06.08.2009
02-03-14/3030/15819
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
06.08.2009
02-03-14/3030/15819
Limited enforcement action
Written prescription
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 the domestic assets coefficient as of 1 August 2009.
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №696-00 28.08.09)
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
10.08.2009
04-01-05/3469
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 Article 50 of the Banking Law about disclosure of natural person's bank account information to the third parties.
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:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Second tier banks
10.08.2009
04-01-08/3469
Limited enforcement action
Written warning
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:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
14.08.2009
05-01-18/3944
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 report in fixed terms, according to the Rules approved by the National Bank's Resolution №486.
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 06-7791 of 25.08.2009 (incoming № 31826 of 25.08.2009)
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
14.08.2009
08-01-06/6102
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 wrongful actions of the Kentau branch employees and lacking adequate control by Bank management over the employees' course of duties.
Date of performance:
15.09.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter from the bank №10-8349 of 15.09.09
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
14.08.2009
05-01-18/3940
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 report in fixed terms, according to the Rules approved by the National Bank's Resolution №486.
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №0900044 of 25.08.2009)
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
14.08.2009
05-01-18/3940
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
27.08.2009
04-01-08/3744
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
27.08.2009
04-01-08/3744
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 notification was issued to the bank for discrepancy of requirements Resolution of the Board # 128 "About establishment of rating agencies and required minimum rating for bounds with which the banks may deal and also required minimum country rating for goverment bonds with which the banks may realize broker and (or) dealer activity".
Date of performance:
01.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
