"ATFBank", JSC
Second tier banks
10.06.2009
04-01-14/2315
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 minimal value of bank reserve capital.
Date of performance:
18.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 03.3-06/3424 of 17.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "London-Almaty", JSC
Insurance organizations
14.08.2013
66-4-3-20/3250
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:
Partially fulfilled. Additional time - 02.10.2013
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Centras Insurance", JSC
Insurance organizations
14.08.2013
185
Sanctions and other administrative penalties
Not specified
Punishment awarded:
155790
The nature of a breach:
1. administrative sanction was applied due to in the violation of financial organizations term of approval of the Executive officer
Date of performance:
14.08.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
10.06.2009
04-01-14/2316
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 minimal value of bank reserve capital.
Date of performance:
18.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter was provided by the bank №02/2170 of 18.06.2009
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
12.06.2009
04-03-04/2351/11834
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 non-provision of requested documents.
Date of performance:
15.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented in on-site inspection process
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
15.06.2009
05-01-18/2913
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 for non-provision of report resolution by Rules of reporting provision by organizations licensed for broker and dealer activities in securities market.
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 073-24/1555 of 19.06.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Centras Insurance", JSC
Insurance organizations
14.08.2013
186
Sanctions and other administrative penalties
Not specified
Punishment awarded:
155790
The nature of a breach:
1. administrative sanction was applied due to in the violation of financial organizations term of approval of the Executive officer
Date of performance:
14.08.2013
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
Пункт: 1
-
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
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:
