"Bank CenterCredit", JSC
Second tier banks
12.10.2009
04-03-04/4453
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 requirements of a Resolution of the Board # 128 "About establishment of rating agencies and required minimum rating for stock with which the banks may realize dealership, and also required minimum country rating with which the banks may realize dealership on securities on realization of broker and (or) dealer activity ". |
Date of performance:
12.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
12.10.2009
04-03-04/4452
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 requirements of a Resolution of the Board # 128 "About establishment of rating agencies and required minimum rating for stock with which the banks may realize dealership, and also required minimum country rating with which the banks may realize dealership on securities on realization of broker and (or) dealer activity ".|
Date of performance:
12.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Salem", JSC (renamed from "Insurance Company "Alatau" JSC) - at the liquidation stage
Insurance organizations
14.11.2013
66-5-1-08/3483
Limited enforcement action
Written prescription
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
27.11.2013
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:
"Temirbank" JSC
Second tier banks
13.10.2009
04-01-14/4675
Limited enforcement action
Written agreement
The nature of a breach:
1. As per Articles 41, 46 of the Banking Law of the Republic of Kazakhstan for violation of the instructions on regulative and prudential requirements for second tier banks, written agreement was concluded which included some measures directed to improve the situation in the Bank.
Date of performance:
07.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Insurance" JSC (renamed from - "Insurance Company "Almaty International Insurance Group" JSC "Subsidiary Company "Kaspi Bank" JSC)
Insurance organizations
18.11.2013
67-1-06/8491
Limited enforcement action
Written prescription
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
03.12.2013
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
13.10.2009
08-01-06/7228
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 the Article 30 of the Banking Law and Conditions of Refinancing.
Date of performance:
21.10.2009
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter was provided by the bank №16-2/4350 of 20.10.2009
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
19.10.2009
04-01-14/4761
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 the Article 40 of the Banking Law.
Date of performance:
27.10.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №09/1775 of 23.10.2009)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Joint Stock Company "European Insurance Company" - Life Assurance Company (renamed from "PPF Insurance - Life Assurance Company, JSC)
Insurance organizations
19.11.2013
66-5-2-07/3495
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
26.11.2013
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:
"Shinhan Bank Kazakhstan"
Second tier banks
19.10.2009
04-01-14/4753
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 paragraph 2 of a Resolution of the Board # 134 "On approval of the information form about related-parties".
Date of performance:
27.10.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter №903 of 21.10.2009
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
20.10.2009
153
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64800
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to satisfy obligations applied to it by the Authorized Agency by means of application of the restricted impact measures
Date of performance:
20.10.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 2
- 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:
