"Kaspi Bank", JSC
Second tier banks
30.06.2009
105
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
127300
The nature of a breach:
1. administrative sanction was applied due to the fact of submission to the Authorized Agency misleading information
Date of performance:
30.06.2009
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
30.06.2009
106
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
127300
The nature of a breach:
1. Administrative sanction was applied due to submission to the Agency misleading information
Date of performance:
30.06.2009
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:
«Subsidiary Organization of the Nurbank JSC «Nurpolicy" Insurance Company», JSC
Insurance organizations
22.08.2013
178
Sanctions and other administrative penalties
Not specified
Punishment awarded:
86550
The nature of a breach:
1. administrative sanction was applied due to in a failure to provide the requested information to the authorized body on regulation and supervision of financial market and financial organizations
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:
«ForteBank», JSC
Second tier banks
07.07.2009
08-02-06/4781
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:
"Insurance Company "TransOil", JSC
Insurance organizations
25.08.2013
67-1-1-01/6746
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
04.09.2013
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:
"Alliance Bank", JSC
Second tier banks
07.07.2009
08-02-06/4781
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 existing legislation of the Republic of Kazakhstan.
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:
"Insurance Company "TransOil", JSC
Insurance organizations
26.08.2013
67-1-1-07/6738
Limited enforcement action
Written prescription
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
04.09.2013
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:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
09.07.2009
102
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 violation of requirements of designation (nomination) to the position of leading employee in terms of coordination with the authorized body
Date of performance:
09.07.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
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
10.07.2009
073-28/1734
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank recognizing the facts of violation a ratio of term currency liquidity.
Date of performance:
10.07.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 073-28/1734)
Type of Enactments
1. Concerning regulation of financial sector
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
26.08.2013
3
Limited enforcement action
Written agreement
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
15.04.2014
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:
