"ATFBank", JSC
Second tier banks
28.01.2010
8
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Bank has failed to submit information, required in accordance with the banking legislation of the RK.
Date of performance:
28.01.2010
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:
"ATFBank", JSC
Second tier banks
28.01.2010
13
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
28260
The nature of a breach:
1. administrative sanction was applied due failure of the Bank to keep maintenance of accounting records with violation of the requirements established with the legislation of the Republic of Kazakhstan on accounting and financial reporting
Date of performance:
28.01.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 8
- 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:
"ATFBank", JSC
Second tier banks
01.02.2010
08-01-02/428/1731
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 notification was issued to the bank for violation of the Article 39 of the Banking Law about reflection of annual effective interest rate in loan agreement.
Date of performance:
10.02.2010
Статья/пункты НПА, Статья КоАП:
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
04.02.2010
08-01-02/493/2098
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 notification was issued to the bank for violation of the Article 39 of the Banking Law about reflection of annual effective interest rate in loan agreement.|
Date of performance:
10.02.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter №11КК-АМ30-13/1/790 18.02.10г. |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
04.02.2010
08-01-06/493/2098
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
05.02.2010
10-02-03/657/2218
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 29 of the Banking Law.
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:
"Bank Kassa Nova" JSC (Sabsidiary Bank of JSC "ForteBank")
Second tier banks
10.02.2010
04-01-08/172/2488
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 prudential requirements - open currency position limits.
Date of performance:
01.03.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №339 of 01.03.2010)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
11.02.2010
23
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70650
The nature of a breach:
1. administrative sanction was applied due to submission of inaccurate reporting on its activity to the Authorized Body
Date of performance:
11.02.2010
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:
“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
16.02.2010
33
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141300
The nature of a breach:
1. administrative sanction was applied due to the fact of violation by the chief operating officer of bank subsidiary JSC “HSBC” Bank Kazakhstan” Egemberdiyev E.Z. the timeframe for submission of the reporting on the activity of the Bank to the Authorized body
Date of performance:
16.02.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Masterbank» , JSC
Second tier banks
17.02.2010
04-01-08/210/2987-и
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-compliance of bank capital value with requirements of minimal value of bank capital established by a Resolution of the Board # 140 dated 02.09.2008.
Date of performance:
01.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
