«ForteBank», JSC
Second tier banks
27.08.2010
04-01-14/1128/16501
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 recognizing the facts of violation of the domestic assets coefficient and guarantee of elimination of such violations in fixed terms.
Date of performance:
09.09.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letters № 1518-1/100 of 09.09.10)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Masterbank» , JSC
Second tier banks
03.09.2010
04-01-14/1174/16985-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's large participant Mr. Igor Kim for non-provision of annual report including statement of income and property for 2009.
Date of performance:
27.09.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
03.09.2010
141
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 failure to comply with requirements on banking legislation while opening of branches
Date of performance:
03.09.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
07.09.2010
04-01-08/1183/17102
Limited enforcement action
Written warning
The nature of a breach:
Date of performance:
01.01.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
07.09.2010
04-01-08/1183/17102
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 - ratio of the maximum risk exposure for a single borrower and open currency position limits.
Date of performance:
01.01.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
09.09.2010
04-01-14/1208/17352
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 recognizing the fact of providing incorrect information to the Agency.
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter #1-4389 от 15.09.10г.
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
13.09.2010
04-01-08/1222/17441-И
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 not holding an annual general meeting of shareholders and not generating the reserve capital on results of 2009.
Date of performance:
29.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
14.09.2010
142
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
98910
The nature of a breach:
1. administrative sanction was applied due to submission of misleading information on its activity to the Authorized body
Date of performance:
14.09.2010
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:
JSC SB "National Bank of Pakistan" in Kazakhstan
Second tier banks
24.09.2010
02-04-32/1400/18344-И
Limited enforcement action
Written warning
The nature of a breach:
1. For the purposes of article 46 of the Law of the Republic of Kazakhstan "On banks and banking activity in the Republic of Kazakhstan" and paragraph 15 of “The Rules for the application of limited enforcement measures with respect of tier-two banks, organizations engaged in certain types of banking operations and also large participants in a bank, a bank holding company and their affiliated persons, organizations being parts of a banking conglomerate; and enforcement measures with respect to large participants in a bank, bank holding company and organizations being parts of a banking conglomerate”; (The Rules have been approved by the Agency's decree # 42 dated 25 Feb 2006), - the Regulator has served SB “National Bank of Pakistan” in Kazakhstan, JSC, with the written instruction stating that there is a possibility of applying sanctions to the Bank as provided for in article 47 of the above referred-to Law in case the Bank keeps failing to meet the deadline for furnishing the Authority with reports.
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Second tier banks
24.09.2010
08-01-06/4229
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
