"Qazaq Banki", JSC
Second tier banks
27.09.2010
04-01-08/1294/18438
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank recognizing the facts of violation of prudential requirements - ratio of maximum related-party exposure and guarantee of elimination of such violation.
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter #03/1190 of 09.09.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
28.09.2010
04-01-14/1314/18603
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
28.09.2010
149
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 misleading statement to the Authorized body
Date of performance:
28.09.2010
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:
"Eurasian Bank", JSC
Second tier banks
28.09.2010
145
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 misleading statement to the Authorized body
Date of performance:
28.09.2010
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:
"Astana-Finance" Bank", JSC
Second tier banks
28.09.2010
04-01-14/1314/18603
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 and guarantee of elimination of violations in fixed terms.
Date of performance:
11.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
06.10.2010
04-01-08/1355/19177
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 requirements of the Instructions "on requirements for the availability of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
Date of performance:
15.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
07.10.2010
04-01-08/1361/19234-И
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 prudential requirements - ratio of the maximum risk exposure for a single borrower, open currency position limits, currency net-position limits and domestic assets coefficient.
Date of performance:
15.10.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №01-18/4700 of 15.10.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
11.10.2010
10-02-01/5702/19468
Limited enforcement action
Written warning
The nature of a breach:
1. Indispensable conditions for opening of additional premises of branch of Bank according to article 29 of Law РК "About banks and bank activity in Republic Kazakhstan" (default prudence specifications, sanction presence) have been broken
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:
"Eurasian Bank", JSC
Second tier banks
14.10.2010
158
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
207000
The nature of a breach:
Date of performance:
14.10.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 5
- 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:
"Citibank Kazakhstan", JSC
Second tier banks
20.10.2010
04-01-08/1428/20209
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 domestic assets coefficient.
Date of performance:
30.10.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №1-4566 of 29.10.10г.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
