«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
23.12.2010
02-04-32/1935/24862-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №09/2107 оf 29.12.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
23.12.2010
02-04-32/1928/24855-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №03/1767 оf 29.12.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Lancaster Securities” JSC (renamed from “Accept Invest”, JSC)
Portofolio Manager
31.05.2010
05-01-18/945/10026
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
23.12.2010
02-04-32/1931/24858-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter №09-13/2-01/9194 оf 30.12.2010. Commitment letter was withdraw by Agency letter # 02-04-32/232/2496-i of 09.02.2011.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary Bank “Sberbank of Russia”, JSC (renamed from "TEXAKABANK” JSC)
Second tier banks
23.12.2010
02-04-32/1929/24856-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №266-29/7856 оf 29.12.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Lancaster Securities” JSC (renamed from “Accept Invest”, JSC)
Portofolio Manager
14.06.2010
107
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
1. административное правонарушение выразилось в нарушении требования к порядку назначения (избрания)на должность руководящего работника.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
23.12.2010
02-04-32/1927/24854-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №9-2/3066 оf 29.12.2010
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
23.12.2010
02-04-32/1933/24860-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 non-provision of prudential normative requirements report within required deadline.
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №13.2/2902 оf 27.12.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Credit Altyn Bank" JSC
Second tier banks
23.12.2010
01/03-171
Limited enforcement action
Commitment letter
The nature of a breach:
1. Сommitment letter was provided by the bank recognizing the facts of provision of incorrect information about related-parties.
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:
“Kazakhstan Finservise”, JSC
Portofolio Manager
29.07.2010
05-01-18/1328/14557
Limited enforcement action
Commitment letter
The nature of a breach:
1. The need to submit a letter of of obligation , which contains recognition of gaps and warranty management to prevent further violations of the deadline for submission of statement showing the list of planned activities.|
Date of performance:
05.08.2010
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
