"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
06.12.2010
04-01-08/1616/23561-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 violation of requirements of the internal documents: Rules on the internal credit policy, Rules on registration of collateral and Rules on loans documentation, approved by the Resolution of the Agency's Board dated February 23, 2007 # 49.
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:
"Astana-Finance" Bank", JSC
Second tier banks
06.12.2010
04-01-14/1604/23343-И
Limited enforcement action
Written agreement
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, the Agency and the Bank concluded a written agreement about meeting minimal capital requirements established by Resolution of the Board # 140 dated 02.09.2008 and for violation of prudential requirements - ratio of the maximum risk exposure for a single borrower, for any other borrowers.
Date of performance:
01.01.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №20.1/2918 of 30.12.2010г and №20.1/05 of 05.01.2010
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank CenterCredit", JSC
Second tier banks
07.12.2010
04-01-14/1622/23692-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 violation of paragraph 3 of the Instructions "Оn requirements 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.
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:
AB "KAZAKHSTAN-ZIRAAT INTERNATIONAL BANK" JSC
Second tier banks
09.12.2010
170
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141300
The nature of a breach:
Date of performance:
09.12.2010
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:
"Bank CenterCredit", JSC
Second tier banks
15.12.2010
193
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141300
The nature of a breach:
Date of performance:
15.12.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 3
- 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:
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
15.12.2010
196
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 of submitting information to the Authorized body, required according to the banking legislation of the Republic of Kazakhstan
Date of performance:
15.12.2010
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
20.12.2010
195
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
211950
The nature of a breach:
1. Administrative sanction was applied due to repeatedly execution of the actions, provided for with part 1 of article 168-2, within two years after application of administrative sanction, i.e. providing of misleading information to the Authorized body
Date of performance:
20.12.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 3
- 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:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
21.12.2010
08-01-06/5642/24681-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-provision of requested information in fixed terms.
Date of performance:
27.12.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №02-ЕС-285-1/5854 of 29.12.2010
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
23.12.2010
02-04-32/1933/24860-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.12.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Portofolio Manager
08.04.2010
05-01-18/576/6289-и
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
