"Citibank Kazakhstan", JSC
Second tier banks
02.02.2011
05-01-18/136/1967
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 broker-dealer activities report within required deadline.
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters № 1-4965 of 03.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Portofolio Manager
18.09.2009
05-02-11/4462
Limited enforcement action
Commitment letter
The nature of a breach:
1. To recognize revealed violations and to guarantee elimination of the violations within a certain time frame and prevention of similar violations in future |
Date of performance:
28.09.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
04.02.2011
10-02-02/703/2212
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 violation of requirements established by subpoint 2) paragraph 6 and 8 article 29 of the Banking Law of the Republic of Kazakhstan for violation of indispensable conditions for opening of additional premises of branch of a bank.
Date of performance:
07.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters № 12/941 of 28.02.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
22.09.2009
05-02-13/4510
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Second tier banks
07.02.2011
04-01-08/161/2229-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 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/А
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
07.02.2011
04-01-08/177/2317
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 violation 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.
Date of performance:
01.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters № 9-3/680 of 28.02.2011
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
08.02.2011
08-01-06/536/2456
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 following the decision of Court in Ekibastus city dated November 03,2010.
Статья/пункты НПА, Статья КоАП:
Note:
N/А
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
24.09.2009
149
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to meet requirements related to nomination of the manager of the financial organization|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Second tier banks
08.02.2011
13
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
08.02.2011
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:
"Bank CenterCredit", JSC
Second tier banks
10.02.2011
04-02-04/192/2629-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 violation of requirements established by paragraph 7 article 40 of the Banking Law of the Republic of Kazakhstan for violation of requirements on participation in related-parties deals.
Date of performance:
25.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
