"Eximbank Kazakhstan”, JSC
Second tier banks
17.02.2011
17
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
37855313
The nature of a breach:
1. administrative sanction was applied due to the fact of making the deals with violation of banking legislation of the Republic of Kazakhstan
Date of performance:
17.02.2011
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:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Second tier banks
22.02.2011
04-01-08/253/3495-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 the domestic assets coefficient.
Date of performance:
28.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Qazaq Banki", JSC
Second tier banks
24.02.2011
20
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
Date of performance:
24.02.2011
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 of Astana" JSC
Second tier banks
02.03.2011
04-01-08/279/4117
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
02.03.2011
04-01-08/279/4117
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 the domestic assets coefficient.
Date of performance:
05.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №20/411 of 04.03.2011
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
02.03.2011
04-01-08/278/4115-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 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:
09.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №01-264-2-2/1058 of 05.03.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
04.03.2011
04-01-08/300/4449-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
04.03.2011
04-01-08/300/4449-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 ratio of the size of bank investment in fixed assets and other non-financial assets.
Date of performance:
14.03.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letters №10/383k of 14.03.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
08.10.2009
158
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 submission to the authorized body of inadequate information in the framework of reporting on the results of professional activity on the security market|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
04.03.2011
19
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151200
The nature of a breach:
Date of performance:
04.03.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 2
- 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:
