«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
20.07.2011
663/207/668
Limited enforcement action
Written prescription
The nature of a breach:
1. In complyng with Article 46 Law of the Republic of Kazakhstan "On banks and banking activity in the Republic of Kazakhstan" for non-conformity with the requirements of the regulation of the Board of Agency as of 2 September 2008, №140 "About the of minimal size of capital of second-tier banks"
Date of performance:
05.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasian Bank", JSC
Second tier banks
21.07.2011
663/110/715
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
23.02.2012
11
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
28.02.2012
665/113/1049
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.03.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"EU Банк ("SB "Eurasian Bank", JSC )", JSC (renamed from «BankPozitiv Kazakhstan», JSC)
Second tier banks
21.07.2011
663/207/712
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №1747 of 27.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
28.02.2012
665/113/1050
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.03.2012
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
21.07.2011
663/207/709
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Objection letter №073-24/2058 of 29.07.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Capital Bank Kazakhstan", JSC
Second tier banks
21.07.2011
663/207/710
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №1399 of 25.07.2011)
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
21.07.2011
663/207/713
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks".
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented ( (letter № 03/1583 от 26.07.2011г.)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
06.04.2012
36
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
