"Kaspi Bank", JSC
Second tier banks
24.06.2011
663/110/289
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 the violation of the requirements of Article 102 of the Law of the Republik of Kazakhstan «CONCERNING THE SECURITIES MARKET»
Date of performance:
30.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter #01GO/ 374 of 30.06.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
19.01.2012
668/205/233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
24.06.2011
663/121/120
Limited enforcement action
Written prescription
The nature of a breach:
1. In complying with Article 46 Law of the Republic of Kazakhstan "On banks and banking activity in the Republic of Kazakhstan', the letter of commitment has been exacted from the bank owing to violations of the requirements established by Paragraph 10 Article 2 and Paragraph 11 Article 2 of the Law of the Republic of Kazakhstan "Anti - money laundering and countering financing of terrorism" |
Date of performance:
08.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №15336 of 08.07.2011)|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
19.01.2012
668/203/233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
29.06.2011
13
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226800
The nature of a breach:
1. administrative sanction was applied due to the fact of repeatedly violation of the requirements specified to it by the legislation
Date of performance:
29.06.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Bank of Kazakhstan", JSC
Second tier banks
29.06.2011
12
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 the fact of repeatedly violation of the requirements specified to it by the legislation
Date of performance:
29.06.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
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
01.07.2011
663/207/397
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 non-publication of audited annual report for year 2010 within required deadline.
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:
"Investment House "Fincraft", JSC
Portofolio Manager
23.01.2012
664/106/328
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the late reporting |
Date of performance:
30.01.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
01.07.2011
665/211/322
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", the letter of commitment has been exacted from the bank owing failure of the Action Plan on the previous inspection.
Date of performance:
18.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №16221 of 21.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
01.07.2011
663/221/398
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 non-publication of audited annual report for year 2010 within required deadline.
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:
