"Astana-Finance" Bank", JSC
Second tier banks
14.10.2011
665/111/1157
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 in connection with violation of Article 53-1 of the JSC Law, regarding the approval of the Committees of the Board of Directors
Date of performance:
21.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №18/3536 of 20.10.2011 and additional letter №18/3547 of 23.10.2011)
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
14.10.2011
62
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
17.10.2011
668/205/2844
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 established by 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.
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:
«Tengri Bank» JSC, (former - "Subsidiary Bank "«Punjab National Bank-Kazakhstan», JSC)
Second tier banks
18.10.2011
668/120/2875
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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
31.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter int # 51922 of 27.10.2011
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
19.10.2011
70
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company repeatedly violated the specified prudential normative.
Date of performance:
19.10.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 4
- 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:
"House Construction Savings Bank of Kazakhstan", JSC
Second tier banks
19.10.2011
663/207/2495
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 paragraph 2 of article 17 of the Banking Law of the Republic of Kazakhstan
Date of performance:
31.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented letter №09-11/1-15/3636 of 24.10.11
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
19.10.2011
668/120/2889
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 paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market".
Date of performance:
21.11.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter вх.№ 54427 of 09.11.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazinvestbank", JSC
Second tier banks
21.10.2011
663/207/2540
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 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:
31.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №01/4128-2 of 31.10.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Second tier banks
24.10.2011
663/207/2560
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 not implemented some of point of measures plan about elemination of the violations identified during on-site inspection.
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:
"Alliance Bank", JSC
Second tier banks
26.10.2011
663/110/2600
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.11.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
