"Credit Altyn Bank" JSC
Second tier banks
15.08.2011
663/207/1037
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 due to incorrect information provision and for violation of requirements of the regulation of the Board of Agency as of 23 March 2007, № 49 “On approval Rules of documentation for credit”.
Date of performance:
22.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
16.08.2011
664/118/937
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 requirement established by paragraph 2 of the Rules, approved by the Resolution of the National Bank's Board dated December 18, 2002, №486.
Date of performance:
25.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №12/4329 of 24.08.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Credit Altyn Bank" JSC
Second tier banks
17.08.2011
663/207/1045
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 "Rules about quality of assets and contingent liabilities and establishment of provisions" approved by the Resolution of the Agency's Board dated, 25th, 2006 №296.
Date of performance:
24.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
17.08.2011
668/120/1644
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with article 46 of the Law of the Republic of Kazakhstan “On banks and banking activity in the Republic of Kazakhstan”, written order was issued to the bank for violation of requirements established by paragraph 6, 8 Article 29 of the Banking Law of the Republic of Kazakhstan
Date of performance:
30.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Second tier banks
17.08.2011
668/120/1645
Limited enforcement action
Written prescription
The nature of a breach:
1. In accordance with article 46 of the Law of the Republic of Kazakhstan “On banks and banking activity in the Republic of Kazakhstan”, written order was issued to the bank for violation of requirements established by paragraph 28 Article 29 of the Banking Law of the Republic of Kazakhstan.
Date of performance:
30.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
17.08.2011
668/120/1644
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
19.08.2011
663/110/1103
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 Instruction "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:
31.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №09/4373 of 27.08.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Nurbank", JSC
Second tier banks
23.08.2011
668/120/1751
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
10.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 11-025175 of 06.10.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
17.10.2013
66-4-2-05/4691
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to the violation of of the requirements of paragraph 1 of Article 72 of the Law "On the Securities Market".|
Date of performance:
04.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
251
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
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:
