Welcome to the official page of the Chief Compliance Controller!

 

In accordance with the requirements of the legislation of the Republic of Kazakhstan, DB Bank of China in Kazakhstan has introduced a compliance control function, the purpose of which is to manage compliance risk, namely, the risks of losses due to non-compliance by the bank and its employees with the requirements of the legislation of the Republic of Kazakhstan, regulatory legal acts of authorized bodies of the Republic of Kazakhstan, internal documents of the Bank regulating the procedure for providing services and conducting operations on the financial market, as well as the legislation of foreign states, having an impact on the Bank's activities.

 

The Bank is guided by and carries out its activities within the framework of:

• The Law of the Republic of Kazakhstan "On banks and banking activities in the Republic of Kazakhstan";
• Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 12, 2019 No. 188 "On approval of the Rules for the Formation of a Risk Management and Internal Control System for Second-tier Banks;
• The Law of the Republic of Kazakhstan "On countering the legalization (laundering) of proceeds from crime and the financing of terrorism" dated August 28, 2009 No. 191-IV ZRK;
• The US Foreign Account Taxation Act (FATCA);
• A multilateral agreement based on article 6 of the Convention on Mutual Administrative Assistance in Tax Matters, ratified by the Law of the Republic of Kazakhstan No. 267-V of December 26, 2014, aimed at a single standard for automatic exchange of information on financial accounts of taxpayers of countries included in the list of OECD countries (Organization for Economic Cooperation and Development) located in financial organizations around the world;

and other regulatory legal acts of the authorized bodies of the Republic of Kazakhstan regulating the procedure for the provision of services by the bank and conducting operations on the financial market, as well as internal regulatory documents of DB "Bank of China in Kazakhstan" JSC. 

 

To report violations of the legislation of the Republic of Kazakhstan, including regulatory legal acts of the National Bank of the Republic of Kazakhstan, the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market, internal regulatory documents of the Bank, ethical standards that you have encountered in the course of the Bank's activities, you can contact the Chief Compliance Controller personally at the following phone number: (727) 258-55-10 (ext. 1148) or at: This email address is being protected from spambots. You need JavaScript enabled to view it.