Issuer
20.12.2016
33-4-01/6096
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Securities Market", article 102, paragraph 1
Date of performance:
01.02.2017
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Восточно-Казахстанская региональная энергитическая компания" JSC
Issuer
17.01.2017
33-4-01/226
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", paragraph 79, subparagraph 2-2 and in accordance with the Law of the Republic of Kazakhstan "On Securities Market", paragraph 102, subparagraphs 1 and 2
Date of performance:
15.03.2017
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by letter as of 27.02.2017y.№12493
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Company "London-Almaty", JSC
Issuer
20.01.2017
33-4-01/339
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirements on disclosure in accordance with the Law of the Republic of Kazakhstan "On Joint Stock Companies", paragraph 79, subparagraph 1 and 2-2 and in accordance with the Law of the Republic of Kazakhstan "On Securities Market", paragraph 102, subparagraphs 1, 2 and 4
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
20.01.2017
33-4-01/327
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirements of the National Bank Regulation №115, article №43
Date of performance:
20.02.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 43
- Rules №115
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
26.01.2017
33-4-01/434
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirement on disclosure in accordance with in accordance with the Law of the Republic of Kazakhstan "On Securities Market", paragraph 89, subparagraph 2
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
08.02.2017
33-3-20/729
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 4 of article 9 The Law of the Republic of Kazakhstan "On securities market"
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 4
- Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
09.02.2017
№33-3-20/788
Limited enforcement action
Written prescription
The nature of a breach:
1. p 2-2 art 79 JSC law
Date of performance:
07.03.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Company "Freedom Finance Insurance",JSC (renamed from "Insurance Company "Trust Insurance",JSC)
Issuer
13.02.2017
170000803000086
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226900
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"RG Brands" JSC
Issuer
17.04.2017
170000803000249
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
1. Due to the violation of the requirements for the procedure and conditions of disclosure of the information about its activities
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "KAZPETRODRILLING"
Issuer
10.07.2017
170000803000620; 170000803000621
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. Repeated (two or more times in a period of six consecutive calendar months) failure to comply with the securities market entities the obligation to disclose information in a manner and on terms determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
