«KazakhExport» Export insurance company, JSC
Insurance organizations
28.04.2008
02-03-30/1418
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of the subparagraph 1 paragraph 31 of Instruction on normative values & methodology of calculations prudencial normatives of insurance organizations, forms and terms of representation of reports on implementing prudencial normatives confirmed by Decision of Board of the Agency of the RK on regulation and supervision of financial market & financial organizations dated 25 March 2006 No.87. |
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
29.09.2010
152
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
20.10.2010
05-01-18/1914/20223-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
21.10.2010
166
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
28.10.2010
168
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
28.10.2010
155
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Brocker-Dealers
04.11.2010
05-01-18/2022/21364-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.11.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
25.11.2010
185
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
02.12.2010
190
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 200
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
09.12.2010
187
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
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:
