"SkyBridge Invest", JSC
Portofolio Manager
22.07.2015
33-1-06/5638
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.07.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
22.07.2015
33-1-06/5638
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.07.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
03.08.2015
33-1-06/6033
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance payments guarantee fund", JSC
Insurance Idemnity Fund
22.10.2012
9
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
04.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
UPTK JSC
Issuer
21.05.2018
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
288.600 тенге
The nature of a breach:
1. Late execution of a limited measure of impact
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Казахювелир" JSC
Issuer
21.06.2018
33-10-02/3629
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 2-2 and in accordance with the Law of the Republic of Kazakhstan "On Securities Market", paragraph 102, subparagraphs 1 and 4
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- The Law of the Republic of Kazakhstan "On Joint Stock Companies"
2. Статья: 102 Пункт: 1 - The Law of the Republic of Kazakhstan "On Securities Market"
3. Статья: 102 Пункт: 4 - The Law of the Republic of Kazakhstan "On Securities Market"
2. Статья: 102 Пункт: 1 - The Law of the Republic of Kazakhstan "On Securities Market"
3. Статья: 102 Пункт: 4 - The Law of the Republic of Kazakhstan "On Securities Market"
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Казахювелир" JSC
Issuer
21.06.2018
33-10-02/3625
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 4
Date of performance:
01.07.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- The Law of the Republic of Kazakhstan "On Joint Stock Companies"
2. Статья: 102 Пункт: 1 - The Law of the Republic of Kazakhstan "On Securities Market"
3. Статья: 102 Пункт: 4 - The Law of the Republic of Kazakhstan "On Securities Market"
2. Статья: 102 Пункт: 1 - The Law of the Republic of Kazakhstan "On Securities Market"
3. Статья: 102 Пункт: 4 - The Law of the Republic of Kazakhstan "On Securities Market"
Note:
implemented by letter as of 28.06.2018y.№24603
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"СП БЕЛКАМИТ" (г. Алматы, пр.Раимбека, 334) JSC
Issuer
23.11.2010
10-01-14/6565/22650
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.12.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Valyut - Transit Bank, JSC
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
