"AF Mortgage" JSC
Issuer
23.12.2019
40-4-17/1807
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.8 п.2
- 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
ТОО "Специальная Финансовая Компания "DC"
Issuer
26.12.2019
40-4-17/1842
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.1 п.5
- 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
"SCIENTIFIC CENTER OF PEDIATRICS AND CHILDREN'S SURGERY" JSC
Issuer
13.12.2019
40-4-17/1762
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.8 п.2
- 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
АО "Астанаэнергосервис"
Issuer
22.11.2019
40-4-17/1605
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliates
Date of performance:
13.12.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- 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
АО "Западно - Казахстанская распределительная электросетевая компания"
Issuer
25.11.2019
40-4-17/1614
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.2 п.5
- 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
АО "СПК "Тобол"
Issuer
29.11.2019
40-4-17/1655
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.8 п.2
- 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
АО "Научно-исследовательский и проектный институт нефти и газа"
Issuer
18.12.2019
№40-4-17/1772
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-compliance of the internal document of the Company with the requirements of the legislation of the Republic of Kazakhstan
Date of performance:
28.02.2020
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
АО "Завод имени С. М. Кирова"
Issuer
18.12.2019
40-4-17/1775
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the order and timing of reporting
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: 2
- 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
АО "Международный аэропорт Актобе"
Issuer
20.12.2019
40-4-17/1805
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 Securities Market", article 102
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 п.5
- 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
АО "Алматыгазмонтаж"
Issuer
01.11.2019
190000803000465
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
126250
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: 262
Пункт: 6
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Paid 05.11.2019
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
