"Insurance Broker "Axiom", LLP
Insurance brockers
24.04.2015
25-5-04/588
Limited enforcement action
Commitment letter
The nature of a breach:
1. For untimely granting statements by organization as of 01.04.2015
Date of performance:
05.05.2015
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«e-kz.com» Insurance Broker», LLP
Insurance brockers
10.07.2015
150000803001437
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
396400
The nature of a breach:
1. administrative sanction was resulted in repeated (two ore more times during twelve consecutive calendar months) late submission of information (internal regulations)
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«e-kz.com» Insurance Broker», LLP
Insurance brockers
27.10.2015
37-3-06/1366
Limited enforcement action
Commitment letter
The nature of a breach:
1. The requirement of the law was breached
Date of performance:
02.11.2015
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
«e-kz.com» Insurance Broker», LLP
Insurance brockers
29.10.2015
37-3-06/1388
Limited enforcement action
Written prescription
The nature of a breach:
1. The requirement of the law was breached
Date of performance:
04.11.2015
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
«e-kz.com» Insurance Broker», LLP
Insurance brockers
19.02.2016
37-2-05/196
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of the terms established by the Instruction 6
Date of performance:
29.02.2016
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
«e-kz.com» Insurance Broker», LLP
Insurance brockers
19.02.2016
37-2-05/197
Limited enforcement action
Written prescription
The nature of a breach:
1. For violation of the requirements of the legislation of RK
Date of performance:
29.02.2016
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
"Toyota Insurance Management (Insurance Brokers)" LLP
Insurance brockers
02.08.2016
№37-3-06/1019
Limited enforcement action
Written prescription
The nature of a breach:
1. For breach of the requirements of Rule №95 dated from 24.02.2012
Date of performance:
16.08.2016
Статья/пункты НПА, Статья КоАП:
1.
- Written instruction
Note:
executed 05.08.2016.
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«CIS Risk Consultant Company (insurance brokers), LLP
Insurance brockers
03.10.2016
37-2-06/1259
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of the legislation
Статья/пункты НПА, Статья КоАП:
1.
- Writtten warning
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Toyota Insurance Management (Insurance Brokers)" LLP
Insurance brockers
04.10.2016
37-2-06/1264
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of the legislation
Статья/пункты НПА, Статья КоАП:
1.
- Writtten warning
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Marsh (Insurance Brokers)", LLP
Insurance brockers
04.10.2016
37-2-06/1263
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of the legislation
Статья/пункты НПА, Статья КоАП:
1.
- Writtten warning
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
