"Kaspi Insurance" JSC (renamed from - "Insurance Company "Almaty International Insurance Group" JSC "Subsidiary Company "Kaspi Bank" JSC)
Insurance organizations
31.03.2009
№ 06-01-15/787
Limited enforcement action
Written prescription
The nature of a breach:
1. for untimely submitting the information according to the Law of the Republic of Kazakhstan "Insurance of civil law liability of owners of motor transport" in the regime of real time in the organization on forming and cunducting data
Date of performance:
01.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Life Insurance Company "Nomad Life", JSC (renamed from "Astana-Finance" Life Insurance Company", JSC)
Insurance organizations
11.12.2008
06-01-15/2931
Limited enforcement action
Written prescription
The nature of a breach:
1. "Considering the Report as of 01.11.2008 on compliance with the prudential ratios has been determined a breach of adequacy ratios of solvency margin and high-liquidity assets . "
Date of performance:
31.12.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Life Insurance Company State Annuity Company", JSC
Insurance organizations
11.12.2008
06-01-15/2930
Limited enforcement action
Written prescription
The nature of a breach:
1. "Considering the Report as of 01.11.2008 on compliance with the prudential ratios has been determined a breach of adequacy ratios of solvency margin and high-liquidity assets . "
Date of performance:
31.12.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"CNIC"Interteach", JSC
Insurance organizations
28.03.2018
51
Sanctions and other administrative penalties
License suspension
The nature of a breach:
1. Infringement of requirements of the Enforcement measures of impact applied by authorized body to suspend action of license for the right of realization of insurance activity. OS No.17-4/1 & DOC No. 17-4/1 dated 14 July 2006 for the period of 3 months
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"The integrated securities registrar", JSC
Registrar
13.10.2015
№33-1-06/8017
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the granting of unjustified refusal to comply with an order to carry out redemption
Date of performance:
05.11.2015
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"The integrated securities registrar", JSC
Registrar
26.11.2016
150000803002324
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
277480
The nature of a breach:
1. Late submission information to FMC
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
-
Type of Enactments
1.
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"The integrated securities registrar", JSC
Registrar
07.11.2016
№160000803003745 от 26.10.2016г.
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
424200
The nature of a breach:
1. submission of unreliable information
Date of performance:
10.01.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 256
Пункт: 2
- 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
"The integrated securities registrar", JSC
Registrar
17.10.2017
33-6-06/1755
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 3 of the Rules for issuing consent to the appointment (election) of executives of financial organizations, banking, insurance holdings, the joint-stock company "Insurance Guarantee Fund" аnd a list of documents required for obtaining consent
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
"The integrated securities registrar", JSC
Registrar
11.07.2018
№33-7-05/3997
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to violation of the regulation set by the Law On securities market, article 65 paragraph 1 and article 64-1 paragraph 4 subparagraph 4)
Date of performance:
10.08.2018
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
"The integrated securities registrar", JSC
Registrar
26.10.2018
№33-7-05/6848
Limited enforcement action
Written prescription
The nature of a breach:
1. The untimely execution of operations in the system of registers of securities holders
Date of performance:
02.11.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 86
- Of Rule No. 167
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
