Issuer
20.01.2017
33-4-01/327
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the requirements of the National Bank Regulation №115, article №43
Date of performance:
20.02.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 43
- Rules №115
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
26.01.2017
33-4-01/434
Limited enforcement action
Written warning
The nature of a breach:
1. Due to violation of the requirement on disclosure in accordance with in accordance with the Law of the Republic of Kazakhstan "On Securities Market", paragraph 89, subparagraph 2
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
Issuer
08.02.2017
33-3-20/729
Limited enforcement action
Written warning
The nature of a breach:
1. Paragraph 4 of article 9 The Law of the Republic of Kazakhstan "On securities market"
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
Пункт: 4
- 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
Issuer
09.02.2017
№33-3-20/788
Limited enforcement action
Written prescription
The nature of a breach:
1. p 2-2 art 79 JSC law
Date of performance:
07.03.2017
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Company "Freedom Finance Insurance",JSC (renamed from "Insurance Company "Trust Insurance",JSC)
Issuer
13.02.2017
170000803000086
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226900
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: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"RG Brands" JSC
Issuer
17.04.2017
170000803000249
Sanctions and other administrative penalties
Fine imposed under administrative law
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: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "KAZPETRODRILLING"
Issuer
10.07.2017
170000803000620; 170000803000621
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. Repeated (two or more times in a period of six consecutive calendar months) failure to comply with the securities market entities the obligation to disclose information in a manner and on terms determined by the legislation of the Republic of Kazakhstan
Статья/пункты НПА, Статья КоАП:
1.
Статья: 263
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«Delta Bank», JSC (renamed from "Neftebank", JSC)
Second tier banks
09.06.2017
170000803000587
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453800
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
JSC "НИПИИ Казаэропроект"
Issuer
20.07.2017
33-10-04/3252
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
Date of performance:
21.08.2017
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
JSC «Процессинговый центр «Астана»
Issuer
10.08.2017
33-11-18/405
Limited enforcement action
Written warning
The nature of a breach:
1. Violation of the requirements clause 2-2 of Article 79 of the Law of the Republic of Kazakhstan "On Joint Stock Companies"
Статья/пункты НПА, Статья КоАП:
1.
Статья: 79
Пункт: 2-2
- Of the Law «On joint stock companies»
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
