НАО "НАЦИОНАЛЬНЫЙ НАУЧНО-ПРАКТИЧЕСКИЙ ЦЕНТР "ТІЛ-ҚАЗЫНА" ИМЕНИ ШАЙСУЛТАНА ШАЯХМЕТОВА"
Issuer
07.02.2019
№190000803000097
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
126250
The nature of a breach:
1. Administrative sanction was applied due to repeated non-compliance (two or more times within consecutive calendar months) by the professional participant of the securities market, with the requirements provided for by legislation
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
Пункт: 6
- 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
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Issuer
08.02.2019
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the deadline for submission of information
Date of performance:
01.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 18-2
Пункт: 3
- 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
JSC "Семей инжиниринг"
Issuer
12.02.2019
33-10-02/709
Limited enforcement action
Written warning
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:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
12.02.2019
33-11-19/705
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-placement of the list of affiliated persons as of 01.01.2019.
Date of performance:
07.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 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
JSC "БТА Банк"
Issuer
12.02.2019
33-10-02/716
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to provide requested information
Date of performance:
28.02.2019
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. "On joint stock companies" The Law of the Republic of Kazakhstan
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"СМУ Шымкентгазмонтаж" JSC
Issuer
12.02.2019
№33-11-19/706
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of the deadline for submission of information
Date of performance:
11.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
Пункт: пп.3 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
Issuer
13.02.2019
33-10-02/737
Limited enforcement action
Written warning
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:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Issuer
14.02.2019
№33-11-19/759
Limited enforcement action
Written prescription
The nature of a breach:
1. Violation of term of presentation of documents on registration of changes in boulevard of issue of equities
Date of performance:
20.03.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 9
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
Issuer
14.02.2019
№33-11-19/760
Limited enforcement action
Written prescription
The nature of a breach:
1. Non-deployment of decision of only shareholder on the of depositary of the financial reporting
Date of performance:
20.03.2019
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 "КазТрансГаз Аймақ"
Issuer
14.02.2019
33-10-02/758
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, paragraph 4
Статья/пункты НПА, Статья КоАП:
1.
Статья: 102
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
