“Aibn Asset Management”, JSC
Brocker-Dealers
20.06.2012
664/106/3443
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.06.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
22.06.2012
664/106/3488
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
25.06.2012
664/106/3545
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
25.06.2012
664/113/3537
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Salem", JSC (renamed from "Insurance Company "Alatau" JSC) - at the liquidation stage
Insurance organizations
02.12.2007
06-03-17/400
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.02.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Alliance-Policy", JSC
Insurance organizations
05.12.2007
279
Sanctions and other administrative penalties
Not specified
Punishment awarded:
32760
The nature of a breach:
Date of performance:
05.12.2007
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Alliance-Policy", JSC
Insurance organizations
05.12.2007
278
Sanctions and other administrative penalties
Not specified
Punishment awarded:
98280
The nature of a breach:
Date of performance:
05.12.2007
Статья/пункты НПА, Статья КоАП:
1.
Статья: 174
Пункт: 2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«BTA Zabota» Subsidiary Insurance Company of the BTA Bank», JSC
Insurance organizations
03.01.2008
06-01-18/23
Limited enforcement action
Written prescription
The nature of a breach:
1. Not performance of requirements of 2-d point of 2-d subitem of 3-d point of 2-d article of the Law of RK "About modification and additions in some legislative acts of RK by obligatory kinds of insurance".
Date of performance:
17.01.2008
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:
"Nurbank", JSC
Brocker-Dealers
27.06.2012
664/106/3642
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
28.06.2012
66
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
647 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
