Brocker-Dealers
28.06.2012
73
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
29.06.2012
664/106/3666
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Bank", JSC
Brocker-Dealers
05.07.2012
664/106/3787
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
10.07.2012
664/106/3525
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning to infringement of requirements of point 5 of the Decision of the Board of National Bank from August, 24th 2009г. № 84|
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
10.07.2012
664/113/4064
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
12.07.2012
75
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
809 000тг.
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:
Insurance Society "TSHASO", JSC
Insurance organizations
03.01.2008
06-01-28/4
Limited enforcement action
Written prescription
The nature of a breach:
1. Not performance of requirements of point 1 of article 6-1 of the Law of RK "About modification and additions in some legislative acts of RK by obligatory kinds of insurance". Term of performance up to 17 Jan. "About obligatory insurance of the civil-law responsibility of the employer for causing of harm of a life and to health of the worker at performance of labour (working) duties". Term of performance up to 03 Feb 2008.
Date of performance:
03.02.2008
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"Atlanta-Policy", JSC
Insurance organizations
08.01.2008
273
Sanctions and other administrative penalties
Not specified
Punishment awarded:
58400
The nature of a breach:
Date of performance:
08.01.2008
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:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
08.01.2008
291
Sanctions and other administrative penalties
Not specified
Punishment awarded:
18674
The nature of a breach:
Date of performance:
08.01.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 4
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
08.01.2008
290
Sanctions and other administrative penalties
Not specified
Punishment awarded:
175200
The nature of a breach:
Date of performance:
08.01.2008
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:
