Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
10.12.2013
66-6-3-10/3215
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
12.12.2013
317
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
692 400тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 199
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Коmmesk-Оmir", JSC
Insurance organizations
23.01.2008
06-01-18/190
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
19.07.2012
77
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
12.12.2013
316
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
692 400KZT
The nature of a breach:
1. administrative sanction was applied in violation of the requirements for the procedure and terms of disclosure of information about its activity established by the legislation of the Republic of Kazakhstan|
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
12.12.2013
314
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
23.07.2012
664/106/4096
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
19.12.2013
322
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
23.01.2008
06-01-18/192
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of the Decree of the Board of National Bank of the RK dated 25th March 2006 No.83 " Rules of calculation of the coefficients describing unprofitability of the insurance (reinsurance) organizations".
Date of performance:
01.02.2008
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:
"Alibi Securities", JSC
Brocker-Dealers
31.07.2012
664/106/4259
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
