«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
19.12.2013
321
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
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:
Brocker-Dealers
02.08.2012
664/106/4338
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
07.08.2012
665/304/1650
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Alliance-Policy", JSC
Insurance organizations
23.01.2008
06-01-18/193
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to perform of the requirements of the Decree of the Board of National Bank of the RK dated 06 Dec 2003 No. 435 " On conducting auxiliary book keeping and the Main account book introduced in automated information system of the insurance (reinsurance) organizations".
Date of performance:
22.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
14.08.2012
664/106/4603
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2012
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
320
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:
"Freedom Finance”, JSC
Brocker-Dealers
14.08.2012
665/304/1713
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
25.12.2013
66-4-2-10/6571
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
16.08.2012
87
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: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
21.08.2012
664/113/4778
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
