«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:
"Insurance Company "London-Almaty", JSC
Insurance organizations
24.01.2008
06-01-22/195
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.07.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
21.08.2012
664/113/4779
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:
«BTA Zabota» Subsidiary Insurance Company of the BTA Bank», JSC
Insurance organizations
28.01.2008
06-01-18/223
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:
"Subsidiary Life Insurance Company of the BTA Bank "BTA Life", JSC
Insurance organizations
28.01.2008
06-01-18/224
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to implement 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:
"Insurance Company "Salem", JSC (renamed from "Insurance Company "Alatau" JSC) - at the liquidation stage
Insurance organizations
28.01.2008
06-01-18/225
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of the Decree of the Board of National Bank of the RK dated 6th 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:
22.04.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
