Brocker-Dealers
01.03.2011
21
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
105 840тг.
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:
"ASYL-INVEST", JSC
Brocker-Dealers
10.03.2011
05-02-09/351/4707-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Life Insurance Company State Annuity Company", JSC
Insurance organizations
28.04.2008
02-03-30/1418
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of the subparagraph 1 paragraph 31 of Instruction on normative values & methodology of calculations prudencial normatives of insurance organizations, forms and terms of representation of reports on implementing prudencial normatives confirmed by Decision of Board of the Agency of the RK on regulation and supervision of financial market & financial organizations dated 25 March 2006 No.87.
Date of performance:
30.04.2008
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:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
29.04.2008
06-03-14/1012
Limited enforcement action
Written prescription
The nature of a breach:
1. Not presentation of the Report on calculation of insurance reserves and ill-timed presentation of the Report on calculation of the coefficients that described unprofitability.
Date of performance:
13.05.2008
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:
"Oil Insurance Company", JSC
Insurance organizations
30.04.2008
06-02-10/1016
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
14.05.2008
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:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
04.05.2008
08-01-11/1791
Limited enforcement action
Commitment letter
The nature of a breach:
1. Failure reqierments of the Law RK " On compulsory insurance of civil - law responcibility of vehicle owners".
Date of performance:
14.05.2008
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:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
06.05.2008
06-01-22/1068
Limited enforcement action
Written prescription
The nature of a breach:
1. Not performance of requirements of the Decree of Board of NB of the RK dated 06 Dec 2003 No. 435 "On conducting auxiliary book keeping & Main account book introduced in automated information system of the insurance (reinsurance) organizations".
Date of performance:
08.07.2008
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:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
06.05.2008
06-01-22/1067
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of the Decree of Board of NB of the RK dated 6th Dec 2003 No. 435 "On conducting auxiliary book keeping & Main account book introduced in automated information system of the insurance (reinsurance) organizations". Deadline 8th July 2008.
Date of performance:
08.07.2008
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:
«KazakhExport» Export insurance company, JSC
Insurance organizations
06.05.2008
06-01-18/1071
Limited enforcement action
Written prescription
The nature of a breach:
1. Not performance of requirements of the Decree of Board of NB of the RK dated 06 Dec 2003 No. 435 "On conducting auxiliary book keeping & Main account book introduced in automated information system of the insurance (reinsurance) organizations".
Date of performance:
08.07.2008
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:
"Insurance Company "Amanat", JSC
Insurance organizations
06.05.2008
06-01-22/1070
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of requirements of the Decree of Board of the NB of the RK dated 6th Dec 2003 No. 435 "On conducting auxiliary book keeping & Main account book introduced in automated information system of the insurance (reinsurance) organizations".
Date of performance:
08.07.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
