Financial Company “Alliance Capital”, JSC
Brocker-Dealers
19.04.2011
10029/159
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
02.06.2008
06-01-14/1187
Limited enforcement action
Commitment letter
The nature of a breach:
1. late submission of annual actuarial conclusion.|
Date of performance:
05.06.2008
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
19.04.2011
10029/150
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
03.06.2008
08-01-03/2205
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
03.06.2008
08-01-3/2205
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of the Law of RK s 3 art.25 and s. 6-1 art. 22 . On compulsory insurance liability vehicle owners. " Submit a letter of commitment, including an acknowledgement of the breach of Clause 3 st.25 Act and Clause 6-1 Art. 22, as well as a guarantee insurance company management to prevent further violations identified.
Date of performance:
12.06.2008
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:
“DB Securities (Kazakhstan)”, JSC
Brocker-Dealers
21.04.2011
10030/96
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Brocker-Dealers
05.05.2011
10030/931
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
06.05.2011
10030/1074
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«KazakhExport» Export insurance company, JSC
Insurance organizations
05.06.2008
06-02-05/1228
Limited enforcement action
Written warning
The nature of a breach:
1. accordintg to the result of inspection
Date of performance:
30.06.2008
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:
Brocker-Dealers
13.05.2011
10030/1478
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
