First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
26.07.2011
664/118/578
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
03.08.2011
25
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Troika Dialog Kazakhstan", JSC (renamed from "ALMEX" Asset Management", JSC)
Brocker-Dealers
12.08.2011
664/117/862
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temir Аt" Insurance Company, JSC
Insurance organizations
11.06.2008
06-01-22/1265
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to implement the reqierments of sub-paragraph 1) of paragraph 31 of regulatory Instructions on normftive value and methodic of calculating prudential normatives of insurance (reinsurance) organisations, values and standards for reporting on implementation of prudential normatives approved by the Decree of the Agency from 25.03.06y. № 87.
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
12.08.2011
664/117/963
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
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
12.06.2008
08-01-03/2318
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.06.2008
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
12.08.2011
664/117/865
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
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
12.06.2008
08-01-3/2318
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure reqierments of the Law RK sub-point 3 article25 and sub-point 6-1 article 22 " On compulsory insurance of civil - law responcibility of vehicle owners". Fulfill requirements of the letter of Agency dated 04.05.08 y.No 08-01-11/1791/6597 and submit a commitment letter containing the recognition the violation of paragraph 3 of Article 25 of the Law, as well as a guarantee of management of insurance organisations to prevent further identified violations
Date of performance:
23.06.2008
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:
"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
16.06.2008
06-02-10/1295
Limited enforcement action
Written prescription
The nature of a breach:
1. According to the results of inspections.
Date of performance:
01.08.2008
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:
"Centras Securities", JSC
Brocker-Dealers
15.08.2011
664/118/904
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
