“Kazakhstan Finservise”, JSC
Brocker-Dealers
15.08.2011
664/118/908
Limited enforcement action
Commitment letter
The nature of a breach:
1. Due to violation of requirements to provide the authority information regarding the publishing annual financial statement for 2010 in the media|
Date of performance:
26.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
16.06.2008
06-02-10/1294
Limited enforcement action
Commitment letter
The nature of a breach:
1. according 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:
Subsidiary Life Insurance Company of the Halyk Bank of Kazakhstan «Halyk -Life», JSC
Insurance organizations
18.06.2008
02-03-30/2058
Limited enforcement action
Commitment letter
The nature of a breach:
1. Representation of adjust records and recognition of existing violations.
Date of performance:
24.06.2008
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:
"Insurance Company "London-Almaty", JSC
Insurance organizations
02.07.2008
97
Sanctions and other administrative penalties
Not specified
Punishment awarded:
117750
The nature of a breach:
1. administrative sanction was applied due to the fact that the Insurance company violated the Insurance Law at the time of its transactions.
Date of performance:
02.07.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 4
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
15.08.2011
664/118/906
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
15.08.2011
664/118/907
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:
"Insurance Company "London-Almaty", JSC
Insurance organizations
02.07.2008
96
Sanctions and other administrative penalties
Not specified
Punishment awarded:
127430
The nature of a breach:
1. administrative sanction was applied due to the fact that the Insurance company violated the Insurance Law at the time of its transactions
Date of performance:
02.07.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 4
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "London-Almaty", JSC
Insurance organizations
02.07.2008
95
Sanctions and other administrative penalties
Not specified
Punishment awarded:
175200
The nature of a breach:
1. administrative sanction was applied due to the fact that the Insurance company violated provisions on proper documentation under Insurance Law.
Date of performance:
02.07.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 7
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
16.08.2011
664/118/946
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.08.2011
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
02.07.2008
94
Sanctions and other administrative penalties
Not specified
Punishment awarded:
116800
The nature of a breach:
Date of performance:
02.07.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 5
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
