“Vostok Capital”, JSC
Brocker-Dealers
22.09.2009
05-01-18/4493
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
22.09.2009
05-01-18/4492
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
24.09.2009
149
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
25.09.2009
05-01-18/4585
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
25.09.2009
08-01-08/6844
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.10.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
01.10.2009
156
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 тг.
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:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
07.10.2009
178
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 тг.
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:
"ASYL-INVEST", JSC
Brocker-Dealers
07.10.2009
179
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 520 тг.
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:
“Eurasian Capital”, JSC
Brocker-Dealers
08.10.2009
166
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
518 400 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
30.07.2008
111
Sanctions and other administrative penalties
Not specified
Punishment awarded:
58400
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to meet the requirements related to nomination of the manager of the financial organization.
Date of performance:
30.07.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
