«BTA Zabota» Subsidiary Insurance Company of the BTA Bank», JSC
Insurance organizations
01.08.2008
112
Sanctions and other administrative penalties
Not specified
Punishment awarded:
632750
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to keep its books in accordance with established standards and procedures.
Date of performance:
01.08.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 10
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
08.10.2009
158
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:
"ASYL-INVEST", JSC
Brocker-Dealers
15.10.2009
176
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
90 720 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
08.10.2009
150
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
129 600 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:
«BTA Zabota» Subsidiary Insurance Company of the BTA Bank», JSC
Insurance organizations
01.08.2008
113
Sanctions and other administrative penalties
Not specified
Punishment awarded:
116800
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company delayed in producing insurance payments.
Date of performance:
01.08.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 174
Пункт: 2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CNIC"Interteach", JSC
Insurance organizations
08.08.2008
08-01-7/3024
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
18.08.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
15.10.2009
173
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: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
11.08.2008
117
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 delayed in insurance payment.
Date of performance:
11.08.2008
Статья/пункты НПА, Статья КоАП:
1.
Статья: 174
Пункт: 2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
15.10.2009
05-01-14/4936
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.10.2009
Статья/пункты НПА, Статья КоАП:
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
19.10.2009
20
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.10.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
