"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:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Brocker-Dealers
20.10.2009
175
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:
"Life Insurance Company "Standard Life" JSC (renamed "Life Insurance Company "Grandes" JSC)
Insurance organizations
11.08.2008
06-01-22/1785
Limited enforcement action
Written prescription
The nature of a breach:
1. Breach the requirement of the subparagraph 1-1) paragraph 31 of Instruction on normative meaning and method of reporting prudential normatives of insurance (reinsurance) organizations, forms and term of submission the reports on implementing the prudential normatives, stated by the decree of Board of Agency, dated from 25.03.2006y. No 87, totaled asset allocation in one legal entity cannot exceed 20% from the total amount of assets insurance (reinsurance) organizations.
Date of performance:
29.08.2008
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:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
13.08.2008
08-02-3/3077
Limited enforcement action
Commitment letter
The nature of a breach:
1. 1) Failure to notify the insured on the missing documents (paragraph 3 of Article 25 of the Act), 2) delayed notification of the insured on the taken decision about the insurance occurrence (paragraph 3 of Article 29 of the Law). JSC "NSC" must submit a written obligation to the AFN on the recognition of the violations and prevent them in the future.
Date of performance:
19.08.2008
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:
“Vostok Capital”, JSC
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
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
18.08.2008
06-02-10/1834
Limited enforcement action
Commitment letter
The nature of a breach:
1. on the result of inspection|
Date of performance:
25.08.2008
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
18.08.2008
119
Sanctions and other administrative penalties
Not specified
Punishment awarded:
23360
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to meet the requirements related to the order of nomination of a manager in the part when the candidate shall be approved by the Agency.
Date of performance:
18.08.2008
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:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
18.08.2008
120
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:
18.08.2008
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:
