“DB Securities (Kazakhstan)”, JSC
Brocker-Dealers
21.04.2011
10030/96
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eximbank Kazakhstan”, JSC
Brocker-Dealers
05.05.2011
10030/931
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
06.05.2011
10030/1074
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«KazakhExport» Export insurance company, JSC
Insurance organizations
05.06.2008
06-02-05/1228
Limited enforcement action
Written warning
The nature of a breach:
1. accordintg 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:
Brocker-Dealers
13.05.2011
10030/1478
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
06.06.2008
08-02-11/2263
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure p.3 art. 26 of the Law of Kazakhstan" On compulsory insurance of civil-law responsibilities of vehicle owners updated realisation of the insurance payments. On necesity of realisation the penalties.
Date of performance:
16.06.2008
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:
“Informational-counter center”, JSC
Brocker-Dealers
17.05.2011
10030/1646
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
09.06.2008
08-01-11/2276
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of the reqierments of the Law of RK art..29, s.3 "On compulsory insurance civil - law responcebility of vehicle owners." On insurance organization providing letters of commitments recognition of the fact admitted irregularities in the late notification of the victim's refusal of an insurance payment and avoid further such violations.
Date of performance:
16.06.2008
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:
"Centras Securities", JSC
Brocker-Dealers
26.05.2011
66001/546
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
27.05.2011
1
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
