Brocker-Dealers
04.07.2011
3
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:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
12.07.2011
664/117/256
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
15.07.2011
665/311/376
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
22.07.2011
664/118/502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
26.07.2011
664/118/564
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.08.2011
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
26.07.2011
664/118/578
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
03.08.2011
25
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800 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:
"Troika Dialog Kazakhstan", JSC (renamed from "ALMEX" Asset Management", JSC)
Brocker-Dealers
12.08.2011
664/117/862
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temir Аt" Insurance Company, JSC
Insurance organizations
11.06.2008
06-01-22/1265
Limited enforcement action
Written prescription
The nature of a breach:
1. Failure to implement the reqierments of sub-paragraph 1) of paragraph 31 of regulatory Instructions on normftive value and methodic of calculating prudential normatives of insurance (reinsurance) organisations, values and standards for reporting on implementation of prudential normatives approved by the Decree of the Agency from 25.03.06y. № 87.
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
12.08.2011
664/117/963
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
