Brocker-Dealers
29.10.2009
05-01-18/5142
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.11.2009
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
07.10.2008
133
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 Insurance company delayed in insurance payment to the assured.
Date of performance:
07.10.2008
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:
"Centras Securities", JSC
Brocker-Dealers
30.10.2009
05-01-18/5165
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Brocker-Dealers
03.11.2009
05-01-18/5185
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Glotur Invest”, JSC
Brocker-Dealers
04.11.2009
05-01-18/5235
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.11.2009
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
10.11.2009
05-01-18/5319
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
10.11.2009
05-01-18/5321
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
10.11.2009
05-01-18/5329
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
12.11.2009
174
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:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
12.11.2009
05-01-18/5379
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
22.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
