APF "Industrial Kazakhstan", JSC (renamed from “Kazakhmys" Accumulative Pension Fund”, JSC)
Brocker-Dealers
07.08.2009
134
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 KZT
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance (two or more times within the consecutive calendar months) by the professional participant of the securities market, with the requirements provided for its activity by legislation|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
14.08.2009
05-01-18/3930
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Brocker-Dealers
14.08.2009
05-01-18/3940
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
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
30.07.2008
111
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:
30.07.2008
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:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
14.08.2009
05-01-18/3944
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Prime Financial Solution”, JSC
Brocker-Dealers
14.08.2009
05-01-18/3942
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
17.08.2009
05-01-18/3956
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.08.2009
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
19.08.2009
05-01-19/3991
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
19.08.2009
05-01-19/3992
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
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
19.08.2009
05-01-19/3988
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
