“DB Securities (Kazakhstan)”, JSC
Brocker-Dealers
30.03.2010
65
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
17.11.2008
№ 06-01-15/2697
Limited enforcement action
Commitment letter
The nature of a breach:
1. Infringement of requirments of the Law of the Republic of Kazakhstan, obligatory for implementation by all the insurance organizations. realizing obligatory insurance of civil-law responcibility of vehicle's owners
Date of performance:
28.11.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
17.11.2008
№ 06-01-15/2693
Limited enforcement action
Commitment letter
The nature of a breach:
1. Insurance company (IC) should present written obligation to the Agency containing the fact of considering violations of the Law of Republic of Kazakhstan, and guarantee of the head of IC on not admitting further similar infringes
Date of performance:
28.11.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
08.04.2010
05-01-18/573/6282
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Brocker-Dealers
08.04.2010
05-01-18/576/6289-и
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "London-Almaty", JSC
Insurance organizations
17.11.2008
№ 06-01-15/2692
Limited enforcement action
Commitment letter
The nature of a breach:
1. Infringement of requirments of the Law of the Republic of Kazakhstan, obligatory for implementation by all the insurance organizations. realizing obligatory insurance of civil-law responsibility of vehicle's owners
Date of performance:
28.11.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Life Insurance Company «Kazkommerts -Life» (Subsidiary Organization of the « Kazkommertsbank » JSC), JSC
Insurance organizations
17.11.2008
06-01-15/2682
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.11.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
13.04.2010
05-01-18/616/6541
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Brocker-Dealers
13.04.2010
02-04-34/519/6490-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Insurance Company «Kompetenz», JSC (renamed from "Insurance Company "Аllianz Кazakhstan", JSC)
Insurance organizations
17.11.2008
06-01-15/2700
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.01.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
