"Kaspi Insurance" JSC (renamed from - "Insurance Company "Almaty International Insurance Group" JSC "Subsidiary Company "Kaspi Bank" JSC)
Insurance organizations
11.12.2008
№ 06-01-15/2925
Limited enforcement action
Written prescription
The nature of a breach:
1. According to presented Report, as of 01.11.2008, on implementing the prudential ratio has been determined a breach of assets diversification ratio, especially the scope of investment of insurance (reinsurance) organization into the securities of one second-tier bank of the Republic of Kazakhstan and issuers of the Republic of Kazakhstan which are members of banking conglomerate of such bank
Date of performance:
31.12.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
25.04.2008
05-01-13/3085
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"IMPAO" "Accumulative Pension Fund of “Halyk Bank Kazakhstan” " JSC
Brocker-Dealers
25.04.2008
08-01-5/1714
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
28.04.2008
63
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
233 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
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
07.05.2008
05-01-13/3441
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
16.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Alliance-Policy", JSC
Insurance organizations
13.12.2008
06-02-10/2654
Limited enforcement action
Written prescription
The nature of a breach:
1. infringements of the norms of the Law of the Republic of Kazakhstan, revealed as a result of complex inspection of insurance organization
Date of performance:
13.12.2008
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:
"Integrated accumulative pension fund", JSC
Brocker-Dealers
20.05.2008
05-02-12/3651
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Centras Insurance", JSC
Insurance organizations
15.12.2008
06-01-22/2965
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a result of considering the Report, as of 01.11.2008, on implementation of prudential ratios has been determined a breach of effective solvency margin
Date of performance:
25.12.2008
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:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Brocker-Dealers
03.06.2008
05-01-13/3819
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
05.06.2008
74
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
116 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
