"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
18.11.2008
05-02-11/5634
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.11.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization "Orleu", JSC (renamed from - “IMPAO “RESMI Asset Management”, JSC)
Brocker-Dealers
03.12.2008
161
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "TransOil", JSC
Insurance organizations
22.01.2009
176
Sanctions and other administrative penalties
Not specified
Punishment awarded:
190950
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company fulfilled the contract on terms that worsened condition of the assured (insurance beneficiary)
Date of performance:
22.01.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 5
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
03.12.2008
162
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "TransOil", JSC
Insurance organizations
22.01.2009
175
Sanctions and other administrative penalties
Not specified
Punishment awarded:
195950
The nature of a breach:
Date of performance:
22.01.2009
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:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
26.12.2008
05-02-12/6332
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
26.01.2009
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
22.01.2009
179
Sanctions and other administrative penalties
Not specified
Punishment awarded:
63650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company delayed in producing insurance payment
Date of performance:
22.01.2009
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:
"Troika Dialog Kazakhstan", JSC (renamed from "ALMEX" Asset Management", JSC)
Brocker-Dealers
29.12.2008
171
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
166 800 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:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
15.01.2009
05-01-18/182
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.01.2009
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
23.01.2009
1
Sanctions and other administrative penalties
Not specified
Punishment awarded:
63650
The nature of a breach:
1. administrative was applied due to the fact that insurance company failed to provide requested information
Date of performance:
23.01.2009
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:
