"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:
"Insurance Company "Centras Insurance", JSC
Insurance organizations
15.12.2008
06-01-22/2964
Limited enforcement action
Commitment letter
The nature of a breach:
1. The report on loss ratio has been presented without chief accountant’s
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:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
05.06.2008
75
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
525 600
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:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
07.06.2008
73
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
292 000 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:
"Subsidiary Life Insurance Company of the BTA Bank "BTA Life", JSC
Insurance organizations
18.12.2008
166
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
58 400 KZT
The nature of a breach:
1. administrative sanction was applied due to delay in producing insurance payments|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 174
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
10.06.2008
05-01-13/3887
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.06.2008
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
10.06.2008
05-01-13/3885
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
