"Centras Securities", JSC
Brocker-Dealers
17.06.2008
05-01-13/3967
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
29.12.2008
№06-01-15/3097
Limited enforcement action
Written agreement
The nature of a breach:
1. Not implementation of the requirements of the Decree, No 435 dated December 6th 2003, of the Board of Governance of the National Bank of the Republic of Kazakhstan «On conducting auxiliary accountant and ledger, instilled in the automated information system of insurance (reinsurance) organizations»
Date of performance:
01.03.2009
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
20.06.2008
05-01-13/4011
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CNIC"Interteach", JSC
Insurance organizations
29.12.2008
№06-01-15/3096
Limited enforcement action
Written agreement
The nature of a breach:
1. Not implementation of the requirements of the Decree, No 435 dated December 6th 2003, of the Board of Governance of the National Bank of the Republic of Kazakhstan «On conducting auxiliary accountant and ledger, instilled in the automated information system of insurance (reinsurance) organizations»
Date of performance:
01.08.2009
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
31.12.2008
06-01-15/2927
Limited enforcement action
Written prescription
The nature of a breach:
1. "Considering the Report as of 01.11.2008 on compliance with the prudential ratios has been determined a breach of adequacy ratios of solvency margin and high-liquidity assets . "
Date of performance:
31.12.2008
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:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
31.12.2008
06-01-15/2928
Limited enforcement action
Written prescription
The nature of a breach:
1. "Considering the Report as of 01.11.2008 on compliance with the prudential ratios has been determined a breach of adequacy ratios of solvency margin and high-liquidity assets . "
Date of performance:
31.12.2008
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:
"Temir Аt" Insurance Company, JSC
Insurance organizations
31.12.2008
06-01-15/2924
Limited enforcement action
Written prescription
The nature of a breach:
1. Considering the Report as of 01.11.2008 on compliance with the prudential ratios has been determined a breach of solvency margin adequacy ratio
Date of performance:
31.12.2008
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:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Brocker-Dealers
15.07.2008
05-01-14/4271
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
22.07.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
23.07.2008
05-01-18/4458
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.08.2008
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
31.12.2008
06-01-15/2926
Limited enforcement action
Written prescription
The nature of a breach:
1. По результатам рассмотрения Отчета о выполнении пруденциальных нормативов по состоянию на 01.11.2008г. нарушен норматив достаточности фактической маржи платежеспособности и норматив достаточности высоколиквидных активов
Date of performance:
31.12.2008
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:
