“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
28.01.2009
05-01-18/404
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.02.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Brocker-Dealers
16.02.2009
05-02-13/665
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.02.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
04.02.2009
02-04-33/384
Limited enforcement action
Written prescription
The nature of a breach:
1. For incorrectly submission of the report
Date of performance:
10.02.2009
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
04.02.2009
02-04-33/383
Limited enforcement action
Commitment letter
The nature of a breach:
1. For presenting incorrect data in prudential normatives
Date of performance:
10.02.2009
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:
«Subsidiary Organization of the Nurbank JSC «Nurpolicy" Insurance Company», JSC
Insurance organizations
06.02.2009
№10-01-22/1224
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
16.02.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Subsidiary Organization of the Nurbank JSC «Nurpolicy" Insurance Company», JSC
Insurance organizations
06.02.2009
02-04-33/421
Limited enforcement action
Commitment letter
The nature of a breach:
1. Infringement of the paragraph 4 of the article 67 of the Republic Kazakhsatn’s Law “On stock association” the list of the list affiliated entities as of 1 January, 1 April, 1 October has not been submitted
Date of performance:
11.02.2009
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 "TransOil", JSC
Insurance organizations
09.02.2009
06-01-15/312
Limited enforcement action
Written agreement
The nature of a breach:
1. Infringement of requirement of the Decree of the Board of the National Bank from 6th December 2003 #435 “On conducting additional accounting and ledger, introduced in automated information system of the insurance (reinsurance) organizations”
Date of performance:
01.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
09.02.2009
06-01-22/313
Limited enforcement action
Commitment letter
The nature of a breach:
1. As of 1 January 2009 the volume of investment of the insurance (reinsurance) organizations into the second - tiered bank of the RK (“Kazkommertsbank” JSC) contained draw up 06.05% from the sum of assets, excluding assets of the reinsurance
Date of performance:
16.02.2009
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:
«Subsidiary Organization of the Nurbank JSC «Nurpolicy" Insurance Company», JSC
Insurance organizations
09.02.2009
06-01-22/313
Limited enforcement action
Commitment letter
The nature of a breach:
1. As of 1 January 2009 the volume of investment of the insurance (reinsurance) organizations into the second - tiered bank of the RK (“Kazkommertsbank” JSC) contained draw up 06.05% from the sum of assets, excluding assets of the reinsurance|
Date of performance:
16.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Insurance" JSC (renamed from - "Insurance Company "Almaty International Insurance Group" JSC "Subsidiary Company "Kaspi Bank" JSC)
Insurance organizations
10.02.2009
№10-01-22/1291
Limited enforcement action
Written prescription
The nature of a breach:
1. Infringement of the paragraph 4 of the article 67 of the Republic Kazakhsatn’s Law “On stock association” the list of the list affiliated entities as of 1 January, 1 April, 1 October has not been submitted
Date of performance:
23.02.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
