"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
08.10.2006
05-01-18/4767
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.10.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BTA Bank", JSC (renamed from "Bank TuranAlem", JSC)
Brocker-Dealers
14.11.2006
05-01-16/7226
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.12.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
22.04.2009
46
Sanctions and other administrative penalties
Not specified
Punishment awarded:
38190
The nature of a breach:
1. administrative sanction was applied due to the fact of submission to the Authorized Agency misleading information on the scope of obligations
Date of performance:
22.04.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 1
-
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
22.04.2009
47
Sanctions and other administrative penalties
Not specified
Punishment awarded:
155951
The nature of a breach:
1. administrative sanction was applied due to the fact that the Insurance company violated provisions of Insurance Law on transacting deals and operations
Date of performance:
22.04.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 4
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
14.11.2006
05-01-16/7227
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.12.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
24.04.2009
08-01-07/2239
Limited enforcement action
Written prescription
The nature of a breach:
1. The documents have not been fully presented for considiration of claims
Date of performance:
24.04.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter №16235 from 30.04.09
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
28.12.2006
05-01-15/8457
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
28.04.2009
02-04-33/1697
Limited enforcement action
Commitment letter
The nature of a breach:
1. The mistakes were accured in calculation of the prudential ratio and the report was submitted late as of 01.04.2009
Date of performance:
28.04.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter No 16403 from 30.04.09
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
28.12.2006
05-01-15/8456
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2007
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
15.01.2007
05-02-09/816
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.02.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
