"ATFBank", JSC
Brocker-Dealers
18.01.2008
05-01-14/405
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.01.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Brocker-Dealers
28.12.2013
66-4-3-20/6644
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Brocker-Dealers
18.01.2008
05-02-12/369
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.01.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
28.01.2014
140000943000009
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
21.01.2008
12
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
350 400 тенге
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:
"Temir Аt" Insurance Company, JSC
Insurance organizations
01.06.2009
06-01-15/803
Limited enforcement action
Written prescription
The nature of a breach:
1. for untimely submitting the information according to the Law of the Republic of Kazakhstan "Insurance of civil law liability of owners of motor transport" in the regime of real time in the organization on forming and cunducting data
Date of performance:
01.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
06.03.2014
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.04.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "TransOil", JSC
Insurance organizations
01.06.2009
06-01-15/789
Limited enforcement action
Written prescription
The nature of a breach:
1. for untimely submitting the information according to the Law of the Republic of Kazakhstan "Insurance of civil law liability of owners of motor transport" in the regime of real time in the organization on forming and cunducting data
Date of performance:
01.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
06.03.2014
66-6-3-10/558
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.03.2014
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
26.03.2014
66-4-2-10/1549
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.04.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
