“OAPF “Otan”, JSC
Brocker-Dealers
21.01.2008
05-01-14/460
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.02.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temir Аt" Insurance Company, JSC
Insurance organizations
01.06.2009
06-01-15/28813
Limited enforcement action
Written agreement
The nature of a breach:
1. not implementing the requirements of the Board's decree of National Bank from 6th December 2003y No 435 "On conducting auxillary accounting and ledger introduced in the automatic information system of insurance (reinsurance) organizations"
Date of performance:
01.06.2009
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:
"Freedom Finance”, JSC
Brocker-Dealers
15.04.2014
66-4-2-15/1901
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.05.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
04.02.2008
05-01-14/9902
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.12.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
07.02.2008
5
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200KZT
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company entered into security transactions for the purpose of manipulation on the security market|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
01.06.2009
06-01-15/801
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:
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
07.02.2008
10
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200 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:
"Centras Securities", JSC
Brocker-Dealers
19.02.2008
29
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
233 600 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:
"ASYL-INVEST", JSC
Brocker-Dealers
19.02.2008
05-01-14/1136
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.02.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "London-Almaty", JSC
Insurance organizations
01.06.2009
06-01-15/793
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:
