"Life Insurance Company State Annuity Company", JSC
Insurance organizations
20.04.2009
06-01-15/990
Limited enforcement action
Written agreement
The nature of a breach:
1. as of 01.02.2009 solvency margin adequacy ratio has been infringed and made up 0,80
Date of performance:
01.10.2009
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:
"CNIC"Interteach", JSC
Insurance organizations
20.04.2009
06-01-15/982
Limited enforcement action
Written prescription
The nature of a breach:
1. Breach of the high-liquidity assets from 9.03.09 to 12.04.09., made up 0,88-0,93
Date of performance:
27.04.2009
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:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
15.01.2006
148
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
109 200тг.
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:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
27.01.2006
56
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
41 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "TransOil", JSC
Insurance organizations
20.04.2009
06-02-10/846
Limited enforcement action
Commitment letter
The nature of a breach:
1. For breaches, revealed as a result of complex inspection
Date of performance:
20.04.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter №14964 21.04.09
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Brocker-Dealers
01.02.2006
57
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
41 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Brocker-Dealers
06.04.2006
05-01-17/1827
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.05.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Bank", JSC
Brocker-Dealers
04.05.2006
36
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
103 000тг.
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:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
04.05.2006
40
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
515 000тг.
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:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
04.06.2006
05-01-17/1828
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.06.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
