"Centras Securities", JSC
Brocker-Dealers
22.08.2006
05-02-13/4991
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
22.09.2006
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
21.04.2009
№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
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
22.04.2009
45
Sanctions and other administrative penalties
Not specified
Punishment awarded:
63650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to meet the requirements related to appointment of the manager of insurance company
Date of performance:
22.04.2009
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Glotur Invest”, JSC
Brocker-Dealers
21.09.2006
103
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
20 600тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"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:
