"Centras Securities", JSC
Brocker-Dealers
05.06.2014
33-2-06/31
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.06.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
02.07.2014
33-1-06/652
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
01.06.2009
06-01-15/800
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:
Investment Company “CenterInvest”, JSC
Brocker-Dealers
26.02.2008
05-01-13/1369
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.03.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Insurance Company «Kompetenz», JSC (renamed from "Insurance Company "Аllianz Кazakhstan", JSC)
Insurance organizations
01.06.2009
06-01-15/805
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:
"Citibank Kazakhstan", JSC
Brocker-Dealers
04.07.2014
33-2-06/759
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
04.03.2008
31
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
140 160 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
09.07.2014
33-1-06/796
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
22.07.2014
140000803000276
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193-1
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
01.06.2009
06-01-15/790
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:
