First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
28.12.2006
05-01-15/8457
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
28.04.2009
02-04-33/1697
Limited enforcement action
Commitment letter
The nature of a breach:
1. The mistakes were accured in calculation of the prudential ratio and the report was submitted late as of 01.04.2009
Date of performance:
28.04.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter No 16403 from 30.04.09
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
28.12.2006
05-01-15/8456
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
15.01.2007
05-02-09/816
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.02.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Life Insurance Company «Kazkommerts -Life» (Subsidiary Organization of the « Kazkommertsbank » JSC), JSC
Insurance organizations
01.05.2009
06-01-22/770
Limited enforcement action
Written agreement
The nature of a breach:
1. For not implementing the requierment of the Decree of the Board of the National Bank of the Republic of the Kazakhstan dated 06.12.2003y. No. 435 "On conducting auxiliary accountant and Main ledger, introduced in the automated information system of the insurance (reinsurance) organization".
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Brocker-Dealers
15.01.2007
149
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
109 200
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:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
01.05.2009
06-01-22/585
Limited enforcement action
Written agreement
The nature of a breach:
1. For not implementing the requierment of the Decree of the Board of the National Bank of the Republic of the Kazakhstan dated 06.12.2003y. No. 435 "On conducting auxiliary accountant and Main ledger, introduced in the automated information system of the insurance (reinsurance) organization".
Date of performance:
01.05.2009
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:
"Kaspi Bank", JSC
Brocker-Dealers
29.01.2007
4
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
218 400тг.
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
14.02.2007
09-14/521
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.01.2007
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
26.02.2007
8
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:
