“IFG Continent”, JSC
Brocker-Dealers
11.03.2008
40
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200 тг.
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"Victoria", JSC
Insurance organizations
02.06.2009
84
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 extent of the obligations
Date of performance:
02.06.2009
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:
"Freedom Finance”, JSC
Brocker-Dealers
22.07.2014
140000803000275
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 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:
"Alibi Securities", JSC
Brocker-Dealers
24.07.2014
33-2-06/1251
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Brocker-Dealers
12.03.2008
35
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 080 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Salem", JSC (renamed from "Insurance Company "Alatau" JSC) - at the liquidation stage
Insurance organizations
04.06.2009
06-01-15/1344
Limited enforcement action
Commitment letter
The nature of a breach:
1. discrepancies between electronic data and the same on paper
Date of performance:
15.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
executed № 04/277 dated 12 June 2009
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
24.07.2014
33-2-06/1254
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
24.07.2014
33-2-06/1233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Brocker-Dealers
12.03.2008
05-01-13/1698
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.03.2008
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
04.06.2009
06-01-15/1347
Limited enforcement action
Written prescription
The nature of a breach:
1. the maximum own deductions under insurance/reinsurance contracts exceeded the actual solvency margin
Date of performance:
01.07.2009
Статья/пункты НПА, Статья КоАП:
Note:
07-01-15/1081 dated 29 June 2009 According to the reporting at 1 July 2009, the violation was corrected
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Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
