"Centras Securities", JSC
Brocker-Dealers
24.07.2014
33-2-06/1229
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
24.07.2014
33-2-06/1229
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
13.03.2008
05-01-13/1737
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.03.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Insurance Company "Jýsan Garant" JSC (renamed from - Subsidiary "Tsesnabank" JSC Insurance Company "Tsesna Garant" JSC)
Insurance organizations
05.06.2009
02-04-33/2234
Limited enforcement action
Written prescription
The nature of a breach:
1. failed to provide with the reporting at 1 May 2009
Date of performance:
11.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
№3991 dated 8 July 2009 violations were not corrected
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
08.04.2008
05-02-09/2390
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.04.2008
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
11.06.2009
10-01-22/6045
Limited enforcement action
Written prescription
The nature of a breach:
1. breached the Clause 2 of the Article 24 of the Law of the RoK "On securities market"
Date of performance:
26.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
№07-2-25/0833 dated 25 June 2009 executed
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
11.06.2009
06-02-10/1410
Limited enforcement action
Commitment letter
The nature of a breach:
1. breaches being revealed during the complex audit
Date of performance:
10.08.2009
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:
Brocker-Dealers
11.04.2008
05-01-13/2619
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
11.06.2009
06-02-05/1411
Limited enforcement action
Written prescription
The nature of a breach:
1. breaches being revealed during the complex audit
Date of performance:
10.08.2009
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:
"Temir Аt" Insurance Company, JSC
Insurance organizations
11.06.2009
06-01-15/1412
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
