“Investment management of Pension assets organization "Orleu", JSC (renamed from - “IMPAO “RESMI Asset Management”, JSC)
Brocker-Dealers
03.12.2007
281
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
163 800тг.
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:
"Alibi Securities", JSC
Brocker-Dealers
25.12.2013
66-4-2-10/6571
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
05.12.2007
288
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:
"Insurance Company "TransOil", JSC
Insurance organizations
29.05.2009
06-02-10/845
Limited enforcement action
Written prescription
The nature of a breach:
1. For breaches, revealed as a result of complex inspection
Date of performance:
29.05.2009
Статья/пункты НПА, Статья КоАП:
Note:
Implemented by the letter 22.04.09 № 15022
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "NOMAD Insurance" , JSC
Insurance organizations
01.06.2009
06-01-15/791
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:
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
28.12.2013
332
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
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:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
07.12.2007
289
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:
Brocker-Dealers
13.12.2007
05-01-14/9967
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.12.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
29.12.2007
05-01-14/10307
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.01.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Brocker-Dealers
18.01.2008
05-01-14/405
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.01.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
