“Eurasian Capital”, JSC
Brocker-Dealers
24.01.2011
05-01-18/107/1427-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.02.2011
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
27.01.2011
203
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
27.01.2011
202
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
604 800 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
02.02.2011
05-01-18/135/1964
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Brocker-Dealers
02.02.2011
05-01-18/136/1967
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
03.02.2011
05-01-18/145/2051
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.02.2011
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
08.02.2011
12
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151 200 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:
Brocker-Dealers
01.03.2011
21
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
105 840тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
10.03.2011
05-02-09/351/4707-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.03.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Life Insurance Company State Annuity Company", JSC
Insurance organizations
28.04.2008
02-03-30/1418
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of the subparagraph 1 paragraph 31 of Instruction on normative values & methodology of calculations prudencial normatives of insurance organizations, forms and terms of representation of reports on implementing prudencial normatives confirmed by Decision of Board of the Agency of the RK on regulation and supervision of financial market & financial organizations dated 25 March 2006 No.87.
Date of performance:
30.04.2008
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:
