«Investment Financial House» RESMI», JSC
Brocker-Dealers
10.03.2011
05-02-09/356/4716-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:
Brocker-Dealers
17.03.2011
22
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:
"Temir Аt" Insurance Company, JSC
Insurance organizations
20.05.2008
06-01-22/1192
Limited enforcement action
Written prescription
The nature of a breach:
1. Breach of subparagaph 1 of paragraph 31 of Instruction on normative values & methodology of calculations prudencial specifications insurance organizations, forms and terms of representation of reports about performance prudencial specifications authorized by Decree of Board of Agency of RK on regulation and supervision of the financial market & financial organizations dated from 25 March 2006 No.87.
Date of performance:
30.05.2008
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:
Brocker-Dealers
08.04.2011
05-01-18/501/6835-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.04.2011
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
26.05.2008
08-02-3/2071
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
02.06.2008
06-03-14/1187
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.06.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
11.04.2011
05-01-18/508/7056-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.05.2011
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
19.04.2011
10029/159
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "SAYA", JSC
Insurance organizations
02.06.2008
06-01-14/1187
Limited enforcement action
Commitment letter
The nature of a breach:
1. late submission of annual actuarial conclusion.|
Date of performance:
05.06.2008
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
19.04.2011
10029/150
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
