Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "TransOil", JSC
Insurance organizations
14.09.2008
06-01-18/863
Limited enforcement action
Commitment letter
The nature of a breach:
1. Breach of subparagraph 1 paragraph 31 of Instruction on normative values & methodology of calculations prudencial coefficients of insurance organizations, forms and terms of representation of reports on performance of prudencial normatives confirmed by Decree of the Board of Agency of the RK on regulation and supervision of the financial market & financial organizations dated 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:
"Investment House "Fincraft", JSC
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
21.10.2009
05-02-13/5006
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
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
29.09.2008
Limited enforcement action
Written agreement
The nature of a breach:
1. Infringement of requirements of subitem 2 point 7 of Article 8-1 of Law of RK "On obligatory insurance of the civil-law responsibility of owners of vehicles" & Decrees of Board of Agency dated from 25 June 2007 No.177 "On the statement of the Instruction on formation & conducting a database on obligatory insurance on the civil-law responsibility of owners of vehicles ".
Date of performance:
01.09.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
29.09.2008
Limited enforcement action
Written agreement
The nature of a breach:
1. Infringement of requirements of subitem 2 point 7 of Article 8-1 of Law of RK "On obligatory insurance of the civil-law responsibility of owners of vehicles" & Decrees of Board of Agency dated from 25 June 2007 No.177 "On the statement of the Instruction on formation & conducting a database on obligatory insurance on the civil-law responsibility of owners of vehicles ".|
Date of performance:
01.09.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented|
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
01.10.2008
08-02-3/4646
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
07.10.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
21.10.2009
05-02-13/5006
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
