"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
20.05.2009
№08-01-07/3004
Limited enforcement action
Written prescription
The nature of a breach:
1. The required documents, sent by letter of the Agency have not been presented
Date of performance:
27.05.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
16.07.2007
02-03-54/1944
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.07.2007
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
22.05.2009
№02-04-33/2055
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.06.2009
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
22.05.2009
02-04-33/2055
Limited enforcement action
Commitment letter
The nature of a breach:
1. as of 01.05.09.the report has not been submitted
Date of performance:
01.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
not implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
25.07.2007
08-01-8/2377
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.07.2007
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
08.08.2007
215
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
10.08.2007
02-03-54/1946
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
23.07.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
03.09.2007
188
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
43680 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“DB Securities (Kazakhstan)”, JSC
Brocker-Dealers
03.09.2007
159
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
43 680 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
03.09.2007
200
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
43 680 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
