"Insurance Company "Salem", JSC (renamed from "Insurance Company "Alatau" JSC) - at the liquidation stage
Insurance organizations
04.06.2009
06-01-15/1344
Limited enforcement action
Commitment letter
The nature of a breach:
1. discrepancies between electronic data and the same on paper
Date of performance:
15.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
executed № 04/277 dated 12 June 2009
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
24.07.2014
33-2-06/1254
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
24.07.2014
33-2-06/1233
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Brocker-Dealers
12.03.2008
05-01-13/1698
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.03.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Insurance Company «Kompetenz», JSC (renamed from "Insurance Company "Аllianz Кazakhstan", JSC)
Insurance organizations
04.06.2009
06-01-15/1347
Limited enforcement action
Written prescription
The nature of a breach:
1. the maximum own deductions under insurance/reinsurance contracts exceeded the actual solvency margin
Date of performance:
01.07.2009
Статья/пункты НПА, Статья КоАП:
Note:
07-01-15/1081 dated 29 June 2009 According to the reporting at 1 July 2009, the violation was corrected
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Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
24.07.2014
33-2-06/1229
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.11.2014
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
24.07.2014
33-2-06/1229
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
13.03.2008
05-01-13/1737
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.03.2008
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
05.06.2009
02-04-33/2234
Limited enforcement action
Written prescription
The nature of a breach:
1. failed to provide with the reporting at 1 May 2009
Date of performance:
11.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
№3991 dated 8 July 2009 violations were not corrected
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Brocker-Dealers
08.04.2008
05-02-09/2390
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
