"Investment House "Fincraft", JSC
Brocker-Dealers
15.12.2014
33-1-06/3125
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
15.12.2014
33-1-06/4381
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Brocker-Dealers
22.12.2014
33-1-06/4523
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Коmmesk-Оmir", JSC
Insurance organizations
26.03.2010
06-01-11/266
Limited enforcement action
Written prescription
The nature of a breach:
1. Breach of sub-clause 1 of article 48 of the Law "On insurance activity"
Date of performance:
08.04.2010
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:
"Oil Insurance Company", JSC
Insurance organizations
30.03.2010
08-01-07/1219/5435
Limited enforcement action
Commitment letter
The nature of a breach:
1. The Company has breached the requirements of the Article 29 of RK Law "On mandatory motor third party insurance" (unlawfully refusal to pay insurance benefit).
Date of performance:
31.05.2010
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:
"Subsidiary of Halyk Bank of Kazakhstan "Halyk" Insurance Company", JSC (renamed from “Halyk – Kazakhinstrakh” Subsidiary Insurance Company of the Halyk Bank Kazakhstan», JSC)
Insurance organizations
30.03.2010
62
Sanctions and other administrative penalties
Not specified
Punishment awarded:
70650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company submitted to the authorized body its unreliable reporting
Date of performance:
30.03.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary of Halyk Bank of Kazakhstan "Halyk" Insurance Company", JSC (renamed from “Halyk – Kazakhinstrakh” Subsidiary Insurance Company of the Halyk Bank Kazakhstan», JSC)
Insurance organizations
30.03.2010
61
Sanctions and other administrative penalties
Not specified
Punishment awarded:
565200
The nature of a breach:
1. administrative sanction was applied due to the fact of drawing up report, leading to falsification of indicators on observance of prudential normative contained in it
Date of performance:
30.03.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 173
Пункт: 11
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Brocker-Dealers
22.12.2014
33-1-06/4525
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
25.12.2014
33-1-06/4667
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
25.12.2014
33-1-06/4671
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
