“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
17.04.2008
05-01-13/2106
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Brocker-Dealers
17.04.2008
05-01-13/2104
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
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
11.12.2008
№ 06-01-15/2926
Limited enforcement action
Written prescription
The nature of a breach:
1. По результатам рассмотрения Отчета о выполнении пруденциальных нормативов по состоянию на 01.11.2008г. нарушен норматив достаточности фактической маржи платежеспособности и норматив достаточности высоколиквидных активов
Date of performance:
31.12.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
18.04.2008
59
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200тг.
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:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
18.04.2008
60
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
175 200тг.
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:
APF "Industrial Kazakhstan", JSC (renamed from “Kazakhmys" Accumulative Pension Fund”, JSC)
Brocker-Dealers
23.04.2008
05-02-09/3047
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Insurance" JSC (renamed from - "Insurance Company "Almaty International Insurance Group" JSC "Subsidiary Company "Kaspi Bank" JSC)
Insurance organizations
11.12.2008
№ 06-01-15/2925
Limited enforcement action
Written prescription
The nature of a breach:
1. According to presented Report, as of 01.11.2008, on implementing the prudential ratio has been determined a breach of assets diversification ratio, especially the scope of investment of insurance (reinsurance) organization into the securities of one second-tier bank of the Republic of Kazakhstan and issuers of the Republic of Kazakhstan which are members of banking conglomerate of such bank
Date of performance:
31.12.2008
Статья/пункты НПА, Статья КоАП:
Note:
Implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
25.04.2008
05-01-13/3085
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"IMPAO" "Accumulative Pension Fund of “Halyk Bank Kazakhstan” " JSC
Brocker-Dealers
25.04.2008
08-01-5/1714
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.05.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
28.04.2008
63
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
233 600 тг.
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:
