"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
25.02.2010
22
Sanctions and other administrative penalties
Not specified
Punishment awarded:
42390
The nature of a breach:
1. administrative sanction was applied due to submission of inadequate reports to the Authorized Body
Date of performance:
25.02.2010
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:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
01.03.2010
06-01-11/192
Limited enforcement action
Commitment letter
The nature of a breach:
1. Representation of inadequate reporting information
Date of performance:
17.03.2010
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:
"Life Insurance Company State Annuity Company", JSC
Insurance organizations
01.03.2010
06-01-11/190/3812-И
Limited enforcement action
Commitment letter
The nature of a breach:
1. incorrect reporting related to loss ratio as of 01.01.10, 01.02.10 |
Date of performance:
12.03.2010
Статья/пункты НПА, Статья КоАП:
Note:
Implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Eurasia" Insurance Company", JSC
Insurance organizations
04.03.2010
48
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 failed to meet the requirements related to the order of nomination (election) of the manager
Date of performance:
04.03.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
12.09.2014
33-2-06/2329
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
12.09.2014
140000803000624, 140000803000625, 140000803000626, 140000803000627
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
3 704 000 тг
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
26.09.2014
140000803000638
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тенге
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
29.09.2014
33-1-06/2620
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.10.2014
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
08.10.2014
33-1-06/2831
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Brocker-Dealers
08.10.2014
33-1-06/2830
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
