"ATFBank", JSC
Brocker-Dealers
04.09.2007
183
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
43 680KZT
The nature of a breach:
1. administrative sanction was applied in the violation of the professional securities market participant of the order of keeping the register of securities holders|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 196
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
04.09.2007
174
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:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
04.09.2007
182
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:
Brocker-Dealers
04.09.2007
170
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:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
04.09.2007
158
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:
Brocker-Dealers
04.09.2007
181
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:
"Kaspi Bank", JSC
Brocker-Dealers
04.09.2007
162
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:
"ATFBank", JSC
Brocker-Dealers
04.09.2007
192
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:
«ForteBank», JSC
Brocker-Dealers
04.09.2007
191
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:
«Insurance Company «Kompetenz», JSC (renamed from "Insurance Company "Аllianz Кazakhstan", JSC)
Insurance organizations
25.05.2009
06-01-22/771
Limited enforcement action
Written agreement
The nature of a breach:
1. For not implementing the requierment of the Decree of the Board of the National Bank of the Republic of the Kazakhstan dated 06.12.2003y. No. 435 "On conducting auxiliary accountant and Main ledger, introduced in the automated information system of the insurance (reinsurance) organization".
Date of performance:
25.05.2009
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:
