“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:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
11.06.2009
10-01-22/6045
Limited enforcement action
Written prescription
The nature of a breach:
1. breached the Clause 2 of the Article 24 of the Law of the RoK "On securities market"
Date of performance:
26.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
№07-2-25/0833 dated 25 June 2009 executed
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
11.06.2009
06-02-10/1410
Limited enforcement action
Commitment letter
The nature of a breach:
1. breaches being revealed during the complex audit
Date of performance:
10.08.2009
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:
Brocker-Dealers
11.04.2008
05-01-13/2619
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 "EcoPolicy", JSC
Insurance organizations
11.06.2009
06-02-05/1411
Limited enforcement action
Written prescription
The nature of a breach:
1. breaches being revealed during the complex audit
Date of performance:
10.08.2009
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:
"Temir Аt" Insurance Company, JSC
Insurance organizations
11.06.2009
06-01-15/1412
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2009
Статья/пункты НПА, Статья КоАП:
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
15.06.2009
08-01-02/2366
Limited enforcement action
Written prescription
The nature of a breach:
1. concluded insurance agreements without prior settlement of the rules of voluntary casualty insurance with the Agency |
Date of performance:
29.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
as of 29 June 2009, the reply was received from NIC, JSC by letter № 291 dated 26 June 2009 executed |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Oil Insurance Company", JSC
Insurance organizations
15.06.2009
08-01-07/3744
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.07.2009
Статья/пункты НПА, Статья КоАП:
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
16.06.2009
06-02-10/984
Limited enforcement action
Written prescription
The nature of a breach:
1. For breaches, revealed as a result of complex inspection
Date of performance:
16.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Insurance Company «Kompetenz», JSC (renamed from "Insurance Company "Аllianz Кazakhstan", JSC)
Insurance organizations
16.06.2009
08-01-06/3795
Limited enforcement action
Commitment letter
The nature of a breach:
1. non-compliance with the requirements of the Clause 7 of the Article 19 of the Law of the RoK "On mandatory employer's liability insurance against damage to life and health of it's employee"
Date of performance:
20.06.2009
Статья/пункты НПА, Статья КоАП:
Note:
№ 07-01-15-1056 dated 25 June 2009 raised objections
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
