"First Heartland Securities", JSC
Brocker-Dealers
24.10.2014
33-1-06/3176
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
12.11.2014
33-1-06/3591
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
26.11.2014
33-1-11/3945
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
28.11.2014
33-1-06/4029
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Grain Insurance Company", JSC
Insurance organizations
09.03.2010
49
Sanctions and other administrative penalties
Not specified
Punishment awarded:
70650
The nature of a breach:
1. administrative sanction was applied due to a fact of untimely notification of the Authorized Body about opening of a branch
Date of performance:
09.03.2010
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-2
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
16.03.2010
06-01-19/230
Limited enforcement action
Written agreement
The nature of a breach:
1. Breach of prudential standards
Date of performance:
01.05.2010
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:
"Insurance Company "EcoPolicy", JSC
Insurance organizations
16.03.2010
06-01-11/236
Limited enforcement action
Commitment letter
The nature of a breach:
1. for untimely submitting the information according to the Law of the Republic of Kazakhstan "Insurance of civil law liability of owners of motor transport" in the regime of real time in the organization on forming and cunducting data
Date of performance:
31.03.2010
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:
"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
17.03.2010
02-04-33/366
Limited enforcement action
Written prescription
The nature of a breach:
1. Representation of inadequate reporting information
Date of performance:
18.03.2010
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:
"CNIC"Interteach", JSC
Insurance organizations
17.03.2010
06-01-11/239
Limited enforcement action
Written prescription
The nature of a breach:
1. breached the standards of diversification
Date of performance:
31.03.2010
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:
"Insurance Company"Atlanta-Policy", JSC
Insurance organizations
17.03.2010
02-04-33/365
Limited enforcement action
Written prescription
The nature of a breach:
1. Representation of inadequate reporting information
Date of performance:
18.03.2010
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:
