Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
22.07.2013
66-4-2-10/2683
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Almaty Regional Finantional Center Brocker-Dealers
21.08.2013
66-4-1-05/3399
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CNIC"Interteach", JSC
Insurance organizations
10.08.2010
06-01-11/846
Limited enforcement action
Written prescription
The nature of a breach:
1. Breached the requirement of Kazakhstan Republic law
Date of performance:
31.08.2010
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:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
04.09.2013
66-4-3-20/3714
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Almaty Regional Finantional Center Brocker-Dealers
04.12.2013
66-4-1-05/5837
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Pana Insurance", JSC
Insurance organizations
18.08.2010
06-01-11/867
Limited enforcement action
Commitment letter
The nature of a breach:
1. incorrect reporting related to loss ratio as of 01.08.10
Date of performance:
31.08.2010
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:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
12.11.2014
33-1-06/3575
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
01.07.2015
33-1-07/5117
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.07.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
03.08.2015
33-1-06/6033
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Insurance Company "Kazakhmys", JSC
Insurance organizations
19.08.2010
08-02-07/3643
Limited enforcement action
Written prescription
The nature of a breach:
1. insurance failure of payment
Date of performance:
28.08.2010
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:
