"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001657
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800 тенге
The nature of a breach:
1. administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
05.01.2018
№170000803001656
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
453 800 тенге
The nature of a breach:
1. Administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
06.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
17.01.2018
№170000803001668
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
567 250
The nature of a breach:
1. Non-fulfillment of the obligations by subjects of financial monitoring on development, acceptance and (or) execution of the rules of internal control and programs of its carrying out or inconsistence of internal control with the requirements of the legislation of the Republic of Kazakhstan on counteraction to legalization (laundering) of incomes received by illegal means and financing of terrorism
Date of performance:
26.02.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 214
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Implemented
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
25.04.2018
№33-3-08/2396
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
05.05.2018
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:
Центральный аппарат
"MOI Insurance Broker.kz", LLP
Insurance brockers
05.05.2018
180000803000928
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
481 000 тенге
The nature of a breach:
1. Administrative sanction was applied due to in the submission to the authorized body false statements
Date of performance:
28.06.2018
Статья/пункты НПА, Статья КоАП:
1.
Статья: 228
Пункт: 2
- Of Administrative Violations Code of the Republic of Kazakhstan
Note:
Payed
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
03.07.2018
№24-2-03/338
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
- Requirement of rules № 47
Type of Enactments
1. On compliance with accounting and financial reporting standards
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
"Insurance Broker "Axiom", LLP
Insurance brockers
08.11.2018
№33-3-08/7189
Limited enforcement action
Written warning
The nature of a breach:
1. For violation of the legislation at the conclusion of reinsurance contracts
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«SP Malakut» Insurance Broker», LLP
Insurance brockers
29.11.2018
№180000803001539
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
1 415 685
The nature of a breach:
1. administrative offense resulted in the accounting of the violation of the requirements established by the legislation of the Republic of Kazakhstan on accounting and financial reporting, and methods (principles) accounting, which led to a distortion of the financial statements
Date of performance:
08.01.2019
Статья/пункты НПА, Статья КоАП:
1.
Статья: 239
Пункт: 4
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
Verny Insurance Broker LLP (formerly known as RMCG Insurance Broker LLP)
Insurance brockers
21.01.2019
№190000803000070
Sanctions and other administrative penalties
Warning
The nature of a breach:
1. The failure to file the financial statements and other types of reporting on time
Статья/пункты НПА, Статья КоАП:
1.
Статья: 212
Пункт: 1
- Of the Code of the Republic of Kazakhstan "on administrative offences"
Type of Enactments
1. On submission financial and other reporting
Name of Regional Branch of National Bank of Kazakhstan / Department:
Центральный аппарат
«SP Malakut» Insurance Broker», LLP
Insurance brockers
26.04.2019
33-3-08/1682
Limited enforcement action
Written prescription
The nature of a breach:
1. By results of inspection
Date of performance:
17.05.2019
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:
Центральный аппарат
