"Premier Capital", JSC
Portofolio Manager
20.12.2009
05-01-18/5878
Sanctions and other administrative penalties
Commitment letter
The nature of a breach:
1. The need for a term up to December 29, 2009 to submit a letter containing a commitment to the recognition of gaps and warranty management, as well as up to 31 December 2009 to remedy a violation of paragraph 38-4, Rules of broker - dealer activity approved by the Resolution of the Board of the Agency's number 317 August 27, 2005. |
Date of performance:
29.12.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
20.12.2009
05-01-18/5879
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.01.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
28.12.2009
23
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
26.01.2010
6
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
01.02.2010
05-01-18/163
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.02.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
05.02.2010
05-01-18/190/2203
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.02.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
09.02.2010
7
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
565 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
19.02.2010
05-01-18/282/3163-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.03.2010
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
Portofolio Manager
23.02.2010
05-01-18/301/3330
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
09.03.2010
51
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
