"FALCONRY CAPITAL", JSC
Portofolio Manager
16.07.2013
66-4-1-10/2528
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
16.07.2013
66-4-1-10/2525
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
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:
«Private Asset Management», JSC
Portofolio Manager
24.07.2013
66-4-2-10/2735
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
04.07.2013
66-4-2-10/2735
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.07.2013
66-4-1-10/2736
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.11.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
25.07.2013
135
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
25.07.2013
137
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
692 400тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 199
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
25.07.2013
134
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
02.08.2013
66-4-1-05/3037
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
