"Nurbank", JSC
Second tier banks
23.08.2011
668/120/1751
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 2 Article 24 of the Law of the Republic of Kazakhstan "On securities market"
Date of performance:
10.10.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 11-025175 of 06.10.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
17.10.2013
66-4-2-05/4691
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to the violation of of the requirements of paragraph 1 of Article 72 of the Law "On the Securities Market".|
Date of performance:
04.11.2013
Статья/пункты НПА, Статья КоАП:
Note:
implemented |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
251
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
250
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
66-4-1-05/4854
Sanctions and other administrative penalties
Commitment letter
The nature of a breach:
Date of performance:
08.11.2013
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
24.10.2013
250
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
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:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Portofolio Manager
29.10.2013
66-4-1-05/5066
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.11.2013
Статья/пункты НПА, Статья КоАП:
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
29.10.2013
66-4-2-05/5055
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
13.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
08.11.2013
66-4-3-20/5309
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
08.11.2013
66-4-2-05/5312
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
