"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
21.08.2014
33-2-06/1928
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the violation of the requirements of paragraph 17 of Article 72-1 of the Law of the Republic of Kazakhstan "On the Securities Market"|
Date of performance:
08.09.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
27.08.2014
140000803000586
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тг.
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
27.08.2014
140000803000585
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 тг.
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:
"Centras Securities", JSC
Portofolio Manager
12.09.2014
33-2-06/2329
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Portofolio Manager
29.09.2014
33-1-06/2620
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 1 of the Directions to the software and hardware and other equipment needed to carry out activities in the securities market|
Date of performance:
15.10.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
08.10.2014
33-1-06/2830
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
09.10.2014
33-2-06/2856
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.10.2014
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
22.10.2014
33-1-06/3125
Limited enforcement action
Written prescription
The nature of a breach:
1. Due to weaknesses in the risk management system|
Date of performance:
11.07.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
23.10.2014
33-2-06/3146
Limited enforcement action
Commitment letter
The nature of a breach:
1. Violation of paragraph 4 of the Rules of the publication of financial statements of the join-stock company and financial institutions approved by the Board of the National Bank from August 31, 2012 № 282|
Date of performance:
07.11.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
24.10.2014
33-1-06/3176
Limited enforcement action
Commitment letter
The nature of a breach:
1. According to the violation of the requirements of the paragraph 4 of the Resolution of the National Bank of Kazakhstan on August 31, 2012 № 282|
Date of performance:
12.11.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
