"Verny Capital", JSC
Portofolio Manager
08.09.2013
139
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:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
09.09.2013
66-4-2-05/3794
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.09.2013
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
11.09.2013
66-4-2-05/3911
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
11.09.2013
66-4-2-05/3874
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
13.09.2013
66-4-2-05/3979
Limited enforcement action
Commitment letter
The nature of a breach:
1. Due to the late submission of the reply to the Committee.|
Date of performance:
30.09.2013
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
13.09.2013
66-4-2-10/3982
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
17.09.2013
66-4-2-05/4069
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
26.09.2013
66-6-3-04/2345
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
26.09.2013
66-6-3-04/2344
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
26.09.2013
66-4-2-05/4207
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
