"Freedom Finance”, JSC
Brocker-Dealers
22.04.2013
66-4-2-10/682
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
23.04.2013
66-4-1-10/738
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Brocker-Dealers
04.04.2013
66-4-3-20/754
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
02.05.2013
66-4-3-20/891
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.05.2013
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)
Brocker-Dealers
13.05.2013
66-4-2-14/1057
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.06.2013
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)
Brocker-Dealers
13.05.2013
66-4-2-14/1058
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
22.05.2013
66-4-2-14/1263
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.06.2013
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
Brocker-Dealers
22.05.2013
66-4-1-14/1254
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.06.2013
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)
Brocker-Dealers
29.05.2013
66-4-3-20/1345
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
30.05.2013
66-4-3-20/1375
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
