"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
16.10.2012
120
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
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:
“Prime Financial Solution”, JSC
Brocker-Dealers
16.10.2012
118
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
647 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Aibn Asset Management”, JSC
Brocker-Dealers
16.10.2012
664/106/6137
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Aibn Asset Management”, JSC
Brocker-Dealers
16.10.2012
664/106/6136
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.10.2012
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
18.10.2012
664/106/6198
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Bank "Alfa-Bank", JSC
Brocker-Dealers
18.10.2012
664/113/6453
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Jýsan Bank", JSC (renamed from "Tsesnabank", JSC)
Brocker-Dealers
18.10.2012
664/113/6223
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
18.10.2012
664/106/6220
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Brocker-Dealers
18.10.2012
664/106/6222
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
18.10.2012
664/106/6229
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
