«Management company «ORDA Capital» , JSC
Brocker-Dealers
18.10.2012
664/106/6228
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Brocker-Dealers
18.10.2012
664/106/6221
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:
“Aibn Asset Management”, JSC
Brocker-Dealers
18.10.2012
664/106/6226
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:
“Prime Financial Solution”, JSC
Brocker-Dealers
18.10.2012
664/106/6224
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:
“Prime Financial Solution”, JSC
Brocker-Dealers
18.10.2012
664/106/6219
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
18.10.2012
664/106/6232
Limited enforcement action
Written prescription
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:
Brocker-Dealers
18.10.2012
664/113/6235
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
19.10.2012
664/106/6307
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
19.10.2012
664/106/6317
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
19.10.2012
664/106/6315
Limited enforcement action
Written prescription
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:
