“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
19.10.2012
664/106/6319
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:
"Alibi Securities", JSC
Brocker-Dealers
19.10.2012
664/113/6276
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
19.10.2012
664/106/6275
Limited enforcement action
Written prescription
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:
"ATFBank", JSC
Brocker-Dealers
19.10.2012
664/106/6279
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
30.10.2012
125
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
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:
“Prime Financial Solution”, JSC
Brocker-Dealers
30.10.2012
119
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:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Brocker-Dealers
02.11.2012
664/106/6552
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Prime Financial Solution”, JSC
Brocker-Dealers
06.11.2012
140
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
485 400тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
06.11.2012
664/106/6661
Limited enforcement action
Written prescription
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
09.11.2012
664/106/6807
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
