“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
12.11.2012
664/106/6838
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:
"Centras Securities", JSC
Brocker-Dealers
12.11.2012
664/106/6839
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.12.2012
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
14.11.2012
664/103/6902
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
15.11.2012
148
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
404 500 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172-2
Пункт: 6
-
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
15.11.2012
152
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600 тг.
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:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
16.11.2012
664/106/6995
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
16.11.2012
664/106/6974
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
19.11.2012
129
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
566 300тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
19.11.2012
664/106/7001
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
03.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC "First Heartland Bank" (renamed from JSC "Bank ExpoCredit")
Brocker-Dealers
21.11.2012
664/106/7073
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
