Brocker-Dealers
22.11.2012
158
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: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Prime Financial Solution”, JSC
Brocker-Dealers
22.11.2012
157
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
404 500тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
26.11.2012
664/113/7204
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:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
29.11.2012
168
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
04.12.2012
664/106/7371
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.12.2012
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
07.12.2012
664/106/7502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.12.2012
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
10.12.2012
664/1113/7548
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.12.2012
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
25.12.2012
664/106/7861
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
03.01.2013
665/304/9
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
03.01.2013
665/304/6
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
