“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
28.01.2013
664/107/582
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.02.2013
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
07.02.2013
661/245/370
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.02.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
11.02.2013
664/106/942
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.06.2013
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
18.02.2013
664/106/1158
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.02.2013
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
18.02.2013
664/106/1154
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
28.02.2013
29
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
346 200тг.
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:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
07.03.2013
664/113/1645
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
02.08.2013
66-4-1-05/3037
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
02.08.2013
66-4-1-10/2997
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.08.2013
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
12.03.2013
664/113/1772
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
