“Informational-counter center”, JSC
Brocker-Dealers
02.04.2013
66-4-1-10/341
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.12.2013
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
02.04.2013
66-4-1-10/349
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
03.04.2013
66-4-2-10/380
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
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
04.04.2013
52
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
605 850тг.
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:
“Eurasian Capital”, JSC
Brocker-Dealers
09.08.2013
66-6-3-04/1758
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.08.2013
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
11.04.2013
62
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
09.08.2013
66-4-2-10/3159
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.08.2013
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
11.04.2013
56
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
605 850тг.
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:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Brocker-Dealers
21.08.2013
66-4-1-05/3399
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
11.04.2013
66-4-1-10/497
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
