"Investment House "Fincraft", JSC
Brocker-Dealers
21.08.2013
66-4-1-05/3410
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
12.04.2013
66-4-2-10/528
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.06.2013
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
12.04.2013
66-4-1-10/529
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
21.08.2013
66-4-1-05/3398
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:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
26.08.2013
66-6-3-04/1992
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
16.04.2013
66-4-2-10/565
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.05.2013
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
02.09.2013
66-4-1-05/3660
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
05.09.2013
222
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
155 790 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
17.04.2013
59
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
865 500тг.
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:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
09.09.2013
66-4-2-05/3794
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
