"Eurasian Bank", JSC
Brocker-Dealers
10.09.2013
66-6-3-04/2175
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.09.2013
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
17.04.2013
58
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
11.09.2013
66-4-2-05/3911
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Brocker-Dealers
11.09.2013
66-4-2-05/3874
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.09.2013
Статья/пункты НПА, Статья КоАП:
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
18.04.2013
66-4-2/10/606
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
13.09.2013
66-4-2-05/3979
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.09.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
26.09.2013
66-4-2-05/4207
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Brocker-Dealers
01.10.2013
66-6-3-04/2400
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Brocker-Dealers
01.10.2013
66-6-3-04/2401
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
04.10.2013
66-4-2-05/4370
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
