"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
10.06.2013
66-4-3-20/1580
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
12.06.2013
66-4-1-10/1675
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
13.06.2013
91
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
17.06.2013
66-4-1-10/1756
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
20.06.2013
93
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
432 750тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 172
Пункт: 6
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
20.06.2013
92
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
24.06.2013
66-6-3-04/1191
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.07.2013
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
24.06.2013
66-6-3-04/119266-6-3-04/119266-6-3-04/1192
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.07.2013
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
25.06.2013
107
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
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:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
25.06.2013
106
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:
