“Prime Financial Solution”, JSC
Brocker-Dealers
18.10.2012
664/106/6224
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Prime Financial Solution”, JSC
Brocker-Dealers
18.10.2012
664/106/6219
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:
"Alibi Securities", JSC
Brocker-Dealers
18.10.2012
664/106/6232
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
18.10.2012
664/113/6235
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
19.10.2012
664/106/6307
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
19.10.2012
664/106/6317
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
19.10.2012
664/106/6315
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.10.2012
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
19.10.2012
664/106/6319
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Brocker-Dealers
19.10.2012
664/113/6276
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
19.10.2012
664/106/6275
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
