«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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
04.10.2013
66-4-2-05/4369
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:
"Subsidiary Life Insurance Company of the BTA Bank "BTA Life", JSC
Insurance organizations
13.02.2004
06-01-17/249
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.01.2004
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Subsidiary Company of the BTA Bank "BTA Insurance", JSC
Insurance organizations
16.02.2004
06-01-17/258
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.04.2004
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
