"Centras Securities", JSC
Brocker-Dealers
30.09.2011
665/311/1058
Limited enforcement action
Written agreement
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
12.10.2011
66
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75 600тг.
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:
“IFG Continent”, JSC
Brocker-Dealers
12.10.2011
65
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800тг.
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:
“IFG Continent”, JSC
Brocker-Dealers
14.10.2011
67
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
604 800тг.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
28.10.2011
664/118/2086
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.11.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
08.11.2011
664/117/2200
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.11.2011
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
11.11.2011
664/117/2300
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
18.11.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
02.12.2011
664/118/2630
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.12.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
29.12.2011
668/208/4434
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.02.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
12.01.2012
97
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
