“IFG Continent”, JSC
Brocker-Dealers
30.03.2012
664/106/1566
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"AsiaCredit Bank (АзияКредит Банк)" JSC (renamed from "Joint Bank "LARIBA - Bank", JSC)
Brocker-Dealers
30.03.2012
664/106/1580
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.04.2012
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
06.04.2012
36
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:
“IFG Continent”, JSC
Brocker-Dealers
06.04.2012
35
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
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:
Brocker-Dealers
19.04.2012
39
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
242 700тг.
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:
"First Heartland Securities", JSC
Brocker-Dealers
02.05.2012
665/310/813
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.05.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
04.05.2012
664/106/2346
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
31.05.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
07.05.2012
665/310/862
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.05.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
10.05.2012
40
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
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:
"Freedom Finance”, JSC
Brocker-Dealers
10.05.2012
38
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: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
