"FALCONRY CAPITAL", JSC
Brocker-Dealers
12.09.2012
664/106/5180
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
12.09.2012
664/106/5190
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
18.09.2012
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
13.09.2012
664/106/5223
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Aibn Asset Management”, JSC
Brocker-Dealers
13.09.2012
664/106/5214
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Brocker-Dealers
13.04.2010
02-04-34/519/6490-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Investment Company “CenterInvest”, JSC
Brocker-Dealers
13.04.2010
02-04-34/518/6489-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
20.04.2010
05-01-18/679/7031
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
04.05.2010
85
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
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:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
04.05.2010
84
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
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:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
05.05.2010
05-01-18/766/8043
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
