"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
18.05.2010
94
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
21.05.2010
96
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
24.05.2010
05-01-18/893/9456
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
28.05.2010
97
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 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:
"Freedom Finance”, JSC
Brocker-Dealers
28.05.2010
100
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: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
28.05.2010
99
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
282 600 тг.
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:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
03.06.2010
05-01-08/962/10248-И
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
03.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
22.06.2010
115
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
183 690 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
22.06.2010
109
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
09.07.2010
05-01-18/1185/12955
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.07.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
