Brocker-Dealers
22.08.2012
668/119/4788
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Brocker-Dealers
22.08.2012
664/113/4830
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
03.09.2012
664/106/5012
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
04.09.2012
664/106/5027
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
06.09.2012
664/106/5077
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"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:
