“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
02.08.2010
05-01-18/1348/14737-и
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Brocker-Dealers
10.08.2010
05-01-18/1367/15219
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
20.08.2010
10
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
07.09.2010
05-01-08/1547/17107
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
21.12.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
07.09.2010
11
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
21.12.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
22.09.2010
05-01-18/1667/18170-И
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
22.09.2010
05-01-18/1655/18168-И
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.04.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
29.09.2010
153
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
211 950 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:
Brocker-Dealers
29.09.2010
154
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:
"ASYL-INVEST", JSC
Brocker-Dealers
29.09.2010
150
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
211 950 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:
