"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Brocker-Dealers
25.12.2012
664/106/7861
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
03.01.2013
665/304/9
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
03.01.2013
665/304/6
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
10.01.2013
664/113/99
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
11.01.2013
664/106/144
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.03.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
18.01.2013
664/113/336
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
22.01.2013
664/106/439
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.02.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
23.01.2013
664/106/476
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.02.2013
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
23.01.2013
664/106/479
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.02.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
23.01.2013
664/106/473
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.02.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
