“Prime Financial Solution”, JSC
Brocker-Dealers
14.08.2009
05-01-18/3942
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
17.08.2009
05-01-18/3956
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
19.08.2009
05-01-19/3991
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
19.08.2009
05-01-19/3992
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
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
19.08.2009
05-01-19/3988
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
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
19.08.2009
05-01-19/3989
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
19.08.2009
05-01-19/3987
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.08.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kaspi Bank", JSC
Brocker-Dealers
01.09.2009
05-02-09/4175
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
07.09.2009
05-02-09/4267
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ATFBank", JSC
Brocker-Dealers
07.09.2009
05-02-09/4265
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.09.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
