"Kazkommertsbank", JSC
Brocker-Dealers
31.05.2011
66001/940
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
03.06.2011
11
Limited enforcement action
Written prescription
The nature of a breach:
1. The suspension from duty member of the Board - Vice-Chairman of the Board "IFG CONTINENT" Iskendirovoy SS and withdrawal of consent to her appointment (election) the manager of the employee|
Date of performance:
10.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
implemented
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
09.06.2011
665/211/86
Limited enforcement action
Commitment letter
The nature of a breach:
1. В соответсвии со статьей 3-1 Закона Республики Казахстан "О рынке ценных бумаг" у Компании затребовано письмо обязательство содержащее факт признания нарушения и гарантию руководства Компании по его устранению. |
Date of performance:
16.06.2011
Статья/пункты НПА, Статья КоАП:
Note:
Исполнено письмом № 3/14/06-RI от 16.06.2011 |
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
16.06.2011
66001/1729
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.06.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
17.06.2011
66001/1743
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
20.06.2011
4
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75 600 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:
Brocker-Dealers
24.06.2011
66001/213
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
29.06.2011
14
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
151 200 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:
Financial Company “Alliance Capital”, JSC
Brocker-Dealers
02.07.2011
664/118/108
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Brocker-Dealers
04.07.2011
16
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75 600тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
