Brocker-Dealers
28.04.2009
05-01-18/2106
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Brocker-Dealers
28.04.2009
05-01-18/2105
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
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
28.04.2009
05-01-18/2091
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
28.04.2009
05-01-18/2102
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Glotur Invest”, JSC
Brocker-Dealers
28.04.2009
05-01-18/2094
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Tengry Finance”, JSC(renamed from “RBNT Securities”, JSC)
Brocker-Dealers
28.04.2009
05-01-18/2103
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
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
28.04.2009
05-01-18/2096
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
28.04.2009
05-01-18/2104
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
28.04.2009
05-01-18/2090
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
28.04.2009
05-01-18/2099
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
