Brocker-Dealers
22.06.2010
109
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: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
09.07.2010
05-01-18/1185/12955
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
16.07.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
19.07.2010
05-01-18/1248/13688-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:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
29.07.2010
05-01-18/1328/14557
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
05.08.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
30.07.2010
05-01-18/1344/14663
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:
Brocker-Dealers
30.07.2010
05-01-18/1343/14657
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:
“Kazakhstan Finservise”, JSC
Brocker-Dealers
30.07.2010
05-01-18/1342/14655
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:
“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:
