“Vostok Capital”, JSC
Brocker-Dealers
28.04.2009
05-01-18/2097
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:
"Freedom Finance”, JSC
Brocker-Dealers
28.04.2009
05-01-18/2087
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:
Brocker-Dealers
13.05.2009
05-01-14/2366
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2009
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
13.05.2009
05-01-14/2365
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Brocker-Dealers
20.05.2009
05-02-09/2486
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Temirbank" JSC
Brocker-Dealers
21.05.2009
05-02-13/2525
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
29.05.2009
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
09.06.2009
97
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
254 600 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:
"Subsidiary Bank "Alfa-Bank", JSC
Brocker-Dealers
15.06.2009
05-01-18/2913
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
15.06.2008
05-01-18/2908
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
18.06.2009
05-01-18/2907
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
