"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
16.04.2008
05-01-13/2088
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
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
17.04.2008
05-01-13/2106
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC Kaspi Group
Bank holdings
20.03.2007
04-01-08/950
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"JP Finance Group" LLC
Bank holdings
20.03.2007
04-01-08/950
Limited enforcement action
Written prescription
The nature of a breach:
1. The written order to the bank holding of a JSC «Bank Caspian», Caspian Group B.V., concerning failure to submit the necessary documents related to the allocation of bank shares|
Статья/пункты НПА, Статья КоАП:
Note:
Implemented via letter #23.2/1-41 of 30.03.2007|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kookmin Bank
Bank holdings
26.04.2007
04-01-15/1346
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kookmin Bank
Bank holdings
11.05.2007
02-01-12/1277
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Tsesna" Corporation, JSC
Bank holdings
04.06.2007
140
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
21 840тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Central Asian Investment Company", JSC
Bank holdings
08.11.2007
02-01-12/2751
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Tsesna" Corporation, JSC
Bank holdings
21.11.2007
02-01-12/3611
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Kookmin Bank
Bank holdings
15.05.2008
02-01-14/1629
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
