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:
Brocker-Dealers
04.07.2011
3
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:
"Managing Company "Asia Capital", JSC (renamed from - Management Company “VIRTUS INVEST”, JSC)
Brocker-Dealers
12.07.2011
664/117/256
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Brocker-Dealers
15.07.2011
665/311/376
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“IFG Continent”, JSC
Brocker-Dealers
22.07.2011
664/118/502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.10.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Brocker-Dealers
26.07.2011
664/118/564
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Brocker-Dealers
26.07.2011
664/118/578
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
03.08.2011
25
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
226 800 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:
"Troika Dialog Kazakhstan", JSC (renamed from "ALMEX" Asset Management", JSC)
Brocker-Dealers
12.08.2011
664/117/862
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
