"FALCONRY CAPITAL", JSC
Brocker-Dealers
29.09.2014
33-1-06/2620
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Tengri Partners Investment Banking (Kazakhstan)», JSC
Brocker-Dealers
08.10.2014
33-1-06/2831
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Brocker-Dealers
08.10.2014
33-1-06/2830
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.10.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazpost", JSC
Brocker-Dealers
10.10.2014
1400008030000610
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
648 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-3
Пункт: 1
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
22.10.2014
33-1-06/3125
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.11.2014
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
23.10.2014
33-2-06/3146
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
24.10.2014
33-1-06/3176
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.11.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
12.11.2014
33-1-06/3591
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Brocker-Dealers
26.11.2014
33-1-11/3945
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Brocker-Dealers
28.11.2014
33-1-06/4029
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
