Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Brocker-Dealers
25.12.2014
33-1-06/4673
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.01.2015
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
09.01.2015
33-1-06/94
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Brocker-Dealers
09.01.2015
33-1-06/92
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.01.2015
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
14.01.2015
33-1-06/175
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
18.02.2015
15000803000243
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
594 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Brocker-Dealers
20.02.2015
33-1-06/1117
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.02.2015
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
20.02.2015
150000803000210
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
594 600 тг
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 260
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Brocker-Dealers
02.03.2015
150000803000244
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
594 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 262
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Brocker-Dealers
13.03.2015
33-1-06/1865
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.05.2015
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
15.03.2015
150000803000560
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
376 580 тг
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
