“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
17.02.2012
664/106/866
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.02.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
28.02.2012
665/113/1050
Limited enforcement action
Written agreement
The nature of a breach:
1. According to with the violation of the requirements of paragraph 70 of the Regulations implementation of the broker-dealer activities in the securities market of the Republic of Kazakhstan|
Date of performance:
07.03.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
28.02.2012
665/113/1050
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.03.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
13.09.2012
664/106/5213
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Almaty Regional Finantional Center Brocker-Dealers
18.10.2012
664/106/6222
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Almaty Regional Finantional Center Brocker-Dealers
19.10.2012
664/106/6279
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with infringement of requirements of Rules of presentation of reports by the organizations possessing license for realization of broker and dealer activity on Securities market in the Republic Kazakhstan №486|
Date of performance:
31.10.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
22.10.2012
664/106/6333
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
12.06.2012
664/106/6683
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
12.11.2012
664/106/6837
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
07.03.2013
664/113/1671
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
