Brocker-Dealers
15.06.2008
05-01-18/2908
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Brocker-Dealers
18.06.2009
05-01-18/2907
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
18.06.2009
05-02-13/2966
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Halyk Savings Bank of Kazakhstan", JSC
Brocker-Dealers
18.06.2009
05-02-13/2960
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
29.06.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Brocker-Dealers
29.06.2009
05-02-13/3098
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
24.03.2010
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
02.07.2009
110
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
129 600 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Vostok Capital”, JSC
Brocker-Dealers
09.07.2009
05-01-18/3307
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
01.08.2009
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
10.07.2009
05-01-18/3341
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.07.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Informational-counter center”, JSC
Brocker-Dealers
23.07.2009
119
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
129 600 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:
«Investment Financial House» RESMI», JSC
Brocker-Dealers
23.07.2009
124
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
324 000 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
