Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
14.07.2009
116
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 тг.
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:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
28.07.2009
05-01-18/3614
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.09.2009
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
14.08.2009
05-01-18/3943
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Дочерняя организация Народного Банка Казахстана «Halyk Capital» JSC
Almaty Regional Finantional Center Brocker-Dealers
07.10.2009
05-01-18/3333
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Дочерняя организация Народного Банка Казахстана «Halyk Capital» JSC
Almaty Regional Finantional Center Brocker-Dealers
21.10.2009
05-02-13/5005
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Дочерняя организация Народного Банка Казахстана «Halyk Capital» JSC
Almaty Regional Finantional Center Brocker-Dealers
19.11.2009
194
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
51 840 тг.
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:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
20.11.2009
05-01-18/5490
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Дочерняя организация Народного Банка Казахстана «Halyk Capital» JSC
Almaty Regional Finantional Center Brocker-Dealers
18.05.2010
95
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 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:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
26.11.2010
14
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:
Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
20.10.2010
05-01-18/1923/20233-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
02.11.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
