Broker company “Astana-Finance”, JSC
Almaty Regional Finantional Center Brocker-Dealers
19.04.2011
10029/175
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.05.2011
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
24.06.2011
66001/2115
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.07.2012
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
24.06.2011
66001/2115
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
08.07.2011
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
19.07.2011
664/118/377
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.08.2011
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
16.08.2011
664/118/944
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:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Almaty Regional Finantional Center Brocker-Dealers
05.09.2011
664/118/1223
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:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Almaty Regional Finantional Center Brocker-Dealers
23.01.2012
664/106/340
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
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
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:
