“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
10.08.2011
664/127/833
Limited enforcement action
Written prescription
The nature of a breach:
1. Concerning providing of a plan of action about development and implementation the KASE members monitoring mechanism and reinforcing the control on implementation of requirements of enforcement measures.|
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
23.01.2012
664/106/334
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning necessity to make the amendment to internal documents with a view of their reduction according to the Republic Kazakhstan Law "About a securities market"|
Date of performance:
02.04.2012
Статья/пункты НПА, Статья КоАП:
Note:
Performed by letter №10008/ 395 от 05.03.2012|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
23.01.2012
664/106/334
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
29.03.2012
24
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
30.03.2012
26
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900 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:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
16.04.2012
664/107/1951
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.04.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
18.09.2012
664/107/2899
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.06.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
19.10.2012
664/106/6316
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
14.12.2012
664/118/7667
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
15.03.2013
664/119/1992
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
29.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
