“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
30.12.2009
05-02-09/6059
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
05.01.2010
05-03-24/4/54
Limited enforcement action
Written prescription
The nature of a breach:
1. To take corrective measures concerning shares of JSC "Joint-stock real estate investment fund "Velikaya Stena"|
Статья/пункты НПА, Статья КоАП:
Note:
The activity of the written direction is discontinued|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
09.08.2010
05-01-18/1361/15172-И
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
21.10.2010
02-04-36/1547/20302-И
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
10.01.2011
05-03-24/21/265
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
08.07.2011
664/117/190
Limited enforcement action
Commitment letter
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazakhstan Stock Exchange”, JSC
Bidding Organizer
05.05.2011
10030/932
Limited enforcement action
Written prescription
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“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:
