Management Company “ Delta-Invest”, JSC
Portofolio Manager
04.02.2008
05-01-14/9896
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.12.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
04.03.2008
31
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
140 160 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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
04.03.2008
31
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
140 160тг.
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:
«Management company «ORDA Capital» , JSC
Portofolio Manager
12.03.2008
35
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 080 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:
«Lancaster Invest», JCS
Portofolio Manager
16.04.2008
05-01-13/2028
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altay Asset Management”, JSC
Portofolio Manager
16.04.2008
05-01-13/2126
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Lancaster Securities” JSC (renamed from “Accept Invest”, JSC)
Portofolio Manager
16.04.2008
05-01-13/2090
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
17.04.2008
05-01-13/2107
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
22.04.2008
05-01-13/2992
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.04.2008
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
03.06.2008
81
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
467 200 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
