«Investment Financial House» RESMI», JSC
Portofolio Manager
15.10.2009
173
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800 KZT
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance (two or more time during consecutive calendar months) by the professional participant of the securities market with the requirements provided for by legislation of the RK |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
20.10.2009
175
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
90 720 KZT
The nature of a breach:
1. administrative sanction was applied due to the fact of multiple (two or more time during consecutive calendar months) violation of the specified requirements, provided by the Agency to its activity |
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Portofolio Manager
27.10.2009
05-01-14/5108
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Thor Invest”, JSC
Portofolio Manager
03.11.2009
05-01-18/5185
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
13.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Management Company “ Delta-Invest”, JSC
Portofolio Manager
09.11.2009
05-01-18/5283
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Altay Asset Management”, JSC
Portofolio Manager
03.12.2009
05-01-18/5676
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
11.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Management Company “ Delta-Invest”, JSC
Portofolio Manager
06.01.2010
05-01-18/10/124
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-CAPITAL" Management Company", JSC (renamed from -"MAG Finance", JSC)
Portofolio Manager
23.02.2010
05-01-18/300/3328
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“NTC-New Trust Company”, JSC
Portofolio Manager
25.02.2010
4
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
70 650 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:
Portofolio Manager
18.03.2010
05-01-18/442/4905
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.03.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
