Investment Company “CenterInvest”, JSC
Portofolio Manager
08.04.2010
05-01-18/576/6289-и
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
04.05.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
26.10.2009
05-01-18/5084
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
04.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
30.10.2009
05-01-18/5165
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.11.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
02.11.2009
05-01-18/5167
Limited enforcement action
Commitment letter
The nature of a breach:
1. To provide a guarantee of management to prevent in future violations of the requirement on time-liness information to the Agency|
Date of performance:
12.11.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
10.11.2009
05-01-18/5319
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
17.11.2009
188
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
38 880 тг.
The nature of a breach:
1. административное правонарушение выразилось в нарушении финансовой организацией требований к порядку назначения (избрания) на должность руководящего работника.
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
17.11.2009
187
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
38 880 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
20.11.2009
05-01-18/5490
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
08.12.2009
05-01-18/5749/24087
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.12.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Premier Capital", JSC
Portofolio Manager
20.12.2009
05-01-18/5878
Sanctions and other administrative penalties
Commitment letter
The nature of a breach:
1. The need for a term up to December 29, 2009 to submit a letter containing a commitment to the recognition of gaps and warranty management, as well as up to 31 December 2009 to remedy a violation of paragraph 38-4, Rules of broker - dealer activity approved by the Resolution of the Board of the Agency's number 317 August 27, 2005. |
Date of performance:
29.12.2009
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
