«Lancaster Invest», JCS
Portofolio Manager
14.04.2009
05-01-18/1788
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
30.04.2009
05-01-18/2200
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
07.05.2009
63
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
509 200 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:
"Bank CenterCredit", JSC
Second tier banks
11.01.2011
200
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
166320
The nature of a breach:
1. administrative sanction was applied due to failure of submitting of unreliable data (information) to the Authorized body
Date of performance:
11.01.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 1
-
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
12.05.2009
70
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
509 200 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:
"Greenwich Capital Management" JSC
Portofolio Manager
12.05.2009
69
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
254 600 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:
“Real Asset Management”, JSC
Portofolio Manager
12.05.2009
05-01-18/2345
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
13.05.2009
05-02-13/2368
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.05.2009
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Bank of Astana" JSC
Second tier banks
12.01.2011
04-01-08/33/415-и
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Astana-Finance" Bank", JSC
Second tier banks
12.01.2011
04-01-08/33/415-и
Limited enforcement action
Written warning
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
