“Real Asset Management”, JSC
Portofolio Manager
29.03.2010
05-01-18/478/5385-И
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
29.03.2010
05-01-18/477/5384-И
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
07.04.2010
05-01-18/559/6125
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.04.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
07.03.2013
664/113/1671
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.04.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FIVE BROKERS' CAPITAL" JSC
Portofolio Manager
15.03.2013
19
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900тг.
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:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
23.04.2013
66-4-1-10/735
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
22.05.2013
66-4-1-14/1266
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
03.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
22.05.2013
66-4-1-14/1266
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
03.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
19.06.2013
66-4-1-10/1861
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
19.06.2013
66-4-1-10/1861
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
28.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
