“Investment management of Pension assets organization “Grantum Asset management” (subsidiary company of Kazcommertsbank”, JSC)
Portofolio Manager
25.09.2012
103
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
647 200тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 179-3
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Prime Financial Solution”, JSC
Portofolio Manager
18.10.2012
664/106/6219
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.03.2013
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
22.10.2012
664/106/6333
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.11.2012
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
06.11.2012
664/106/6683
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.11.2012
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
12.11.2012
664/106/6837
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
27.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
12.01.2012
96
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
1. административное правонарушение выразилось в совершении сделок с ценными бумагами в целях манипулирования ценами на рынке ценных бумаг
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
23.01.2012
664/106/340
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
31.01.2012
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
23.01.2012
664/118/340
Limited enforcement action
Commitment letter
The nature of a breach:
1. Due to violation of the deadline of providing the report|
Date of performance:
31.01.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
02.02.2012
5
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 357-2
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
17.02.2012
664/106/866
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.02.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
