«Investment Financial House» RESMI», JSC
Portofolio Manager
19.07.2011
19
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
64 800KZT
The nature of a breach:
1. administrative sanction was applied due to submission of misleading information to the Authorized body|
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
19.07.2011
664/118/377
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
17.08.2011
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
19.07.2011
664/118/377
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
20.07.2011
664/118/436
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
18.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
26.07.2011
664/118/578
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
15.08.2011
664/118/905
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
15.08.2011
664/118/904
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
15.08.2011
664/118/907
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
15.08.2011
664/118/903
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
16.08.2011
664/118/942
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
