“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:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
25.07.2013
131
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
519 300тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“FATTAH FINANCE”, JSC (renamed from AFC Capital)
Portofolio Manager
04.09.2013
66-4-3-20/3714
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.10.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
29.03.2012
29
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: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
29.03.2012
28
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: 193
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC “NOMAD FINANCE”
Portofolio Manager
29.03.2012
27
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
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:
"Premier Capital", JSC
Portofolio Manager
31.05.2012
56
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
161 800KZT
The nature of a breach:
1. administrative sanction was applied due to repeated non-compliance by the professional participant of the securities market with the requirements provided for by the legislation of the Republic of Kazakhstan|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 197-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
