"Premier Capital", JSC
Portofolio Manager
14.06.2012
63
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 submission of inaccurate reporting on its activity 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:
"Premier Capital", JSC
Portofolio Manager
14.08.2012
665/304/1712
Limited enforcement action
Commitment letter
The nature of a breach:
1. About necessity to present a commitment letter, that contains a recognition of defects and guarantee of direction of the company to eliminate those defects by strictly defined dedlines and prevent them in future with specification of the list of planned actions |
Date of performance:
23.08.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Greenwich Capital Management" JSC
Portofolio Manager
22.08.2012
668/119/4788
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.08.2012
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
13.09.2012
664/106/5213
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“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:
