“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:
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:
"Premier Capital", JSC
Portofolio Manager
12.04.2010
71
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
KZT 70 650
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company breached the requirements related to the order of nomination (election) for the position of leading employee|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 175-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
18.05.2010
94
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 198
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
25.05.2010
100
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
141 300 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
31.05.2010
05-01-18/946/10027
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
31.05.2010
05-01-18/946/10026
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
21.06.2010
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
