"SkyBridge Invest", JSC
Portofolio Manager
29.06.2012
664/106/3665
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
10.07.2012
664/113/3495
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.06.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
10.07.2012
664/106/3525
Limited enforcement action
Commitment letter
The nature of a breach:
1. Concerning to infringement of requirements of point 5 of the Decision of the Board of National Bank from August, 24th 2009г. № 84|
Date of performance:
27.07.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
10.07.2012
664/113/4064
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.07.2012
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
19.07.2012
78
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
242 700тг.
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:
First Heartland Jysan Invest, JSC (former name - "Tsesna Capital", JSC)
Portofolio Manager
19.07.2012
77
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
80 900тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
23.07.2012
664/106/4096
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
30.07.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
31.07.2012
664/106/4257
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
31.07.2012
664/106/4259
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
07.08.2012
665/304/1650
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.08.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
