“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
13.09.2012
664/106/5217
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.09.2012
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
13.09.2012
664/106/5223
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
19.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
08.10.2012
664/106/5891
Limited enforcement action
Commitment letter
The nature of a breach:
1. According to with the violation of the requirements of paragraph 70 of the Regulations implementation of the broker-dealer activities in the securities market of the Republic of Kazakhstan|
Date of performance:
10.12.2012
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
11.10.2012
664/113/6046
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.10.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
16.10.2012
122
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
16.10.2012
121
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: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
16.10.2012
120
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:
"Gold Investment Group" JSC
Portofolio Manager
16.10.2012
664/106/6138
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
17.10.2012
8
Limited enforcement action
Written agreement
The nature of a breach:
Date of performance:
01.03.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", 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:
