"Centras Securities", JSC
Portofolio Manager
19.10.2012
664/106/6275
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
19.10.2012
664/113/6276
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Verny Capital", JSC
Portofolio Manager
06.11.2012
664/106/6648
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
14.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
09.11.2012
664/106/6807
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:
"Gold Investment Group" JSC
Portofolio Manager
09.11.2012
664/106/6773
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
12.11.2012
664/106/6849
Limited enforcement action
Commitment letter
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
12.11.2012
664/106/6849
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:
“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
12.11.2012
664/106/6838
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
12.11.2012
664/106/6839
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
14.11.2012
664/103/6902
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
23.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
