"Alibi Securities", JSC
Portofolio Manager
16.11.2012
664/106/6974
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
19.11.2012
664/106/7001
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
03.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
26.11.2012
664/113/7204
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:
"Investment House "Fincraft", JSC
Portofolio Manager
27.11.2012
664/106/7217
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
07.12.2012
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
04.12.2012
664/106/7371
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
05.12.2012
668/119/7207
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.12.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
07.12.2012
664/106/7502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.12.2012
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
10.12.2012
664/1113/7548
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.12.2012
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
25.12.2012
664/106/7861
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
11.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
03.01.2013
665/304/9
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
17.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
