"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
06.09.2012
664/106/5077
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
12.09.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"FALCONRY CAPITAL", JSC
Portofolio Manager
12.09.2012
664/106/5180
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
12.09.2012
664/106/5194
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.11.2012
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
12.09.2012
664/106/5179
Limited enforcement action
Written prescription
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:
“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:
