“Dos Finance”, LLP
Transfer-Agents
05.05.2011
10030/1001
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
19.05.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Dos Finance”, LLP
Transfer-Agents
30.11.2011
664/118/2585
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
12.12.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Management Company “ Delta-Invest”, JSC
Portofolio Manager
25.01.2006
05-01-18/388
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.02.2006
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Investment management of Pension assets organization “Zhetysu”, JSC
Portofolio Manager
01.02.2006
57
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
41 200тг.
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:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
04.05.2006
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
515 000 тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
04.05.2006
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
515 000
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
04.05.2006
40
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
515 000тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195-1
-
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
14.02.2007
09-14/521
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
05.01.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
15.03.2007
09-14/823
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
20.04.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
27.03.2007
10-14/1043
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.06.2007
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
