"Verny Capital", JSC
Portofolio Manager
08.11.2013
66-4-3-20/5309
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
27.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
08.11.2013
66-4-2-05/5312
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
25.11.2013
66-4-1-05/5618
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Portofolio Manager
04.12.2013
66-4-1-05/5837
Limited enforcement action
Commitment letter
The nature of a breach:
1. For violation of requirements of Rules of formation of a control system by risks and internal control for the organizations which are carrying out broker and dealer activity on securities market, activities for management of an investment portfolio № 209, regarding the late submission of reports|
Date of performance:
24.12.2013
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
10.12.2013
66-6-3-10/3216
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.02.2014
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
10.12.2013
66-6-3-10/3215
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
25.12.2013
66-4-2-10/6571
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
28.12.2013
66-4-3-20/6644
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
05.02.2014
66-4-1-10/705
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
31.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
20.03.2014
66-6-3-10/695
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.05.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
