"SkyBridge Invest", JSC
Portofolio Manager
20.03.2014
66-6-3-10/696
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
10.04.2014
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
26.03.2014
66-4-2-10/1549
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.04.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
15.04.2014
66-4-2-15/1901
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.05.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Management company «ORDA Capital» , JSC
Portofolio Manager
04.05.2014
66-4-1-05/2188
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the violation of requirement of paragraph 31 of the Rules of Implementing of work on management of the investment portfolio|
Date of performance:
27.05.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
05.06.2014
33-2-06/31
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
24.06.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
02.07.2014
33-1-06/652
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
09.07.2014
33-1-06/796
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
24.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
10.07.2014
33-2-06/840
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.07.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
22.07.2014
140000803000276
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
158 200 тг.
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:
"Freedom Finance”, JSC
Portofolio Manager
22.07.2014
140000803000275
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 тг.
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:
