"Alibi Securities", JSC
Portofolio Manager
16.04.2013
66-4-2-10/565
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
06.05.2013
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
18.04.2013
66-4-2/10/606
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.07.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
22.04.2013
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
08.05.2013
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
24.04.2013
66-4-3-20/754
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
25.04.2013
66-4-1-10/774
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
06.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
02.05.2013
66-4-2-10/918
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Centras Securities", JSC
Portofolio Manager
02.05.2013
66-4-3-20/891
Limited enforcement action
Commitment letter
The nature of a breach:
1. As a violance paragraph 4 Article 9 of the Law of the Republic of Kazakhstan "On securities market"|
Date of performance:
27.05.2013
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
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
13.05.2013
66-4-2-14/1057
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
13.06.2013
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
13.05.2013
66-4-2-14/1058
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.05.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
22.05.2013
66-4-2-14/1263
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
07.06.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
