“Kazcommerts Securities”, JSC (SC of “Kazcommertsbank”, JSC)
Portofolio Manager
23.10.2014
33-2-06/3146
Limited enforcement action
Commitment letter
The nature of a breach:
1. Violation of paragraph 4 of the Rules of the publication of financial statements of the join-stock company and financial institutions approved by the Board of the National Bank from August 31, 2012 № 282|
Date of performance:
07.11.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
24.10.2014
33-1-06/3176
Limited enforcement action
Commitment letter
The nature of a breach:
1. According to the violation of the requirements of the paragraph 4 of the Resolution of the National Bank of Kazakhstan on August 31, 2012 № 282|
Date of performance:
12.11.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
Broker company “Astana-Finance”, JSC
Portofolio Manager
12.11.2014
33-1-06/3575
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
02.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
12.11.2014
33-1-06/3591
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
26.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"BCC Invest", JSC (subsidiary company of "BankCenterCredit', JSC)
Portofolio Manager
26.11.2014
33-1-11/3945
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
10.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
28.11.2014
33-1-06/4029
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.12.2014
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
15.03.2015
150000803000560
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
376 580 тг
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 227
Пункт: 2
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Freedom Finance”, JSC
Portofolio Manager
04.12.2014
140000803000976
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 KZT
The nature of a breach:
1. violation of the entity market of capital issues, requirements on reporting, information, data to the authorized body for control and supervision of financial market and financial organizations (Kizatov A.)|
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
04.12.2014
140000803000975
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 KZT
The nature of a breach:
1. violation of the entity market of capital issues, requirements on reporting, information, data to the authorized body for control and supervision of financial market and financial organizations|
Статья/пункты НПА, Статья КоАП:
1.
Статья: 193
Пункт: 1
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Investment House "Fincraft", JSC
Portofolio Manager
15.12.2014
33-1-06/3125
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
25.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
