"Investment House "Fincraft", JSC
Portofolio Manager
15.12.2014
33-1-06/4381
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:
"Gold Investment Group" JSC
Portofolio Manager
15.12.2014
33-1-06/4379
Limited enforcement action
Commitment letter
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:
«Management company «ORDA Capital» , JSC
Portofolio Manager
22.12.2014
33-1-06/4525
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
29.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Gold Investment Group" JSC
Portofolio Manager
22.12.2014
33-1-06/4523
Limited enforcement action
Commitment letter
The nature of a breach:
1. В связи с нарушением требований пункта 17 статьи 72-1 Закона РК «О рынке ценных бумаг»
Date of performance:
29.12.2014
Статья/пункты НПА, Статья КоАП:
Note:
Исполнено письмом от 26.12.2014 №37/210
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
25.12.2014
33-1-06/4667
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
22.01.2015
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
25.12.2014
33-1-06/4673
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
25.12.2014
33-1-06/4671
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
14.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Investment Financial House» RESMI», JSC
Portofolio Manager
09.01.2015
33-1-06/94
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"ASYL-INVEST", JSC
Portofolio Manager
09.01.2015
33-1-06/92
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.01.2015
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
14.01.2015
33-1-06/175
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
28.01.2015
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
