Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
250
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
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:
Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
24.10.2013
66-4-1-05/4854
Sanctions and other administrative penalties
Commitment letter
The nature of a breach:
Date of performance:
08.11.2013
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
24.10.2013
250
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
173 100тг.
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:
“ATF Finance”, JSC subsidiary company of “ATF Bank”, JSC
Portofolio Manager
29.10.2013
66-4-1-05/5066
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
15.11.2013
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
29.10.2013
66-4-2-05/5055
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
13.11.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"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:
