Subsidiary of "Nurbank" JSC "MONEY EXPERTS", JSC
Portofolio Manager
10.12.2013
66-6-3-10/3215
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
26.12.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alibi Securities", JSC
Portofolio Manager
25.12.2013
66-4-2-10/6571
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
15.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Private Asset Management», JSC
Portofolio Manager
28.12.2013
66-4-3-20/6644
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
21.01.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Real Asset Management”, JSC
Portofolio Manager
05.02.2014
66-4-1-10/705
Sanctions and other administrative penalties
Fine imposed under administrative law
The nature of a breach:
Date of performance:
31.12.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SkyBridge Invest", JSC
Portofolio Manager
20.03.2014
66-6-3-10/695
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
30.05.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"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:
