"Insurance Company "EcoPolicy", JSC
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC " АКПАРАТ-КОМ "
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
ОТКРЫТОЕ АО "АДЛЕТ"
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
" КЫЗЫЛ ОЙ " JSC
Issuer
11.11.2013
66-4-3-20/5381г
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
“Eurasian Capital”, JSC
Portofolio Manager
31.07.2014
33-1-06/1425
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
20.08.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
19.08.2014
33-1-06/1852
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
09.02.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
19.08.2014
33-1-06/1859
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
09.03.2014
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"SO of Halyk Bank of Kazakhstan "Halyk Finance" JSC
Portofolio Manager
21.08.2014
33-2-06/1928
Limited enforcement action
Commitment letter
The nature of a breach:
1. In connection with the violation of the requirements of paragraph 17 of Article 72-1 of the Law of the Republic of Kazakhstan "On the Securities Market"|
Date of performance:
08.09.2014
Статья/пункты НПА, Статья КоАП:
Note:
implemented|
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
27.08.2014
140000803000586
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
185 200 тг.
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:
"CAIFC INVESTMENT GROUP", JSC
Portofolio Manager
27.08.2014
140000803000585
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
370 400 тг.
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:
