"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:
"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:
