Monthly Report

 

List of Enforcement Actions for the Month of April 2010

 

Sl No

Date

Subject

Commission’s Decision

01

20/04/2010

Warning to concerned of Thea Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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02

20/04/2010

Warning to concerned of Kazi Shoeb Rashid Capital Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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03

20/04/2010

Warning to concerned of Hedayetullah Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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04

20/04/2010

Warning to concerned of Securities Broking & Management Services Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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.05

20/04/2010

Warning to concerned of Shyamol Equity Management Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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06

20/04/2010

Warning to concerned of Al-Muntaha Trading Co. Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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07

20/04/2010

Warning to concerned of Sharp Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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08

20/04/2010

Review of imposed penalty against SEC penalty Orders No.SEC/Enforcement/723/2004/218-221 all dated February 23, 2010 in connection with the non-submission of audited financial statements for the year ended on June 30, 2009 (Khaza Mosaic Tiles & Stone Industries Ltd)

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09

21/04/2010

Ordered to concerned of Bangladesh Zipper industry Ltd. 

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10

22/04/2010

Show-cause cum hearing notice: Non-compliance of the SEC Notification No. SEC / CMRRCD / 2009-193 / Admin / 03-31 dated June 01, 2009 (Alpha Tobacco Ltd)

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11

22/04/2010

Show-cause cum hearing notice: Non-compliance of securities related laws (Arafat Securities Ltd)

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12

22/04/2010

Order to Bangladesh Luggage Industry Ltd

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13

25/04/2010

Order to Bangladesh Leaf Tobacco Co. Ltd

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14

27/04/2010

Order to M/s Mowla Mohammad & Co

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15

29/04/2010

Warning to concerned of Progressive Life Insurance Co. Ltd due to non-compliance of securities laws: Non-Compliance of SEC Notification No. SEC / SRMID / 2000-953 / 313 Admin-06 dated 25.03.2001

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