Monthly Report

 

List of Enforcement Actions for the Month of April 2013

 

 

 

Sl No

Date

Subject

Commissionís Decision

1

04.04.2013

Warning: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection withnon submission of sale declaration.. Md Abdul Hannan.

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2

07.04.2013

Penelty Order : Non-compliance ofSecurities related Laws against Mercantile Bank Securities Ltd.

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3

09.04.2013

Disposal:Non-compliance of Section 17 (e)(ii) and 17(e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of One Bank Limited. Md A.K.M ArifurRahman.

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4

09.04.2013

Disposal: Non-compliance of Rule 3 (6) of Margin Rules, 1999 by executing force sale.

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5

18.04.2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2012. Warning.Jago corporation Ltd.

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6

18.04.2013

Rejection of Review petition: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited

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7

18.04.2013

Rejection of Review petition: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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8

18.04.2013

:Rejection of Review petition: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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9

18.04.2013

Rejection of Review petition: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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10

18.04.2013

:Rejection of Review petition:Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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11

18.04.2013

Rejection of Review petition:: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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12

22.04.2013

Non-compliance of securities laws: In connection with the delayed submission of Audited Financial Statements for the year ended on June 30, 2012: Warning.

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13

22.04.2013

††††††††††† Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2012: Warning.

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14

23.04.2013

Warning: Non-compliance of SEC Order No. SEC/CMRRCD/2000-985/248/Admin/02/1 dated Dec19,2000. UCBL.

 

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15

23.04.2013

Penelty Order : Non-compliance ofSecurities related Laws against SaifPowertec Limited.

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16

23.04.2013

Penelty Order : Non-compliance ofSecurities related Laws against S.F. Ahmed & Co.

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17

23.04.2013

Penelty Order : Non-compliance ofSecurities related Laws against ICB Capital Management Limited.

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