Monthly Report

 

List of Enforcement Actions for the Month of April. 2014

 

Sl No

Date

Subject

Commissions Decision

01.

1.4.2014

           Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2013: Warning.

 

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02.

6.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
03 6.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
04 6.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
05 13.4.2014 petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd Click to get the page
06 13.4.2014 Review petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd Click to get the page
07 13.4.2014 Review petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd Click to get the page
08 15.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
09 15.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
10 15.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
11 17.4.2014 Review: Violation of wewa 4 (1) of wmwKDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKiY) wewagvjv 1995 in connection with trading in shares of Fine Foods Limited. Click to get the page
12 17.4.2014 Review: Violation of wewa 4 (1) of wmwKDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKiY) wewagvjv 1995 in connection with trading in shares of Fine Foods Limited. Click to get the page
13 17.4.2014 Review: Violation of wewa 4 (1) of wmwKDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKiY) wewagvjv 1995 in connection with trading in shares of Fine Foods Limited. Click to get the page
14 21.4.2014 Penalty Order: Non-compliance of Section 17 (e) (ii) (iii) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of RAHIMTEX, BANGAS, MITHUNKNIT and RENATA Click to get the page
15 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
16 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
17 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
18 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
19 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
20 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
21 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
22 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
23 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
24 27.4.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING Click to get the page
25 30.4.2014 Reject of prayer for waiver of penalty Click to get the page
26 30.4.2014 Reject of prayer for waiver of penalty Click to get the page
27 30.4.2014 Penalty Order: Non-compliance of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) Gi wewa 8 in connection with trading in shares of PF1STMF. Click to get the page
28 30.4.2014 Penalty Order: Non-compliance of Section 17 (e) (ii) (v) of Securities and Exchange Ordinance, 1969 in connection with share trading of PF1STMF Click to get the page
29 30.4.2014 Penalty Order: Non-compliance of Section 17 (e) (ii) (v) of Securities and Exchange Ordinance, 1969 in connection with share trading of RECKITTBEN Click to get the page
30 30.4.2014 Penalty Order: Non-compliance of Commissions wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) Gi AvPiY wewa 1, 2(2), 6, 8 in connection with trading in shares of PF1STMF Click to get the page
31 30.4.2014 Penalty Order: Non compliance of Directive No. SEC/CMRRCD/2009-193/93 dated January 10, 2011 in connection with trading in shares of PF1STMF Click to get the page
32 30.4.2014 Penalty Order: Non-compliance of Section 17 (e) (iii) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of PF1STMF Click to get the page