Monthly Report

 

List of Enforcement Actions for the Month of December 2010

 

Sl No

Date

Subject

Commissionís Decision

01

05-12-2010 Warning: alleged non compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2009 to Sonali Paper & Board Mills Ltd

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02

07-12-2010 Order to Saad Securities Ltd. Order no sec/enforcement/787/2009/819

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03

08-12-2010 Warning: non compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2010 to Wata Chemicals Ltd

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04

15-12-2010 Warning: non compliance of securities laws to BRAC EPL Stock Brokerage Ltd.

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05

19-12-2010 Warning: non compliance of securities laws to Alliance Securities & Management Ltd.

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06

19-12-2010 Warning: non compliance of securities laws to Alliance Securities & Management Ltd.

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07

19-12-2010 Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/197/2003/584-589 all dated July 15, 2010 to Maq Enterprise Ltd.

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08 21-12-2010 Warning: non compliance of securities laws to Apex Investments Ltd. Click to get the page
09 21-12-2010 Warning: Show cause cum hearing notice: non compliance of securities related laws in connection with issue of Capital by Sea Tex Ltd Click to get the page
10 23-12-2010 Disposal of review petition against Penal Orders in connection with auditor's qualifications on the audited financial statements of Alpha Tobacco Mfg. Ltd for the year ended on Sep-30, 2006 & sep 30, 2008 Click to get the page
11 23-12-2010 Warning: non compliance of securities laws to Sharp Securities Ltd. Click to get the page
12 23-12-2010 Disposal of review petition against SEC Orders No. SEC/Enforcement/194/2003/ 256-262 all dated February 23, 2010 to Tulip Dairy & Food Products Ltd. Click to get the page