Monthly Report

 

List of Enforcement Actions for the Month of December 2011

 

Sl No

Date

Subject

Commissions Decision

01.

01.12.2011

Disposal: Non-compliance of regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulations, 2006.

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02.

01.12.2011

WARNING: Non-compliance of AvPibwewa 2(1), 2(2) I 7 of wZwq Zdwmj of wmwKwDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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03.

01.12.2011

WARNING: Non-compliance of AvPibwewa 2(1), 2(2) I 7 of wZwq Zdwmj of wmwKwDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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04.

01.12.2011

WARNING: Non-compliance of AvPibwewa 2(1), 2(2) I 7 of wZwq Zdwmj of wmwKwDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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05.

01.12.2011

WARNING: Non-compliance of AvPibwewa 2(1), 2(2) I 7 of wZwq Zdwmj of wmwKwDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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06.

01.12.2011

Reduction of Penalty.

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07.

01.12.2011

Rejection of review petition.

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08.

01.12.2011

Rejection of review petition.

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09.

01.12.2011

Disposal: Violation of wewa 3(1), wmwKwDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKi&Y) wewagvjv, 1995 in connection with shares of Chittagong Vegetable Oil Industries Limited

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10.

05.12.2011

Penalty Order for Violation of Securities related laws against Dhaka Fishers Limited.

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11.

05.12.2011

Penalty Order for Violation of Securities related laws against GMG Industrial Corporation Limited.

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12.

05.12.2011

Penalty Order for Violation of Securities related laws against Pharmaco International Limited.

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13.

05.12.2011

Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.

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14.

05.12.2011

Penalty Order for Violation of Securities related laws against M. Hossain Garments Washing and Dyeing Limited.

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15.

08.12.2011

Rejection of review petition against Commissions order No. SEC/Enforcement/840/2010/305 date June 14, 2011.

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16.

08.12.2011

WARNING: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Sonargaon Textiles Limited.

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17.

08.12.2011

WARNING: Non-compliance of SECs Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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18.

08.12.2011

WARNING: Non-compliance of SECs Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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19.

08.12.2011

WARNING: Non-compliance of SECs Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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20.

08.12.2011

WARNING: Non-compliance of wWcwRUwi (eenvwiK) cweavbgvjv, 2003 Gi Zdwmj-5 G ewYZ wWcwRUwii AskMnYKvixi AvPibwewa-1, 2(1) Ges SECs Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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21.

08.12.2011

WARNING: Non-compliance of the Rules 8(1) of Securities and Exchange Rules, 1987, wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 Gi wZxq Zdwmj ewYZ K wWjvi I K evKvi I Abygvw`Z cwZwbwa`i AvPib wewa, K wWjvi/K evKvi/Abygvw`Z cwZwbwa Gi wbeb mb`i kZvejx bs-7 in connection with unusual trading in shares of Sonargaon Textiles Limited.

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22.

08.12.2011

Reduction of Penalty.

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23.

08.12.2011

Reduction of Penalty.

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24.

08.12.2011

Rejection of review petition against Commissions penal order No. SEC/Enforcement/908/2011/569/ dated September 06, 2011.

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25.

08.12.2011

Rejection of review petition against Commissions penal order No. SEC/Enforcement/908/2011/571/ dated September 06, 2011.

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26.

08.12.2011

Reduction of Penalty.

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27.

08.12.2011

Reduction of Penalty.

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28.

08.12.2011

Reduction of Penalty.

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29.

19.12.2011

Disposal of review petition against SEC Order No. SEC/Enforcement/300/2005/821-823 all dated November 02, 2009

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30.

19.12.2011

Waiver of penalty imposed upon the individual director in connection with the non submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Order No. SEC/Enforcement/751/2009/545-553 all dated September 06, 2011: Warning.

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31.

19.12.2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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32.

19.12.2011

Penalty Order for Violation of Securities related laws against Rose Heaven Ball Pen Limited.

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33.

19.12.2011

Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.

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34.

19.12.2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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35.

20.12.2011

Penalty Order for Violation of Securities related laws against Chictex Limited.

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36.

21.12.2011

Disposal of review petition against SEC Order No. SEC/Enforcement/447/2006/664-670 all dated September 29, 2011

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37.

21.12.2011

Penalty Order for Violation of Securities related laws against Chictex Limited.

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38.

21.12.2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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39.

22.12.2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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40.

22.12.2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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41.

27.12.2011

Penalty Order for Violation of Securities related laws against PHP Stock and Securities Limited.

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42.

28.12.2011

Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Orders No. SEC/Enforcement/752/2009/534-341 all dated August 24, 2011: Warning.

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43.

28.12.2011

Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.

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44.

28.12.2011

Penal Order: In connection with non-submission of audited financial statements for the year ended on December 31, 2009.

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45.

28.12.2011

Penal Order: Non-compliance of Commissions Directive No. SEC/CMRRCD/2011-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.

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46.

28.12.2011

Penal Order: Non-compliance of Commissions Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/ 2009/193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (short-Sale) Regulations, 2005 in connection with unusual trading in shares of Eastern Housing Limited.

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47.

28.12.2011

Penal Order: Non-compliance of Section 17(e)(iii)(v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Eastern Housing Limited.

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48.

29.12.2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statements for the year ended on June 30, 2010: Warning.

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