Monthly Report

 

List of Enforcement Actions for the Month of December 2013

 

Sl No

Date

Subject

Commissions Decision

01.

1.12.2013 Penelty Order : Non-compliance of Securities related Laws against Sylnet Securities Limited

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02.

2.12.2013 Reject of prayer for penalty waiver: Non-compliance of AvPibwewa 1, 2(2) of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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03 2.12.2013 Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited Click to get the page
04 2.12.2013 Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited Click to get the page
05 2.12.2013 Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited Click to get the page
06 3.12.2013 Reject of prayer for penalty waiver: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of BDAUTOCA. Click to get the page
07 3.12.2013 Reject of prayer: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of BDAUTOCA. Click to get the page
08 8.12.2013 Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning.. Social Islami Bank Limited Click to get the page
09 17.12.2013 Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Eastern Cables Ltd, Click to get the page
10 17.12.2013 Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Atlas Bangladesh Ltd Click to get the page
11 17.12.2013 Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Ashraf Textile Mills Ltd Click to get the page
12 23.12.2013 Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.. Monno Ceramic Industries Ltd Click to get the page
13 23.12.2013 Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Bengal Fine Ceramics Ltd Click to get the page
14 31.12.2013 Non-compliance of securities laws: Warning. Mika Securities Ltd Click to get the page
15 31.12.2013 Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Yusuf Flour Mills Limited Click to get the page