Monthly Report

 

List of Enforcement Actions for the Month of December, 2016

 

Sl No

Date

Subject

Commissionís Decision

01 01-12-2016 Order against CMSL Securities Limited. Click for Details
02 01-12-2016 Order against Salta Capital Limited. Click for Details
03 04-12-2016 Rejection of the prayer for waiver of penalty against Prime Islami Securities Limited (CEO). Click for Details
04 06-12-2016 Warning: Non-compliance of securities related laws against S.R Capital Limited. Click for Details
05 06-12-2016 Warning: Non-compliance of securities related laws against S.R Capital Limited (Director). Click for Details
06 06-12-2016 Warning: Non-compliance of securities related laws against Ettihad Securities Limited. Click for Details
07 06-12-2016 Warning: Non-compliance of securities related laws against Western Security Investment Management Limited. Click for Details
08 19-12-2016 Order against HAC Securities Limited. Click for Details
09 19-12-2016 Warning: Non-compliance of securities related laws against Lanka Bangla Securities Limited. Click for Details
10 19-12-2016 Warning: Non-compliance of securities related laws against KDS Garment Industries Limited. Click for Details
11 19-12-2016 Warning: Non-compliance of securities related laws against IDLC Securities Limited. Click for Details
12 19-12-2016 Warning: Non-compliance of securities related laws against Globe Securities Limited. Click for Details