Monthly Report

 

List of Enforcement Actions for the Month of February 2010

 

Sl No

Date

Subject

Commissionís Decision

01

04/02/2010

Show-cause cum hearing notice : Non-compliance of the SEC Notification No.SEC/CMRRCD/2001-26/332 dated July 11,2004. Regarding sale ofSponsors/Directors Shares : Disposal of the alleged matter.(Maksons Spinning Mills)

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02

09/02/2010

Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)

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03

09/02/2010

Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)

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04

09/02/2010

Warning : Non-compliance of securities laws : Regarding inspection.(Salta Capital Ltd.)

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05

10/02/2010

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years i.e for the year ended March 31,2005 to March 31,2009(Stylcraft Limited)

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06

10/02/2009

Warning : Non-compliance with the securities related laws in connection with audited financial statements of Dhaka Electric Supply Company Limited (Issuer) for the year ended on June 30,2008 (M/S A.Quasem & Co)

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07

10/02/2010

Warning : Non-compliance with the securities related laws in connection with audited financial statements for the year ended on June 30,2008 (Dhaka Electric Supply Company Limited)

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08

11/02/2010

Your letter dated January 25,2010 against Commissionís penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Arafat Securities Limited)

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09

11/02/2010

Your letter dated January 25,2010 against Commissionís penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Mojibur Rahman Sheikh- Arafat Securities Limited)

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10

11/02/2010

Your letter dated January 25,2010 against Commissionís penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Md.Abdullah- Arafat Securities Limited)

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11

15/02/2010

Dissposal of review petition aganst Penal Order : In connection with auditorís qualifications on the audited financial statements for the year ended on September 30,2006 (Alpha Tobacco Mfg.Ltd.-Issuer)

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12

15/02/2010

Dissposal of review petition aganst Penal Order : In connection with auditorís qualificationsand Commissionís observations on the audited financial statements for the year ended on December 31,2006(Sreepur Textile Mills Ltd-Issuer)

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13

15/02/2010

Dissposal of review petition aganst Penalty Order : In connection with auditorís qualificationsand Commissionís observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Kamal Uddin Ahmed,Mr.Mahmud Ali Mridha,Mr.Abdur Rauf,Mr.Md.Ibrahim,Mrs.Selima Begum,Mr.Aziz Ahmed)

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14

15/02/2010

Dissposal of review petition aganst Penalty Order : In connection with auditorís qualificationsand Commissionís observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Khairuzzaman,Mr.A.B.M.Shahnewaz,Md.Mainul Haque,Mr.A.K.M.Badruddoza)

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15

15/02/2010

Dissposal of review petition aganst Penalty Order : In connection with auditorís qualificationsand Commissionís observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Faikuzzaman,Mr.A.B.M.Shahnewaz,Mr.Mainul Haque)

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16

15/02/2010

Dissposal of review petition aganst Penalty Order : In connection with auditorís qualificationsand Commissionís observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Ref No.SEC/Enforcement/708/2008/180)

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17

15/02/2010

Disposal of review petition against Penal Order : In connection with non-compliances based on the inspection Report(M.Securities ltd)

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18

16/02/2010

Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008(Quasem Silk Mills Ltd)

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19

16/02/2010

Review of imposed penalty against SEC penalty Orders regarding non-submission ofaudited financial statements for the year ended on June 27,2007 (Maq Enterprise Limited)

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20

16/02/2010

Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008 (Quasem Textile Mills Limited)

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21

17/02/2010

Warning : In connection with the non-compliance of the section 40 of depository regulation 2003 (Meghna Petrolium Limited)

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22

17/02/2010

Order : Sonali Ansh Industries

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23

18/02/2010

Mr.Md.Abdullah Ė Your letter dated February 16, 2010 against Commissionís penalty Order No.SEC/Enforcement/725/2009/109 dated January 17,2010(Arafat Securities Ltd.)

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24

18/02/2010

Mr.Md.Abdullah Ė Your letter dated February 16,2010 against Commissionís penalty order No.SEC/Enforcement/725/2009/110 dated January 17,2010(Arafat Securities Ltd.)

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25

18/02/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Condensed Milk Industries ltd.)

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26

 

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Shrimp Culture Limited)

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27

23/02/2010

Warning : Non-compliance of securities laws : Regarding Inspection (Mr.Abdur Rahim)

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28

23/02/2010

Warning : Non-compliance of securities laws : Regarding Inspection {Major (Rtd.) Didar Atwar Hossain}

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29

23/02/2010

Warning : Non-compliance of securities laws : Regarding Inspection (DMR Securities Ltd.)

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30

23/02/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Petroleum Limited

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31

23/02/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 {Modern Industries (Bangladesh) Limited}

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32

23/02/2010

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Sonar Bangla Insurance Limited)

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33

23/02/2010

Disposal : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Lexco Limited )

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34

23/02/2010

Warning : Non-compliance with securities related laws in connection with audited financial statementsof Bangladesh Zipper Industries Limited for the year ended on June 30, 2006 (M/s Marhk & Co)

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35

22/02/2010

Order : Metalex Corporation

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36

22/02/2010

Order : Fahad Industries Limited

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37

23/02/2010

Order : Pharmaco International Limited

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38

23/02/2010

Order : Chictex Limited

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39

23/02/2010

Order : Rose Heaven Ballpen Limited

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40

23/02/2010

Order : Khawja Mosaic Tiles and Stone Industries Limited

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41

24/02/2010

Order : Raspit Data Management and Telecommunications Limited

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42

24/02/2010

Order : Tulip Dairy and Food Products Limited

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43

24/02/2010

Order : Raspit Inc (BD) Limited

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44

24/02/2010

Order : M.Hossain Garments Washing and Dying Limited

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45

24/02/2010

Order : Jamuna Oil Company Limited

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46

25/02/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Global Insurance Limited)

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47

25/02/2010

Order : Sajib Knitware and Garments Limited

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48

25/02/2010

Order : Meghna Petroleum Limited

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49

28/02/2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/897-899 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

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50

28/02/2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/901-903 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

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51

28/02/2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/42/2001/544-549 all dated December 10, 2009(Excelsior Shoes Limited)

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52

28/02/2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/909-911 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

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