Monthly Report

 

List of Enforcement Actions for the Month of February 2012

 

Sl No

Date

Subject

Commissionís Decision

01.

12.02.2012

Non-compliance of securities laws.-Warning.

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02.

15.02.2012

Waiver of penalty against penal Orders No. SEC/Enforcement/ 303/2005/ 584 dated September 18, 2011

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03.

15.02.2012

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2011. Warning.

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04.

15.02.2012

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.

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05.

15.02.2012

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.

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06.

23.02.2012

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2011. Warning.

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07.

29.02.2012

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.

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