Monthly Report

 

List of Enforcement Actions for the Month of February 2013

 

Sl No

Date

Subject

Commissions Decision

01.

04.02.2013

Non-compliance of Securities related Laws against Aamra Technologies Limited.

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02.

07.02.2013

Warnivg: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of Dutchbangla. Md Shahadat Hossain

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03.

07.02.2013

Warning: Non-compliance of AvPiYwewa 7 of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000. Hac Securities Limited.

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04.

14.02.2013

Warning: violation of wmwKDwiwUR I GP Kwgkb(myweavfvMx eemv wbwlKiY) wewagvjv 1995.gvnv` AvKei nvmb

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05.

14.02.2013

Warning: violation of wewa 4(1) of wmwKDwiwUR I GP Kwgkb(myweavfvMx eemv wbwlKiY) wewagvjv 1995. G G G BbfgU wjt

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06.

26.02.2013

Non-compliance of securities laws: in connection with the delayed submission of first quarter(Q1) financial statements Agni Systems Limited:Warning

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07.

27.02.2013

Penelty Order for Violation of Securities related Laws Mona Financial Consultancy and Securities Limited.

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08

27.02.2013

Penelty Order for Violation of Securities related Laws against Fidelity Assets and Securities Company Limited.

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09

27.02.2013

Penelty Order for Violation of Securities related Laws against Globe Securities Limited.

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10

27.02.2013

Penelty Order for Violation of Securities related Laws against Shyamol Equity Management Limited.

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11

27.02.2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of All Tex Industries Limited. Md Nizam Uddin.

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12

28.02.2013

Penelty Order for Violation of Securities related Laws against Mercantile Bank Securities Limited.

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