Monthly Report

 

List of Enforcement Actions for the Month of January 2010

 

Sl No

Date

Subject

Commissionís Decision

01

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Arafat Securities Limited )

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02

03/10/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Expo Traders Ltd. Depository Participants )

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03

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Al Muntaha Trading Co.Ltd .Depository Participants )

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04

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Salta Capital Ltd. Depository Participants )

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05

03/01/2010

 Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Stock & Bond Ltd. Depository Participants)

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06

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Anchor Securities Ltd. Depository Participants )

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07

03/10/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Dawn Securities Ltd. Depository Participants)

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08

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( M.Securities Limited. Depository Participants )

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09

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (ALOCO Securities Ltd. Depository Participants)

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10

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Island Securities Ltd. Depository Participants)

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11

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (SAAD Securities Ltd. Depository Participants)

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12

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Trendset Securities Ltd. Depository Participants )

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13

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Shahiq Securities Ltd. Depository Participants)

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14

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Sinha Securities Ltd. Depository Participants)

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15

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Rashid Investment Ltd. Depository Prticipants)

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16

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( South Asia Securities Ltd. Depository Participants )

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17

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Shyamol Equity management Ltd. Depository Participants )

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18

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Be Rich Limited )

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19

03/01/2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (AB & Co. Ltd. (Depository Participants)

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20

04/01/2010

Order : Wata Chemicals Limited

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21

04/01/2010

Order : Raspit Data management and Telecommunication Ltd.

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22

04/01/2010

Order : Saleh Carpet Mills Ltd.

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23

04/01/2010

Order : Raspit Ink (DB) Ltd.

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24

04/01/2010

Order : Chictex ltd.

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25

05/01/2010

Order : Sajib Knit ware and Garments Ltd

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26

05/01/2010

Order : Pharmaco International Ltd.

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27

05/01/2010

Order : Quasem Silk Mills Ltd.

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28

05/01/2010

Order : Quasem Textile Mills Ltd.

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29

05/01/2010

Order : Rahman Chemical Ltd.

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30

05/01/2010

Order : Sripur Textile Mills Ltd.

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31

05/01/2010

Order : Metalex Corporation Ltd.

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32

10/10/2010

Warning : Non-compliance of securities Laws ( Al-Haj Securities Ltd.)

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33

10/10/2010

Warning : Show cause cum hearing notice : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.(Ashraf Textile Mills Ltd.)

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34

10/01/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.        ( Janata Insurance Co.Ltd.)

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35

10/01/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.(Bangladesh Thai Aluminium ltd. - Issuer) 

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36

10/01/2010

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

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37

10/01/2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.. (Progati Life Insurance Ltd.-Issuer)

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38

11/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Mona Food Industry Ltd.)

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39

11/01/2010

Non-compliance of securities laws : Non-holding of Annual General Meeting (AGM) in the year 2007,Disposal of the alleged matter. (Exelsior Shoes Ltd.)

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40

11/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Bangla Process Ltd.)

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41

11/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bengal Fine Ceramics Ltd.)

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42

11/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Eastern Cables Ltd.)

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43

11/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Aman Sea Food Industries Ltd.)

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44

18/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Maq Enterprises Ltd.)

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45

19/01/2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bangladesh Shipping Corporation ltd.)

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46

20/01/2010

Non-compliance of securities laws : In connection with delaed furnishing of the audited financial statements for  the year ended on June 30, 2009. Disposal of the alleged matter. ( Bangladesh Monospool Paper Manufacturing Co. Ltd. )

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47

10/01/2010

Warning : Non-compliance of securities laws regarding enquiry (Banco Securities Ltd.)

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48

18/01/2010

Order : Arafat Securities , Mr.Mujibur Rahman Sheikh (AR), Mr.Mohammad Abdullah (CEO)

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49

18/01/2010

Order : Saad Securities Ltd

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50

25/01/2010

Order : Niloy Cement Industries Ltd

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51

26/01/2010

Order : Alfa Tobacco Manufacturing Ltd

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52

26/01/2010

Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/802/2009/121(Shahjalal Islami Bank Ltd.(DSE Member No.233)

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53

26/01/2010

Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/803/2009/123(Shahjalal Islami Bank Ltd.(DSE Member No.233)

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54

26/01/2010

Warning : Non-compliance of securities Laws : Regarding inspection (Shyamol Equity Management Ltd.)

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55

26/01/2010

Warning : Non-compliance of securities Laws : Regarding inspection (Dhanmondi Securities Ltd.)

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56

26/01/2010

Order : Bionic Seafood Export Ltd.

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57

26/01/2010

Order : Beach Hatchery Ltd.

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58

26/01/2010

Order : Sreepur Textile Mills Ltd.

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59

31/01/2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Life Insurance Co.Ltd.)

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60

31/01/2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Federal Insurance Co.Ltd.)

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