Monthly Report

 

List of Enforcement Actions for the Month of July 2013

 

 

 

Sl No

Date

  Commissionís Decision
1 07.07.2013 Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commissionís consent letter No. SEC/CI/CPLC-308/2011/802 dated November 13, 2011. WARNING Against  IEL Consortium & Associates Limited Click to get the page
2 16.07.2013 Penelty Order : Non-compliance of  Securities related Laws against Shamim Ara.  Click to get the page
3 16.07.2013 Penelty Order : Non-compliance of  Securities related Laws against M.A Maliq.  Click to get the page
4 16.07.2013 Penelty Order : Non-compliance of  Securities related Laws against Shyamol Equity Management Ltd.  Click to get the page
5 18.07.2013 Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31,2013 : Warning. BD Thai Aluminium Ltd Click to get the page
6 18.07.2013 Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. National Tea Company Ltd Click to get the page
7 21.07.2013 Rejection of Review petition: Non-compliance of the SECís Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and rule 3 (1) and 3 (2) of the Margin Rules 1999 in connection with trading in shares of Paramount Insurance Company Limited. against Mona Financial Consultancy and Securities Limited Click to get the page
8 21.07.2013 Rejection of Review Petition: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Safko Spinning Mills Limited.  against Mirpur Securities Limited  Click to get the page
9 21.07.2013 Warning: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC Directive No. SEC/CMRRCD/2009-193/63 against Mona Financial Consultancy and Securities Limited Click to get the page
10 21.07.2013 Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited  against Mr. Abu Sadat Md.Sayem Click to get the page
11 21.07.2013 Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited.against Mr.Abdul Mobin Molla Click to get the page
12 21.07.2013 Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against  Dream Holdings Limited, Click to get the page
13 21.07.2013  Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against Mrs.Mahmuda Yasmin  Click to get the page
14 23.07.2013 Penelty Order : Non-compliance of  Securities related Laws against Ananta Properties Limited  Click to get the page
15 23.07.2013 Penelty Order : Non-compliance of  Securities related Laws against ACNABIN, Chartered Accountants Click to get the page
16 24.07.2013 Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. Orion Pharma Ltd Click to get the page
17 24.07.2013 Penelty Order : Non-compliance of  Securities related Laws against M.A Maleq. Click to get the page
18 24.07.2013 Penelty Order : Non-compliance of  Securities related Laws against A.K.M.Kamal uddin. Click to get the page
19 25.07.2013 Penelty Order : Non-compliance of  Securities related Laws against Salta Capital Ltd. Click to get the page
20 24.07.2013 Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2012 : Warning. Alltex Industries Ltd Click to get the page
21 31.07.2013 Waiver of penalty imposed pinal orders No. SEC/Enforcement/194/2003/256 to 262 all dated 23 February, 2010 of Tulip Dairy & Food Ltd. Click to get the page