Monthly Report

 

List of Enforcement Actions for the Month of March 2012

 

Sl No

Date

Subject

Commissions Decision

01.

04.03.2012

Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.

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02.

12.03.2012

Warning: Non-compliance of Rule 3(1) and 3(2) of the Margin Rules, in connection with trading in shares of National Tea Company Ltd.

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03.

12.03.2012

WARNING: Violation of (wewa 4(2) of wmwKDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKiY) wewagvjv 1995 and Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated February 26, 2012 submitted to the Commission.

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04.

12.03.2012

WARNING: Non-compliance of kZ bs-2 of K evKvi wbeb mb` and AvPibwewa 1, 2 I 7 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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05.

12.03.2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with declaration of share sale by the placement holder of Grameen Phone Limited (GP).

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06.

15.03.2012

Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.

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07.

19.03.2012

Reduction of penalty: Non-compliance of kZ bs-2 of K evKvi wbeb mb` and AvPibwewa 1, 2 I 7 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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08

19.03.2012

Reduction of penalty: Non-compliance of kZ bs-2 of K evKvi wbeb mb` and AvPibwewa 1, 2 I 7 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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09.

19.03.2012

Reduction of penalty: Non-compliance of kZ bs-2 of K evKvi wbeb mb` and AvPibwewa 1, 2 I 7 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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10.

19.03.2012

Reduction of penalty: Non-compliance of kZ bs-2 of K evKvi wbeb mb` and AvPibwewa 1, 2 I 7 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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11.

19.03.2012

WARNING: Non-compliance of Commissions Order No. GmBwm/GmAviGgAvBwW/2000-185/2248/c-02/1 ZvwiL 19 wWm^i, 2000Bs Gazetted on February 25, 2001 in connection with price sensitive information.

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12.

29.03.2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.

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