Monthly Report

 

List of Enforcement Actions for the Month of March. 2014

 

Sl No

Date

Subject

Commissionís Decision

01.

04.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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02.

05.03.2014 Penelty Order : Non-compliance of Securities related Laws against Be Rich  Click to get the page
03 10.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
04 10.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
05 13.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
06 13.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
07 13.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
08 13.03.2014 Non-compliance of securities related laws. WARNING  Click to get the page
09 18.03.2014 Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2013: Warning.  Click to get the page
10 18.03.2014 Non-compliance of the BSEC Circular No. SEC/CMRRCD/2001-50/121/Admin/ dated December 20, 2011: Disposal of the alleged matter.   Click to get the page
11 23.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter  Click to get the page
12 23.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
13 23.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter  Click to get the page
14 23.03.2014 Non-compliance of securities laws: Warning.  Click to get the page
15 23.03.2014 Non-compliance of securities laws: Warning.  Click to get the page
16 27.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
17 27.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
18 27.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page
19 27.03.2014 Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.  Click to get the page