Monthly Report

 

List of Enforcement Actions for the Month of May 2013

 

 

 

Sl No

Date

Subject

Commissions Decision

1

20.05.2013

Penelty Order : Non-compliance of Securities related Laws against Reliance Brokerage Services Ltd.

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2

20.05.2013

Penelty Order : Non-compliance of Securities related Laws against Globe Securities Limited.

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3

22.05.2013

Rejection of Review petition: Non-compliance of SECs Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alltex Industries Limited

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4

22.05.2013

Rejection of Review petition: Non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commissions Directive No. SEC/CMRRCD/ 2001-43/169 dated October 01, 2009 in connection with trading in shares of Anwar Galvanizing Limited

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5

28.05.2013

Penal Order: Non-compliance of section 18 of Securities and Exchange Ordinance, 1969 (XVII of 1969).

 

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6

28.05.2013

Penelty Order : Non-compliance of  Securities related Laws against Island Securities Limited.

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7

30.05.2013

Review reject: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of BDAUTOCA.

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8

30.05.2013

Review reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of BDAUTOCA.

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9

30.05.2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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10

30.05.2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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11

30.05.2013

Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969. Against Legacy Footwear Ltd.

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12

30.05.2013

Review Reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited

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13

30.05.2013

Review Reject: Non-compliance of AvPibwewa 1, 2(2) of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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14

30.05.2013

Review Reject: Non-compliance of AvPibwewa 1, 2(2) of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited.

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15

30.05.2013

Review reject: Non-compliance of wewa 11 , AvPibwewa 1, 6 of wZxq Zdwmj of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000, regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Beach Hatchery Limited

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      16

30.05.2013

Penalty Order: Non compliance of Notification SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 and wewa 4(2) of the wmwKDwiwUR I GP Kwgkb (myweavfvMx evemv wbwlKiY) wewagvjv, 1995 in connection with share sale.

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