Monthly Report

 

List of Enforcement Actions for the Month of April. 2014

 

Sl No

Date

Subject

Commissionís Decision

01.

4.5.2014 Delayed submission of the Capital & Shareholding Position for the month of September 2013 & October 2013.WARNING

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02.

4.5.2014 Non-compliance of securities related laws. WARNING Click to get the page
03 4.5.2014 Reject of the prayer for waiver of penalty Click to get the page
04 6.5.2014 Penelty Order : Non-compliance of Securities related Laws against Gatewey Ewuity Resources Ltd Click to get the page
05 8.5.2014 Reject of the prayer for waiver of penalty Click to get the page
06 8.5.2014 Reject of the prayer for waiver of penalty Click to get the page
07 14.5.2014 Penelty Order : Non-compliance of Securities related Laws against Transcon Securities Limited Click to get the page
08 18.5.2014 Penelty Order : Non-compliance of Securities related Laws against NBL Securities Ltd

 

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09 18.5.2014 Penelty Order : Non-compliance of Securities related Laws against Khurshid Securities Limited Click to get the page
10 28.5.2014 Reject of prayer for waiver of penalty. Click to get the page