Monthly Report

 

List of Enforcement Actions for the Month of May 2012

 

Sl No

Date

Subject

Commissions Decision

01.

09.05.2012

Disposal f review petition against SEC Orders No. SEC/Enforcement/447/ 2006/664-670 all dated September 29, 2011.

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02.

17.05.2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.

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03.

17.05.2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.

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04.

21.05.2012

Rejection of Review Petition: Violations of wewa 4(1) of wmwKDwiwUR I GP Kwgkb (myweavfvMx eemv wbwlKiY) wewagvjv 1995 in connection with trading in  shares of BIFCL.

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05.

22.05.2012

WARNING: Non-compliance of 7 of wZxq Zdwmj and wewa 11 of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000.

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06.

28.05.2012

Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.

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07.

28.05.2012

Penalty Order for Violation of Securities related laws against Rose Haven Ball Pen Limited.

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08

28.05.2012

Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended of December 31,2010 against penal Orders No. SEC/Enforcement/ 749/2009/758-762 all dated December 05, 2011.

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