Monthly Report

 

List of Enforcement Actions for the Month of November 2011

 

Sl No

Date

Subject

Commissionís Decision

01.

13.11.2011

Penalty Order for Violation of Securities related laws against Island Securities Limited.

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02.

13.11.2011

Non-compliance of Securities related laws: Disposal of the alleged matter.

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03.

13.11.2011

Non-compliance with securities laws-Warning.

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04.

14.11.2011

Disposal of review petition against Penalty Order in connection retention of auditor for a consecutive period exceeding three years.

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