Monthly Report

 

List of Enforcement Actions for the Month of October 2011

 

Sl No

Date

Subject

Commissionís Decision

01.

02.10.2011

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

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02.

02.10.2011

Penalty Order for Violation of Securities related laws against K H B Securities Limited.

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03.

02.10.2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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04.

02.10.2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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05.

03.10.2011

Disposal of review petition against Penalty Order: In connection with auditorís qualifications and Commissionís observations on the audited financial statements for the year ended on June 30, 2009

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06.

04.10.2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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07.

11.10.2011

Penalty Order for Violation of Securities related laws against Dhaka Fisheries Limited.

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08.

12.10.2011

Penalty Order for Violation of Securities related laws against Bengal Fine Ceramics Limited.

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