Monthly Report

 

List of Enforcement Actions for the Month of September 2013

 

Sl No

Date

Subject

Commissions Decision

01.

01.09.2013

Tamha Securities Ltd.Waiver of penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013. Warning.

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02.

01.09.2013

BDBL Securities Limited. Warning: Non-compliance of AvPibwewa 2(2) of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) , and cwewa 32 (5) of wWcvwRUwi (eenvwiK) cweavbgvjv, 2003.

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03.

01.09.2013

Shyamol Equity Management Ltd. Warning: Non-compliance of AvPibwewa 2(2) of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) , Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006.

 

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04.

01.09.2013

Hedayetullah Securities Limited. Warning: Non-compliance of AvPibwewa 2(2) of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) .

 

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05.

01.09.2013

ICB Securities Trading Company Limited. Warning: Non-compliance of AvPibwewa 2(2) of wmwKDwiwUR I GP Kwgkb (K wWjvi, K evKvi I Abygvw`Z cwZwbwa) wewagvjv, 2000 (wZxq Zdwmj) .

 

 

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06.

04.09.2013

City Brokerage Limited. Non-compliance of securities related laws. WARNING

 

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07.

16.09.2013

Tamijuddin Textile Mills Limited. Waiver of penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013.

 

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08

16.09.2013

Bashundhara Textiles Mills Limited. Non-compliance of securities related laws: Disposal of the alleged matter.

 

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09

16.09.2013

Prudential Capital Limited. Non-compliance of securities related laws. WARNING

 

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10

30.09.2013

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

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