1.
SEC granted Merchant Banker and Portfolio Manager's Registration to 6 [Six]
Companies from July 01 1999 to June 30,1999. Out of these 6 Merchant Bankers
4 [Four] were accorded registration for undertaking functions of Full-fledged
Merchant Banker which include Issue Management, Underwriting and Portfolio
functions and rest 2 [Two] as Issue Manager. Particulars of the above Merchant
Bankers are furnished below:
| Sl
No. |
Name
of the Merchant Bankers |
Authorized
Functions
|
Cert.
Issue Date
|
Name
of CEO |
Tel.
No /Fax No.
|
| 01. |
Swadesh
Investment Management Limited
3/1,
Bijoy Nagar, VIP Road,
Dhaka-1000 |
Full
fledged Merchant Banker
|
26/7/98 |
M.
Mozahrul Quddus [MD]
Ziaul
Quddus [CEO]
|
9345853-4
F
836820 |
| 02. |
Prime
Finance & Investment Ltd
63,
Dilkusha C/A, Dhaka |
DO
|
25.1.99 |
Md.
Aliuzzaman |
9563868
9563882-3
9563875
F9563692 |
| 03. |
South
Asia Capital Ltd
Commercial
Court, Ground Floor
95,
Agrabad C/A, Chittagong-4100 |
Do
|
07/12/98 |
A.
K. Chowdhury [Chairman] |
713309
713354
F
713160 |
| 04. |
Saudi-
Bangladesh Industrial & Agricultural Investment Company Limited
BSEC
Bhaban, [5th Floor]
102,
Kazi Nazrul Islam Avenue
Dhaka-1215 |
Do
|
23/12/98 |
Md.
Kutubuddin [MD]
|
815883-5
812657
F813512 |
| 05. |
Equity
Valuation Research & Distribution Ltd
93,
Motijeel C/A Dhaka |
Only
Issue Manager
|
25.1.99 |
Imran
Rahman |
9564706
9569507-8
F
9565284 |
| 06. |
Prime
Securities & Financial Services Ltd
39,
New Elephant Road, Kazi Bhaban, 2nd Floor,
Dhaka-1205 |
Only
Issue Manager
|
22.02.99 |
F.M.Rashiduzzaman[MD] |
P
& F 869845 |
2.
Stock Dealers Registration Certificate was also issued to 25 Members of
Dhaka Stock Exchange during fiscal year 1998-1999. They are :
| Sl
No |
Name
of the Dealer
|
Membership
No
|
Issue
Date
|
|
1
|
SEL
Securities Ltd |
121
|
13.07.98
|
|
2
|
AKM
Abdur Razzak & Sons |
184
|
13.07.98
|
|
3
|
Md.
Shajahan & Co |
195
|
13.07.98
|
|
4
|
Vanik
Bangladesh Securities Ltd |
132
|
13.07.98
|
|
5
|
National
Credit & Commerce Bank Ltd |
61
|
13.07.98
|
|
6
|
Bangladesh
Shilpa Bank |
152
|
01.03.99
|
|
7
|
Bangladesh
Shilpa Rin Sangstha |
20
|
22.03.99
|
|
8
|
A.H.
Chowdhury & Co |
151
|
22.03.99
|
|
9
|
Nabiul
Karim & Co |
115
|
22.03.99
|
|
10
|
Square
Securities Management Ltd |
76
|
25.03.99
|
|
11
|
Haji
Mohammad Ali & Co |
165
|
01.04.99
|
|
12
|
Hamed
A. Chowdhury & Co |
74
|
01.04.99
|
|
13
|
Mayitree
Biswas |
14
|
06.04.99
|
|
14
|
Merchant
Securities Ltd |
169
|
06.04.99
|
|
15
|
Asif
Ahmed & Co |
84
|
06.04.99
|
|
16
|
Venture
Securities Ltd |
25
|
06.04.99
|
|
17
|
Latif
Securities Ltd |
80
|
26.04.99
|
|
18
|
Kabir
Ahmed & Co |
68
|
16.05.99
|
|
19
|
Raza
Hossain & Co |
38
|
20.05.99
|
|
20
|
M.Rahman
Securities Ltd |
185
|
31.05.99
|
|
21
|
Bulbul
Securities |
32
|
31.05.99
|
|
22
|
A.R.
Chowdhury Securities |
22
|
31.05.99
|
|
23
|
Wall
Street Securities Ltd |
54
|
06.06.99
|
|
24
|
Beximco
Securities Ltd |
178
|
09.06.99
|
|
25
|
M.Samsul
Alam & Co |
04
|
17.06.99
|
3.
44 Members of Chittagong Stock Exchange were accorded Registration Certificate
during July '98- June'99 period. Particulars of the aforesaid Members are
given below:
| Sl
No |
Name
of the Dealer
|
Membership
No
|
Issue
Date
|
|
1
|
A.K.Khan
Securities Ltd |
07
|
13.07.98
|
|
2
|
KCEMMS
Securities Ltd |
08
|
13.07.98
|
|
3
|
MRM
Securities Ltd |
15
|
13.07.98
|
|
4
|
North
West Securities Ltd |
19
|
13.07.98
|
|
5
|
Lamisa
Securities Ltd |
22
|
13.07.98
|
|
6
|
Uttara
Exchange and Securities Ltd |
24
|
13.07.98
|
|
7
|
QSI
Securities Ltd |
26
|
13.07.98
|
|
8
|
JH
Capital Ltd |
28
|
13.07.98
|
|
9
|
JIC
Securities Ltd. |
30
|
13.07.98
|
|
10
|
Vanguard
Shares & Securities Ltd |
36
|
13.07.98
|
|
11
|
SR
Capital Ltd. |
38
|
13.07.98
|
|
12
|
JM
Exchange and Capital Ltd. |
40
|
13.07.98
|
|
13
|
Unity
Share trade Ltd |
41
|
13.07.98
|
|
14
|
3A
and Co Ltd. |
44
|
13.07.98
|
|
15
|
Iqbal
Securities Ltd. |
50
|
13.07.98
|
|
16
|
Prime
Financial Consultance & Equities Ltd. |
55
|
13.07.98
|
|
17
|
Prudential
Capital Ltd. |
62
|
13.07.98
|
|
18
|
Solex
Securities Ltd. |
65
|
13.07.98
|
|
19
|
Intraco
Shares & Securities Ltd. |
67
|
13.07.98
|
|
20
|
National
Brokers Ltd. |
68
|
13.07.98
|
|
21
|
Investment
Corporation Of Bangladesh |
71
|
13.07.98
|
|
22
|
Oasis
Turner Ltd. |
72
|
13.07.98
|
|
23
|
Chowdhury
Securities Ltd. |
73
|
13.07.98
|
|
24
|
Howlader
Securities Ltd. |
75
|
13.07.98
|
|
25
|
Trendset
Securities Ltd. |
77
|
13.07.98
|
|
26
|
Century
Securities Ltd. |
79
|
13.07.98
|
|
27
|
Dhaka
Bank Ltd |
81
|
13.07.98
|
|
28
|
Purabi
Securities Ltd. |
87
|
13.07.98
|
|
29
|
Sqaure
Securities Management Ltd |
92
|
13.07.98
|
|
30
|
Momin
M M Ltd |
97
|
13.07.98
|
|
31
|
ST
Securities Investment and Management Ltd. |
103
|
13.07.98
|
|
32
|
Paramount
Securities Ltd. |
106
|
13.07.98
|
|
33
|
N.C.
Securities Ltd. |
107
|
13.07.98
|
|
34
|
Lotus
Shares and Securities Ltd. |
112
|
13.07.98
|
|
35
|
Western
Securities Investment Management Ltd. |
120
|
13.07.98
|
|
36
|
Amin
Securities and Consultance Ltd. |
128
|
13.07.98
|
|
37
|
Value
Point Capitals Ltd. |
114
|
13.07.98
|
|
38
|
Associated
Capital Securities Ltd. |
63
|
13.07.98
|
|
39
|
Dragon
Equities Ltd. |
12
|
13.07.98
|
|
40
|
ISPI
Securities Ltd. |
02
|
13.07.98
|
|
41
|
Sohel
Securities Ltd. |
76
|
13.07.98
|
|
42
|
Pioneer
Shares and Securities Ltd. |
34
|
06.06.99
|
|
43
|
Far
East Shares and Securities Ltd. |
123
|
21.06.99
|
|
44
|
Ahmed
Securities Services Ltd. |
70
|
21.06.99
|
4.
Cancellation of Registration Certificate:
During
the period July 1998- June 1999 we cancelled 1 (One)-Registration Certificate
of a Dealer of DSE . Details as follows:
| Name
of the Dealer |
Member
|
Cancellation
Date
|
Membership
No
|
| Mr.
Hemayet Uddin Ahmed |
DSE
|
21.03.1999
|
136
|
5.
During the period July 1998- June 1999 Registration Certificate of 3 CSE
Dealer were renewed. Particulars are as follows:
|
Sl
No
|
Name
of the Dealer
|
Membership
No
|
Renewal
Date
|
|
01
|
Bangladesh
Shilpa Bank |
78
|
25.05.99
|
|
02
|
Eastern
Insurance Co Ltd. |
98
|
31.05.99
|
|
03
|
Arab
Bangladesh Bank Ltd. |
101
|
01.06.99
|
6.
Exemption to act as Underwriter:
Exemption
was allowed to persons engaged in Merchant Bankers and Portfolio Manager's
function upto December 31,1998 from the requirements of Merchant Banker's
Registration Certificate. The Commission further extended above exemptions
for underwriting functions only upto December 31, 1999.
7.
Commission earned Tk. 6,86,000.00 as fees from Market Intermediaries. Break-down
of above is furnished below:
a.
Broker/Dealer Registration Fee -
Tk.2,77,000.00
b.
Renewal Fee of Broker/Dealer -
Tk. 40,000.00
c.
Merchant Banker's Renewal and Application Fee - Tk.3,69,000.00
Total Taka
Tk. 6,86,000.00
|
SEC
Annual Report,1998-99
