Enforcement Action
December, 2013
Sl.NoDateSubjectCommission’s Decision
1December 1, 2013

Penelty Order : Non-compliance of Securities related Laws against Sylnet Securities Limited

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2December 2, 2013

Reject of prayer for penalty waiver: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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3December 2, 2013

Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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4December 2, 2013

Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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5December 2, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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6December 3, 2013

Reject of prayer for penalty waiver: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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7December 3, 2013

Reject of prayer: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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8December 8, 2013

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning.. Social Islami Bank Limited

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9December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Eastern Cables Ltd,

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10December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Atlas Bangladesh Ltd

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11December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Ashraf Textile Mills Ltd

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12December 23, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.. Monno Ceramic Industries Ltd

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13December 23, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Bengal Fine Ceramics Ltd

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14December 31, 2013

Non-compliance of securities laws: Warning. Mika Securities Ltd

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15December 31, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Yusuf Flour Mills Limited

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November, 2013

October, 2013

September, 2013
Sl.NoDateSubjectCommission’s Decision
23September 1, 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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24September 1, 2013

BDBL Securities Limited. Warning: Non-compliance of আচরনবিধি  ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , and প্রবিধি ৩২ (৫) of  ডিপোজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩.

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25September 1, 2013

Shyamol Equity Management Ltd. Warning: Non-compliance of আচরনবিধি  ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006.

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26September 1, 2013

Hedayetullah  Securities Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .

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27September 1, 2013

ICB Securities Trading Company Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .

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28September 4, 2013

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

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29September 16, 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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30September 16, 2013

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

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31September 16, 2013

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

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32September 30, 2013

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

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August, 2013
Sl.NoDateSubjectCommission’s Decision
33August 13, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning. Against Beach Hatchery ltd

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34August 13, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning.against Golden Son Limited

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35August 13, 2013

Non-compliance of the SEC Notification No.SEC/CMRRCD/ 2009-193/50/Admin/02-24 dated July 14, 2010. WARNING against BRAC Bank Ltd.

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36August 13, 2013

Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-229/2010/859 dated December 05, 2011. WARNING against Information Technology Consultants Limited.

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37August 20, 2013

Penelty Order : Non-compliance of Securities related Laws against Jalalabad Securities Ltd.

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38August 25, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACHHATCH. Against Mr. Asif Sadeque

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39August 25, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACONPHAR against Mr. Fokhrul Islam Chowdhury

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40August 29, 2013

Non-compliance of securities related laws. WARNING against BRB Securities Limited

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41August 29, 2013

Penelty Order : Non-compliance of Securities related Laws against Kishor das.

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42August 29, 2013

Penelty Order : Non-compliance of Securities related Laws against Abdur Razak.

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43August 29, 2013

Penelty Order : Non-compliance of Securities related Laws against Asraful Alam.

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July, 2013
Sl.NoDateSubjectCommission’s Decision
44July 7, 2013

Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-308/2011/802 dated November 13, 2011. WARNING Against  IEL Consortium & Associates Limited

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45July 16, 2013

Penelty Order : Non-compliance of  Securities related Laws against Shamim Ara.

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46July 16, 2013

Penelty Order : Non-compliance of  Securities related Laws against M.A Maliq. 

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47July 16, 2013

Penelty Order : Non-compliance of  Securities related Laws against Shyamol Equity Management Ltd. 

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48July 18, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31,2013 : Warning. BD Thai Aluminium Ltd

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49July 18, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. National Tea Company Ltd

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50July 21, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and rule 3 (1) and 3 (2) of the Margin Rules 1999 in connection with trading in shares of Paramount Insurance Company Limited. against Mona Financial Consultancy and Securities Limited

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51July 21, 2013

Rejection of Review Petition: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Safko Spinning Mills Limited.  against Mirpur Securities Limited

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52July 21, 2013

Warning: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC Directive No. SEC/CMRRCD/2009-193/63 against Mona Financial Consultancy and Securities Limited

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53July 21, 2013

Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited  against Mr. Abu Sadat Md.Sayem

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54July 21, 2013

Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited.against Mr.Abdul Mobin Molla

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55July 21, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against  Dream Holdings Limited,

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56July 21, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against Mrs.Mahmuda Yasmin

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57July 23, 2013

Penelty Order : Non-compliance of  Securities related Laws against Ananta Properties Limited 

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58July 23, 2013

Penelty Order : Non-compliance of  Securities related Laws against ACNABIN, Chartered Accountants

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59July 24, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. Orion Pharma Ltd

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60July 24, 2013

Penelty Order : Non-compliance of  Securities related Laws against M.A Maleq.

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61July 24, 2013

Penelty Order : Non-compliance of  Securities related Laws against A.K.M.Kamal uddin.

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62July 25, 2013

Penelty Order : Non-compliance of  Securities related Laws against Salta Capital Ltd.

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63July 24, 2013

Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2012 : Warning. Alltex Industries Ltd

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64July 31, 2013

Waiver of penalty imposed pinal orders No. SEC/Enforcement/194/2003/256 to 262 all dated 23 February, 2010 of Tulip Dairy & Food Ltd.

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June, 2013

May, 2013
Sl.NoDateSubjectCommission’s Decision
74May 2, 2013

Penelty Order : Non-compliance of  Securities related Laws against Reliance Brokerage Services Ltd.

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75May 2, 2013

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

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76May 22, 2013

Rejection of Review petition:  Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alltex Industries Limited

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77May 22, 2013

Rejection of Review petition:  Non-compliance of the Margin Rules, 1999 as per Clause 1 of the   Commission’s Directive No. SEC/CMRRCD/ 2001-43/169 dated October 01, 2009 in connection with trading in shares of Anwar Galvanizing Limited

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78May 28, 2013

Penal Order: Non-compliance of section 18 of Securities and Exchange Ordinance, 1969 (XVII of 1969).

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79May 28, 2013

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

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80May 30, 2013

Review reject: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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81May 30, 2013

Review reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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82May 30, 2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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83May 30, 2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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84May 30, 2013

Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969. Against Legacy Footwear Ltd.

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85May 30, 2013

Review Reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited

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86May 30, 2013

Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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87May 30, 2013

Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited.

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88May 30, 2013

Review reject: Non-compliance of বিধি ১১ , আচরনবিধি ১, ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Beach Hatchery Limited

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89May 30, 2013

Penalty Order: Non compliance of Notification SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 and বিধি ৪(২) of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যাবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with share sale.

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April, 2013
Sl.NoDateSubjectCommission’s Decision
90April 4, 2013

Warning: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with  non submission of sale declaration.. Md Abdul Hannan.

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91April 7, 2013

Penelty Order : Non-compliance of  Securities related Laws against Mercantile Bank Securities Ltd.

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92April 9, 2013

Disposal:  Non-compliance of Section 17 (e)(ii) and 17(e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of One Bank Limited. Md A.K.M Arifur  Rahman.

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93April 9, 2013

Disposal: Non-compliance of Rule 3 (6) of Margin Rules, 1999 by executing force sale.

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94April 18, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2012. Warning.Jago corporation Ltd.

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95April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited

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96April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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97April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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98April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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99April 18, 2013

Rejection of Review petition:  Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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100April 18, 2013

Rejection of Review petition:  : Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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101April 22, 2013

Non-compliance of securities laws: In connection with the delayed submission of Audited Financial Statements for the year ended on June 30, 2012: Warning.

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102April 22, 2013

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2012: Warning.

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103April 23, 2013

Warning: Non-compliance of SEC Order No. SEC/CMRRCD/2000-985/248/Admin/02/1 dated Dec19,2000. UCBL.

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104April 23, 2013

Penelty Order : Non-compliance of  Securities related Laws against Saif  Powertec Limited.

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105April 23, 2013

Penelty Order : Non-compliance of  Securities related Laws against S.F. Ahmed & Co.

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106April 23, 2013

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

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March, 2013
Sl.NoDateSubjectCommission’s Decision
107March 7, 2013

Non-compliance of  Securities related Laws against IFIC BANK LTD.

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108March 7, 2013

Non-compliance of  Securities related Laws : Warning . Md Ariful Haque Mallick.

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109March 7, 2013

Penelty Order for Violation of আচরণবিধি ১ and  ৬ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Mr S M Faruque

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110March 12, 2013

Penelty Order for Violation of Securities related Laws against Salta Capital Limited.

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111March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against SINHA Securities Limited.

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112March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against M.Securities Limited.

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113March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against ICB Securities trading Company Limited.

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114March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws against Western Securities Investment Management Ltd.

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115March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws against Mirpur ScuritiesLtd.

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116March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws against Mona Financial Consultancy and Scurities Ltd.

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117March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws against Be Rich Limited.

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118March 12, 2013

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

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119March 12, 2013

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

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120March 12, 2015

Penelty Order : Non-compliance of  Securities related Laws against Al-Muntaha Trading Co. Limited.

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121March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Beach Hatchery Limited"against Sylhet Metro City Securities Limited.

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122March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Shyamol Equtiy Management Limited.

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123March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Oshadi Securities Limited.

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124March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Sinha Securities Limited.

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125March 12, 2015

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Global Securities Limited.

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126March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Mahbubur Rahman.

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127March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Razzaqul Haider Bhuiyan.

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128March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Md Habibur Rahman.

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129March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Ms Nusrat Jahan.

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130March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Uttara Finance and Investment Limited.

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131March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of GQBALPEN against Md Abdul Khayer.

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132March 14, 2013

Order. Mr Md Abdur Razzak. Raspit Indk (bd)Ltd

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133March 28, 2013

Payment of Penalty on the installment basis Ms.Shipra Paul

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134March 28, 2013

Payment of Penalty on the installment basis Ms.Sheuli Saha

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135March 28, 2013

Payment of Penalty on the installment basis Mr. Joydeb Kumar Saha

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February, 2013
Sl.NoDateSubjectCommission’s Decision
136February 4, 2013

Non-compliance of  Securities related Laws against Aamra Technologies Limited.

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137February 7, 2013

Warnivg: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with  trading in shares of Dutchbangla. Md Shahadat Hossain

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138February 7, 2013

Warning: Non-compliance of আচরণবিধি ৭ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Hac Securities Limited.

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139February 14, 2013

Warning: violation of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.মোহাম্মদ আকবর হোসেন

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140February 14, 2013

Warning: violation of বিধি ৪(১)  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫. এ এন্ড এ ইনভেষ্টমেন্ট লিঃ

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141February 26, 2013

Non-compliance of securities laws: in connection with the delayed submission of first quarter(Q1) financial statements Agni Systems Limited:Warning

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142February 27, 2013

Penelty Order for Violation of Securities related Laws Mona Financial Consultancy and Securities Limited.

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143February 27, 2013

Penelty Order for Violation of Securities related Laws against Fidelity Assets and Securities Company Limited.

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144February 27, 2013

Penelty Order for Violation of Securities related Laws against Globe Securities Limited.

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145February 27, 2013

Penelty Order for Violation of Securities related Laws against Shyamol Equity Management Limited.

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146February 27, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with  trading in shares of All Tex Industries Limited. Md Nizam Uddin.

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147February 28, 2013

Penelty Order for Violation of Securities related Laws against Mercantile Bank Securities Limited.

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January, 2013
Sl.NoDateSubjectCommission’s Decision
148January 17, 2013

Disposal of Review Petition in connection with the non-submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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149January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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150January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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151January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited.

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152January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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153January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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154January 21, 2013

Penalty Order for Violation of Securities related Laws against Raspit Data Management Ltd

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155January 27, 2013

Penalty Order for Violation of Securities related Laws against International Leasing Securities Ltd.

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156January 27, 2013

Penalty Order for Violation of Securities related Laws against R.N Spinning Mills Ltd

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157January 27, 2013

Penalty Order for Violation of Securities related Laws against Md. Abdul Kadir Faruq.

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158January 27, 2013

Penalty Order for Violation of Securities related Laws against Kim jong suk.

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159January 27, 2013

Penalty Order for Violation of Securities related Laws against Mrs Shirin Faruq.

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160January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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161January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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162January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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163January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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164January 27, 2013

Penalty Order: Non-compliance of আচরণবিধি ৮ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of Libra Infusion Limited.

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165January 27, 2013

Warning: Non-compliance of Section 17 (e) (ii) and 17 (e) (iv) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of Libra Infusion Limited.

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166January 27, 2013

Penalty Order : Non-compliance of section 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations,2006  and   আচরনবিধি ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with unusual trading in shares of listed securities by PHP Stocks & Securities Limited.

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167January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of R.N Spinning Mills Limited

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168January 27, 2013

Penalty Order: Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969.

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169January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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170January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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171January 28, 2013

Alleged non-compliance with the securities related laws in connection with the submission of un-audited 4th quarter financial statements:Warning

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172January 27, 2013

Penalty Order for Violation of Securities related Laws against Mita Textiles Mills Ltd.

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173January 27, 2013

Penalty Order for Violation of Securities related Laws against Khaza Mosaic Tiles & Stone Ind.Ltd

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174January 28, 2013

Penalty Order for Violation of Securities related Laws against Pharmaco International Ltd.

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175January 30, 2013

Penalty Order for Violation of Securities related Laws against Sajib Knitware & Garments Ltd.

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176January 31, 2013

Penalty Order for Violation of Securities related Laws against Bangla Process Ind.Ltd.

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177January 31, 2013

Penalty Order for Violation of Securities related Laws against Rose Heaven Bell Pen Ltd.

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178January 31, 2013

Penalty Order for Violation of Securities related Laws against M.Hossain Garments Ltd.

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179January 31, 2013

Penalty Order for Violation of Securities related Laws against Perfume Chemical Industries Ltd.

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180January 31, 2013

Penalty Order for Violation of Securities related Laws against Fahad Industries Ltd.

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181January 31, 2013

Penalty Order for Violation of Securities related Laws against Amam Se Food Ind.Ltd.

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December, 2012
Sl.NoDateSubjectCommission’s Decision
182December 24, 2012

Review: Violation of বিধি ৩(১) and  বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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183December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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184December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) of the Securities and Exchange Ordinance, 1969 (XVII of 1969) in connection with trading in shares of Fine Foods Limited.

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185December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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186December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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187December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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188December 26, 2012

Penalty Order for Violation of Securities related laws against Mohammad Quddus & Co.

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November, 2012
Sl.NoDateSubjectCommission’s Decision
189November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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190November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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191November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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192November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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October, 2012

July, 2012

June, 2012
Sl.NoDateSubjectCommission’s Decision
200June 10, 2012

Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.

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201June 10, 2012

Penalty Order for Violation of Securities related laws against Mita Textiles Limited.

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202June 10, 2012

Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.

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203June 10, 2012

Penalty Order for Violation of Securities related laws against Fahad Industries Limited.

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204June 10, 2012

Penalty Order for Violation of Securities related laws against Pharmaco International Limited.

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205June 10, 2012

Penalty Order for Violation of Securities related laws against M Hossain Garments washing and dying Limited.

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206June 10, 2012

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

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207June 10, 2012

Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on June 30, 2011: Warning

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208June 10, 2012

Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.

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209June 10, 2012

Penalty Order for Violation of Securities related laws against Bangladesh Shipping Corporation.

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210June 10, 2012

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

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211June 10, 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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212June 10, 2012

Reduction of Penalty

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213June 10, 2012

Payment of Penalty amount on installment basis

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214June 12, 2012

Reduction of Penalty

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215June 12, 2012

Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited

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216June 14, 2012

Penalty Order for Violation of Securities related laws against Apollo Ispat Complex Limited

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217June 14, 2012

Penalty Order for Violation of Securities related laws against ICB Capital Management Limited

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218June 14, 2012

Penalty Order for Violation of Securities related laws against Zoha Zaman Kabir Rashid and Co.

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219June 14, 2012

Penalty Order for Violation of Securities related laws against Masih Muhith Haque and Co.

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220June 17, 2012

Warning: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection of shares sale by the placement holder of Grameen Phone Limited

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221June 17, 2012

Warning: Non-compliance of 5(1) of Margin Rules, 1999

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222June 27, 2012

Penalty Order for Violation of Securities related laws against NBL Securities Limited

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223June 28, 2012

Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited

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May, 2012
Sl.NoDateSubjectCommission’s Decision
224May 9, 2012

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

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225May 17, 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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226May 17, 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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227May 21, 2012

Rejection of Review Petition: Violations of  বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in  shares of BIFCL.

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228May 22, 2012

WARNING: Non-compliance of ৭ of দ্বিতীয় তফসিল and বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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229May 28, 2012

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

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230May 28, 2012

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

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231May 28, 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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April, 2012
Sl.NoDateSubjectCommission’s Decision
232April 3, 2012

Warning: Non-compliance of  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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233April 3, 2012

Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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234April 3, 2012

Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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235April 10, 2012

Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.

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236April 10, 2012

Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/2009-193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (Short-Sale) Regulations, 2005  in connection with unusual trading in shares of Eastern Housing Limited.

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237April 10, 2012

Rejection of second review petition no. NIL. dated December 15, 2011

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238April 10, 2012

Rejection of second review petition no. NIL. dated January 03, 2012

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239April 10, 2012

WARNING: Non-compliance of Rule 18(9) of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.

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240April 10, 2012

Reduction of penalty: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Ocean Container Limited.

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241April 10, 2012

Reduction of penalty: Non-compliance of condition no. 7 under Part-B of SEC's letter No. SEC/CI/IPO-113/09-414 dated March 28, 2010.

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242April 12, 2012

Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005.

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243April 12, 2012

Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005

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244April 12, 2012

Rejection of Review Petition: Non -compliance of  শর্ত নং-২  of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭  of দ্বিতীয় তফসিল and  বিধি-১১  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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245April 12, 2012

Penal Order: Violation of বিধি-১১ and দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার, স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরণ বিধি ১ and ৬ of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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246April 12, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.

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247April 15, 2012

Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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248April 15, 2012

Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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249April 15, 2012

Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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250April 15, 2012

Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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251April 15, 2012

Penal Order: Violation of বিধি-৪(১)  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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252April 15, 2012

Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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253April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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254April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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255April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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256April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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257April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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258April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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259April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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260April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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261April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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262April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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263April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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264April 15, 2012

Disposal: Violation of  বিধিধ  ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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265April 22, 2012

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

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266April 22, 2012

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

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267April 22, 2012

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

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268April 22, 2012

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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269April 22, 2012

Penalty Order for Violation of Securities related laws against Fahad Industries Limited.

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270April 22, 2012

Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Ltd.

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271April 24, 2012

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

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272April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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273April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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274April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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275April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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276April 25, 2012

Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009 in connection with conducting board meeting during the trading hours.

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277April 25, 2012

Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009.

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March, 2012
Sl.NoDateSubjectCommission’s Decision
278March 4, 2012

Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.

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279March 12, 2012

Warning: Non-compliance of Rule 3(1) and 3(2) of the Margin Rules, in connection with trading in shares of National Tea Company Ltd.

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280March 12, 2012

WARNING: Violation of বিধি ৪(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ and Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated February 26, 2012 submitted to the Commission.

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281March 12, 2012

WARNING: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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282March 12, 2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with declaration of share sale by the placement holder of Grameen Phone Limited (GP).

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283March 15, 2012

Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.

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284March 19, 2012

Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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285March 19, 2012

Reduction of penalty: Non-compliance of  শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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286March 19, 2012

Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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287March 19, 2012

Reduction of penalty: Non-compliance of  শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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288March 19, 2012

WARNING: Non-compliance of Commission’s Order No. এসইসি/এসআরএমআইডি/২০০০-১৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং Gazetted on February 25, 2001 in connection with price sensitive information.

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289March 29, 2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.

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February, 2012

January, 2012

December, 2011
Sl.NoDateSubjectCommission’s Decision
305December 1, 2011

Disposal: Non-compliance of regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulations, 2006.

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306December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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307December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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308December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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309December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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310December 1, 2011

Reduction of Penalty.

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311December 1, 2011

Rejection of review petition.

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312December 1, 2011

Rejection of review petition.

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313December 1, 2011

Disposal: Violation of বিধি ৩(১),  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধর্কণ) বিধিমালা, ১৯৯৫ in connection with shares of Chittagong Vegetable Oil Industries Limited

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314December 5, 2011

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

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315December 5, 2011

Penalty Order for Violation of Securities related laws against GMG Industrial Corporation Limited.

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316December 5, 2011

Penalty Order for Violation of Securities related laws against Pharmaco International Limited.

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317December 5, 2011

Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.

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318December 5, 2011

Penalty Order for Violation of Securities related laws against M. Hossain Garments Washing and Dyeing Limited.

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319December 8, 2011

Rejection of review petition against Commission’s order No. SEC/Enforcement/840/2010/305 date June 14, 2011.

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320December 8, 2011

WARNING: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Sonargaon Textiles Limited.

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321December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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322December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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323December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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324December 8, 2011

WARNING: Non-compliance of ডপজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩ এর তফসিল-৫ এ বর্ণিত ডিপজিটরির অংশগ্রহণকারীর ক্ষেত্রে আচরনবিধি-১, ২(১) এবং SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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325December 8, 2011

WARNING: Non-compliance of the Rules 8(1) of Securities and Exchange Rules, 1987, সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ এর দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার ও স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরন বিধি, ষ্টক ডিলার/ষ্টক ব্রোকার/অনুমোদিত প্রতিনিধি এর নিবন্ধন সনদের শর্তাবলী নং-৭ in connection with unusual trading in shares of Sonargaon Textiles Limited.

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326December 8, 2011

Reduction of Penalty.

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327December 8, 2011

Reduction of Penalty.

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328December 8, 2011

Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/569/ dated September 06, 2011.

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329December 8, 2011

Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/571/ dated September 06, 2011.

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330December 8, 2011

Reduction of Penalty.

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331December 8, 2011

Reduction of Penalty.

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332December 8, 2011

Reduction of Penalty.

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333December 19, 2011

Disposal of review petition against SEC Order No. SEC/Enforcement/300/2005/821-823 all dated November 02, 2009

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334December 19, 2011

Waiver of penalty imposed upon the individual director in connection with the non submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Order No. SEC/Enforcement/751/2009/545-553 all dated September 06, 2011: Warning.

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335December 19, 2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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336December 19, 2011

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

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337December 19, 2011

Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.

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338December 19, 2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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339December 20, 2011

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

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340December 21, 2011

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

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341December 21, 2011

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

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342December 21, 2011

Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.

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343December 22, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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344December 22, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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345December 27, 2011

Penalty Order for Violation of Securities related laws against PHP Stock and Securities Limited.

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346December 28, 2011

Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Orders No. SEC/Enforcement/752/2009/534-341 all dated August 24, 2011: Warning.

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347December 28, 2011

Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.

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348December 28, 2011

Penal Order: In connection with non-submission of audited financial statements for the year ended on December 31, 2009.

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349December 28, 2011

Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2011-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.

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350December 28, 2011

Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/ 2009/193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (short-Sale) Regulations, 2005 in connection with unusual trading in shares of Eastern Housing Limited.

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351December 28, 2011

Penal Order: Non-compliance of Section 17(e)(iii)(v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Eastern Housing Limited.

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352December 29, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statements for the year ended on June 30, 2010: Warning.

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November, 2011

October, 2011

September, 2011
Sl.NoDateSubjectCommission’s Decision
365September 6, 2011

Penalty Order for Violation of Securities related laws against Mehgna Petroleum Limited.

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366September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, Directive No. SEC/CMRRECD/2001-43/31 dated March 23, 2010 in connection with unusual trading in shares of Safko Spinning Mills Limited

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367September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Safko Spinning Mills Limited

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368September 6, 2011

Penal Order: Non-compliance of securities laws in connection with unusual trading in shares of Safko Spinning Mills Limited

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369September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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370September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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371September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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372September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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373September 6, 2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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374September 6, 2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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375September 6, 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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376September 13, 2011

Non-compliance with securities related laws in connection with third quarter (Q3) financial statements for the third quarter ended on September, 2010: Warning

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377September 13, 2011

Non-compliance with securities laws:  In connection with the delayed submission of half yearly  financial statements for the half year ended on December 31, 2010: Warning

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378September 15, 2011

PENAL ORDER: Regarding Violation of Securities related laws.

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379September 16, 2011

WARNING: Non-compliance of the Rule 8(1) of Securities and Exchange Rules, 1987 in connection with unusual trading in shares of Beach Hatchery Limited.

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380September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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381September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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382September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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383September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010 and Commission’s letter No. SEC/SRMID/94-231/472 dated February 13, 205, in connection with unusual trading in shares of Beach Hatchery Limited.

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384September 18, 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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385September 18, 2011

Penalty Order for Violation of Securities related laws against Mona Food Industry Limited.

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386September 18, 2011

Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Limited.

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387September 18, 2011

Penalty Order for Violation of Securities related laws against Fahad Industries Limited.

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388September 18, 2011

Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.

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389September 20, 2011

PENAL ORDER: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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390September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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391September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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392September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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393September 20, 2011

Non-compliance of securities laws: Warning.

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394September 21, 2011

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

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395September 21, 2011

Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited.

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396September 21, 2011

WARNING: Non-compliance of Section 17 (e)(iii) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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397September 21, 2011

WARNING: Non-compliance of the Commission’s Directive No. SEC/ CMRRCD/2001-43/48 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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398September 25, 2011

Penalty Order for Violation of Securities related laws against Chittagong Vegetable Oil Industries Limited.

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399September 25, 2011

PENAL ORDER: Non-compliance of Rule 18(9)  of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.

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400September 26, 2011

Penalty Order for Violation of Securities related laws against Alhaj Textile Mills Limited.

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401September 29, 2011

Penalty Order for Violation of Securities related laws against Azadi Printers Limited.

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August, 2011
Sl.NoDateSubjectCommission’s Decision
402August 2, 2011

সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য ডান্ডি ডাইং লিমিটেড এর উপর জরিমানা ধার্যের ‘‘আদেশ”

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403August 10, 2011

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, in connection with unusual trading in shares of Pharma Aids Limited.

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404August 10, 2011

WARNING: Violation of  উপ-বিধি (২) ড়ভ বিধি (৪) of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of Pharma Aids Limited.

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405August 11, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2010: Warning

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406August 16, 2011

PENAL ORDER: Violation of  বিধি ৪(১) ড়ভ  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of BIFCL.

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407August 16, 2011

PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Dhaka Fisheries Limited.

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408August 16, 2011

Penal Order: Non-compliance of condition No. 4 of SEC's approval letter No. SEC/CI/RI.43/2010/223 dated July 20, 2010 for issuance of Rights Shares.

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409August 16, 2011

PENAL ORDER: Non-compliance of the SEC's Order No. SEC/CRMID/94-231/1640 dated January 31, 2008, in connection with trading in shares of Z Category Company.

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410August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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411August 16, 2011

PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009.

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412August 16, 2011

PENAL ORDER: Non-compliance of  Margin Rules, 1999 and Securities and Exchange Commission's Letter No. SEC/CRMID/94-231/472 dated February 13, 2005

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413August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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414August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and  বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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415August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and  বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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416August 16, 2011

PENAL ORDER: Non-compliance of the Commission's  Order No. এসইসি/এসআরএমআইডি/২০০০-৯৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং   Gazetted on Februay 25, 2001.

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417August 16, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning

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418August 16, 2011

Non-compliance of securities laws: Warning

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419August 16, 2011

Non-compliance of securities laws: Warning

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420August 18, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning

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421August 21, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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422August 24, 2011

সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য যমুনা অয়েল কোম্পানী লিমিটেড এর চেয়ারম্যান এবং অন্যান্য পরিচালক এর উপর জরিমানা ধার্যের ‘‘আদেশ”

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July, 2011

June, 2011
Sl.NoDateSubjectCommission’s Decision
428June 14, 2011

Penal Order for Non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Aramit Cement Ltd.

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429June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Apex weaving and finishing mills ltd. and delta life insurance company ltd.

430June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/1641 dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.

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431June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Gulf foods ltd.

432June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Gulf foods ltd.

433June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.

434June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.

435June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

436June 14, 2011

Penal Order for non-compliance of the SEC's Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

437June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

438June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

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439June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

440June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and SEC's Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd. and Guld foods ltd.

441June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Dhaka Fisheries Ltd.

442June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries ltd and Gulf foods ltd.

443June 14, 2011

Penal Order for non-compliance of the SEC's  Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd.

444June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd.

445June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008  in connection with unusual trading in shares of CMC kamal textile mills ltd.

446June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of CMC kamal textile mills ltd.

447June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of CMC kamal textile mills ltd.

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448June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd. and Alpha tobacco manufacturing company ltd.

449June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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450June 26, 2011

Penal Order for non-compliance of the SEC's Directive No. SEC/CMRRCD/2009-193/63 dated September06, 2010 in connection with trading in shares of United Airways (Bangladesh) ltd.

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451June 27, 2011

Penal Order for violating বিধি ৪ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.

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452June 27, 2011

Penal Order: Non-compliance of the SEC's Order No. SEC/SRMID/94-231/1640 dated Januraly 31, 2008 in connection with trading in shares of Chittagong vegetable oil industries ltd.

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453June 27, 2011

Penal Order: Non-compliance of the SEC's Order No. SEC/SRMID/94-231/1640 dated Januraly 31, 2008 and sub rule (1) of Rule 3 of Margin Rules, 1999 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

454June 27, 2011

Penal Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 and Regulation 13 of Dhaka Stock Exchange Transaction Regulations, in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

455June 27, 2011

Penal Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 and Regulation 13 of Dhaka Stock Exchange Transaction Regulations, in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

456June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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457June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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458June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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459June 27, 2011

Show-cause cum hearing notice: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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460June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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461June 28, 2011

Penal Order: In connection with the matter of non submission of the Capital & Shareholding Position for the month of February 2010, March 2010 and April 2010.


April, 2011

March, 2011

February, 2011
Sl.NoDateSubjectCommission’s Decision
472February 7, 2011

Order to Bangladesh Electricity Meter Company Ltd. Order no-SEC/ENFORCEMENT/52/2001/66-68.

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473February 8, 2011

Disposal of review against Penalty Order: in connection with Repeat Public offerings (RPO) of Golden Son Ltd to ICB Capital Management Ltd.

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474February 9, 2011

Order to Bionic See Food Export Ltd. Order No: SEC/ENFORCEMENT/641/2007/80 TO SEC/ENFORCEMENT/641/2007/83

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475February 10, 2011

Order to MAH Securities Ltd. Order No: SEC/ENFORCEMENT/804/2010/89

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476February 10, 2011

Order to SAAD Securities Ltd. Order No: SEC/ENFORCEMENT/787/2009/91

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477February 10, 2011

Order to Western Securities Investment Management Ltd. Order No: SEC/ENFORCEMENT/660/2008/87

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478February 24, 2011

Warning. Non-compliance with securities laws in connection with retention of auditor for a consecutive period exceeding three years to Anlima Yarn Dyeing Ltd

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479February 27, 2011

Order to Modern Industry Ltd. Order No: SEC/ENFORCEMENT/790/2009/112 TO SEC/ENFORCEMENT/790/2009/114

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480February 28, 2011

Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Silk Mills Ltd.

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481February 28, 2011

Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Textile Mills Ltd.

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482February 28, 2011

Order to ASENZ Securities Ltd. Order No: SEC/ENFORCEMENT/860/2011/128

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483February 28, 2011

Order to M Securities Ltd. Order No: SEC/ENFORCEMENT/588/2007/122

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484February 28, 2011

Order to BALI Securities Ltd. Order No: SEC/ENFORCEMENT/861/2011/126

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January, 2011
Sl.NoDateSubjectCommission’s Decision
485January 2, 2011

Waiver of penalty imposed penal Orders No. SEC/Enforcement/194/2003/549 to 555 all dated 28 June 2010 to Tulip dairy & Food Products Ltd

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486January 12, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/432/2006/653-659 all dated August 23, 2010 to Sajib knitwear and Garments Ltd

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487January 12, 2011

Order to Salah Carpet Mills Ltd. Order No-SEC/Enforcement/722/2008/18-21

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488January 16, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/721/2008/707 dated October 04, 2010 to National Credit and Commerce Bank Ltd.

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489January 16, 2011

Warning: Non-compliance of securities laws for MAH Securities ltd

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490January 17, 2011

Warning: Non-compliance with securities related laws in connection with Issue of Capital by C.P. Bangladesh Co. Ltd

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491January 23, 2011

Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Phoenix Insurance Com Ltd. (Issuer)

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492January 26, 2011

Warning: Non-compliance of securities laws to Anam Capital ltd

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493January 30, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/160/2003/ 69-72  all dated January  5, 2010 to Sreepur Textile Mills Limited

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494January 31, 2011

Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Peoples Leasing and financial Services Ltd. (Issuer)


December, 2010
Sl.NoDateSubjectCommission’s Decision
495December 5, 2010

Warning: alleged non compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2009 to Sonali Paper & Board Mills Ltd

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496December 7, 2010

Order to Saad Securities Ltd. Order no sec/enforcement/787/2009/819

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497December 8, 2010

Warning: non compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2010 to Wata Chemicals Ltd

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498December 15, 2010

Warning: non compliance of securities laws to BRAC EPL Stock Brokerage Ltd.

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499December 19, 2010

Warning: non compliance of securities laws to Alliance Securities & Management Ltd.

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500December 19, 2010

Warning: non compliance of securities laws to Alliance Securities & Management Ltd.

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501December 19, 2010

Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/197/2003/584-589 all dated July 15, 2010 to Maq Enterprise Ltd.

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502December 21, 2010

Warning: non compliance of securities laws to Apex Investments Ltd.

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503December 21, 2010

Warning: Show cause cum hearing notice: non compliance of securities related laws in connection with issue of Capital by Sea Tex Ltd

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504December 23, 2010

Disposal of review petition against Penal Orders in connection with auditor's qualifications on the audited financial statements of Alpha Tobacco Mfg. Ltd for the year ended on Sep-30, 2006 & sep 30, 2008

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505December 23, 2010

Warning: non compliance of securities laws to Sharp Securities Ltd.

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506December 23, 2010

Disposal of review petition against SEC Orders No. SEC/Enforcement/194/2003/ 256-262 all dated February 23, 2010 to Tulip Dairy & Food Products Ltd.

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November, 2010

October, 2010
Sl.NoDateSubjectCommission’s Decision
514October 3, 2010

Disposal of review petition against penalty order: In connection with the audited financial statements for the year ended on June 30, 2003 of Fine Foods Ltd

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515October 4, 2010

Order to Golden Son Ltd. Order No: SEC/ENFORCEMENT/805/2010/710

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516October 4, 2010

Order to National Credit & Commerce Bank Ltd. Order No: SEC/ENFORCEMENT/721/2008/707

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517October 7, 2010

Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/602/2007/25-30 all dated January 03, 2010 for Wata Chemicals Ltd.

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518October 11, 2010

Warning: For violation of rule 13 of the Securities and Exchange Rules, 1987 for Arbee Textiles Ltd

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519October 11, 2010

Disposal of the alleged matter:  Non-compliance of securities laws: in connection with Non-dissemination of price sensitive information and non submission of half yearly financial statements for the half ended on June 30, 2009 for German Bangla J.V.Food Ltd

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520October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Yaakub Ali Khandaker

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521October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tariqal Islam Bhuiyan

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522October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tayeb Ali Khan

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523October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kair Uddin Ahmed

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524October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kazi Zunnun Boshre

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525October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Shafiul Islam Bipul

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526October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Syed Siraj Ud Dawla

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527October 21, 2010

Warning: non compliance of securities laws to IIDFC capital Ltd

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528October 21, 2010

Warning: non compliance of securities laws to Pioneer Insurance Co. Ltd

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529October 21, 2010

Warning: non compliance of securities laws in connection with the matter of non-compliance of conditions imposed 2CC of Securities And Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (Pvt)-186/2009-262 dated November 25, 2009 to Ever Smart Bangladesh Ltd.

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530October 24, 2010

Disposal of the alleged matter: Non-compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kabir Uddin Ahmed

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531October 25, 2010

Warning: non compliance with the securities related laws in connection with audited financial statements of Anwar Galvanaizing Ltd for the year ended on June 30,2009 to M/S Rahman Mustafiz Haq & Co

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532October 27, 2010

Order to PFI Securities Ltd. Order No: SEC/ENFORCEMENT/GP/2010/835/773

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September, 2010
Sl.NoDateSubjectCommission’s Decision
533September 6, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007

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534September 6, 2010

Disposal of review petition against penalty order: for non-compliance with  securities related laws In connection with execution of trade to Chittagong Stock Exchange Ltd (CSE)

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535September 6, 2010

Disposal of review petition against penalty order: for non-compliance with  securities related laws In connection with execution of trade and calculating of index to Dhaka Stock Exchange (DSE)

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536September 6, 2010

IFIC Bank Ltd (DSE Member No. 192): non-compliance of securities related laws: disposal of the alleged matter.

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537September 13, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Sreepur Textile Mills Ltd. for the year ended on December 31, 2007

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538September 14, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Petro Synthetic Products Ltd for the year ended on December 31, 2007

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539September 14, 2010

Order to Anawar Gealvanizing Ltd. Order No: SEC/ENFORCEMENT/726/2008/688 

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540September 19, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007

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541September 20, 2010

Waiver of penalty imposed videpenal orders No. SEC/Enforcement/779/2009/63-67 dated January 05, 2010 to rahman Chemicals Ltd

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542September 21, 2010

Disposal of review petition against SEC Orders No. SEC/Enforcement/52/2001/911 dated December 10, 2009 to Bangladesh Electricity Meter Com. Ltd

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543September 21, 2010

Order to Salah Carpets mills Ltd. Order No: SEC/ENFORCEMENT/277 /2008/696-699

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August, 2010
Sl.NoDateSubjectCommission’s Decision
544August 2, 2010

Disposal of review petition against penalty order: In connection with audited financial statements for the year ended on December 31, 2007 & December 31, 2008 for Bangladesh Leaf Tobacco Co. Ltd

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545August 2, 2010

Warning: non-compliance with securities related laws in connection with price sensitive information to Himadri Ltd.

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546August 2, 2010

Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008

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547August 8, 2010

Order to Metalex Corporation Ltd. Order no: SEC/ENFORCEMENT/139/2002/633-637

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548August 9, 2010

Your letter dated July 14, 2010 against Commission’s penalty Order No. SEC/Enforcement/829/2010/563 dated June 30, 2010 to Arafat Securities Ltd

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549August 12, 2010

Order to Khaja Mojaiek Tiles and Stone Industry Ltd. Order No: SEC/ENFORCEMENT/723/2008/641-644.

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550August 23, 2010

Order to Sajib NetWare and Garments Ltd. Order No: SEC/ENFORCEMENT/432/2006/653-659 

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551August 23, 2010

non-compliance of securities laws: in connection with Non-submission of audited financial statements for the year ended on Dec 31, 2008 to German Bangla J.V.Food Ltd.

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552August 25, 2010

Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008

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553August 29, 2010

Warning : non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2009  to Perfume Chemical Industry Ltd.

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July, 2010
Sl.NoDateSubjectCommission’s Decision
554July 1, 2010

Warning to concern of Non-compliance with securities related laws in connection with issue of right share to Beach Hatchery Ltd.

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555June 4, 2010

Order to Trusty Association Company Ltd. Order No SEC/Enforcement/804/2010/568

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556July 7, 2010

Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Petro Systhetic Products Ltd for the year ended on Dec 31, 2008

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557July 8, 2010

Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd for the year ended on Dec 31, 2008

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558July 8, 2010

Warning to concern of Non-compliance with securities related laws in connection with dissemination of price sensitive information regarding un-audited (fourth quarter) financial statement of GrameenPhone ltd for the year ended on Dec 31, 2009

559July 8, 2010

Non-compliance with securities related laws in connection with dissemination of price sensitive information regarding un-audited (fourth quarter) financial statement of GrameenPhone ltd for the year ended on Dec 31, 2009

560July 12, 2010

Waiver of penalty imposed penal Orders No.SEC/Enforcement/751/2009/285 to 291 all dated 24 Feb 2010 to Meghna Petroleum Ltd

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561July 12, 2010

Order to Farmaco International Ltd. Order no SEC/Enforcement/86/2002/576-580.

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562July 15, 2010

Disposal of review petition against penalty order: in connection with audited financial statements for the year ended on Dec 31, 2006 to Maq Paper Industries Ltd

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563July 15, 2010

Order to Mac Enterprises Ltd. Order No SEC/ENFORCEMENT /197/2003/584-589

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564July 18, 2010

Warning to concern of Non-compliance of securities laws in connection with the matter of non-submission of the capital & shareholding position for the month of FEB 2010, March 2010 and April 2010 to Pharma Aids Limited

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565July 22, 2010

Order to Dhaka Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/602

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566July 22, 2010

Order to Chittagong Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/603

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567July 25, 2010

Order to Fahad Industry Ltd. Order No SEC/ENFORCEMENT/748/2009/593-598

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568July 26, 2010

Disposal of review petition against penalty order: in connection with commission’s observations on the audited financial statements for the year ended on Sept 30, 2008 for alpha Tobacco Mfg Ltd

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569July 26, 2010

Order to Arafath Securities Ltd. Order No SEC/ENFORCEMENT/824/2010/609

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570July 27, 2010

Disposal of review petition against penalty order: in connection with auditor’s qualification on the audited financial statements of Beach Hatchery Ltd for the year ended on Dec 31, 2007

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June, 2010
Sl.NoDateSubjectCommission’s Decision
571June 1, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws for Trendset Securities Ltd.

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572June 2, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws for haji Ahmad Brothers Securities Ltd.

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573June 2, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws for The Premier Bank Ltd.

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574June 3, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (Lanka Bangla Securities Ltd.)

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575June 3, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (The City Bank Ltd)

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576June 6, 2010

Order to Salah Carpet Mills Ltd. Order No. SEC/Enforcement/722/2008/488-491.

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577June 7, 2010

Order to Mr. Yakub ali Khondokar. Order no. SEC/Enforcement/808/2010/.

578June 7, 2010

Order to Raspita data Management & telecommunication ltd. Order no. SEC/Enforcement/408/2006/496.

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579June 8, 2010

Warning to Concern of Jamuna Oil Company Ltd due to Non-submission of audited financial statements for the year ended on June 30, 2009 against penal Orders No SEC/Enforcement/752/2009/275-283 all dated February 24, 2010

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580June 9, 2010

Order to Kaya Cosmetics ltd. Order no. SEC/Enforcement/754/2009/500-506.

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581June 14, 2010

Non-compliance of securities related laws. Disposal of alleged matter of Trendset Securities Ltd. CSE Membership No 077 (Broker)

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582June 14, 2010

Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Meghna PET Industries Ltd vide Comm ission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to Azam Securities Ltd.

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583June 14, 2010

Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Al-Amin Chemicals Ltd vide Commission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to JKC Securities Ltd.

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584June 14, 2010

Order to Chictex Ltd. Order no. SEC/Enforcement/37/2001/514-517.

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585June 15, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of ICBIBANK to Haji Ahmad Brothers Securities Ltd.

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586June 17, 2010

Order to M Hossin Garments washing & Dying Ltd. Order no. SEC/Enforcement/218/2004/527-529.

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587June 17, 2010

Order to Raspita Ink (BD) Ltd. Order no. SEC/Enforcement/218/2004/523-525.

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588June 17, 2010

Disposal of review petition against SEC Penalty Orders In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills Ltd. (Issuer) for the year ended on June 30, 2006

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589June 20, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws in connection with audited financial statements of Anwar Galvanizing Ltd (issuer) for the year ended on June 30, 2009 to M/s. Rahman Mustafiz haq & Co

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590June 21, 2010

Order to Lanka Bangla Finance (Merchant Banker). Order no. SEC/Enforcement/758/2009/534

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591June 21, 2010

Disposal of review petition against Penalty Orders In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Bangladesh Leaf Tobacco Co. Ltd (Issuer) for the year ended on Dec 31, 2007 & Dec 31 2008

592June 23, 2010

Warning to Concern of H.R. Textile Mills Ltd Alleged Non-compliance with the securities related laws in connection with the information regarding EPS for the year ended on Sep 30, 2009

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593June 23, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Premier Bank Ltd.

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594June 24, 2010

Warning to concern of Non-compliance of securities laws, In connection with the delayed submission of half yearly financial statements for the half year on Dec 31, 2009 to Meghna Petroleum Ltd.

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595June 28, 2010

Disposal of review petition against Penalty Orders In connection with Commission’s observations on the audited financial statements of Prime Textile Spinning Mills Ltd (Issuer) for the year ended on June 30, 2007

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596June 29, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Lanka Bangla Finance Ltd.

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597June 29, 2010

Order to Rose Haven Ball pen Ltd. Order no. SEC/Enforcement/298/2005/542-547

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598June 29, 2010

Order to Tulip Dairy & Food Products Ltd. Order no. SEC/Enforcement/194/2003/549-555

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599June 29, 2010

Order to Padda Printers & color Ltd. Order no. SEC/Enforcement/740/2008/557 to SEC/Enforcement/740/2008/561

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600June 30, 2010

Order to Arafat Securities Ltd. Order no. SEC/Enforcement/829/2010/563

601June 30, 2010

Order to MAH Securities Ltd. Order no. SEC/Enforcement/804/2010/568


May, 2010
Sl.NoDateSubjectCommission’s Decision
602May 4, 2010

Warning to Concern of PFI Securities Ltd due to Non-compliance of SEC Directive No. SEC/CMRRCD/2001-43/15 dated February 03, 2010, under the margin ruals, 1999

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603May 5, 2010

Reschedule of hearing to Khaza Mosaic Tiles & stone Industries Ltd. In connection with non-submission of half yearly financial statement for the period ended on Dec 31, 2009

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604May 9, 2010

Warning to Concern of Power Grid Company Of Bangladesh Ltd due to Non-compliance with the securities laws in connection with auditor's qualifications on the audited financial statement for the year ended on June 30, 2009

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605May 10, 2010

Warning to Concern of Bangas Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

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606May 10, 2010

Warning to Concern of Tallu Spinning Mills Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

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607May 10, 2010

Warning to Concern of Metro Spinning Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

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608May 10, 2010

Warning to Concern of Mithun knitting and Dyeing (CEPZ) Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

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609May 10, 2010

Show cause cum hearing notice: To JKC Securities Ltd. due to Non-compliance with securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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610May 10, 2010

Show cause cum notice for hearing: To Arafat Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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611May 10, 2010

Show cause cum notice for hearing: To Azam Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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612May 13, 2010

Warning to Concern of Eagle Star Textile Mills Ltd due to Non-compliance of securities laws in connection with non-submission of half yearly financial statement for the half year ended on Dec 31, 2009

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613May 17, 2010

Warning to Concern of Alpha Tobacco Ltd due to Non-compliance of SEC Notification No. SEC/CMRRCD/2009-193/Admin/ 03, 31 dated June 01,1999

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614May 17, 2010

Warning to Concern of Grameenphone Ltd due to Non-compliance with securities related laws in connection with the un-audited (forth quarter) financial statements for the year ended on Dec 31, 2009

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615May 20, 2010

Warning to Concern of Perfume Chemical Industry Ltd due to Non-compliance of securities laws in connection with non-submission of capital shareholding position for the month of December 2009 and January 2010

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616May 20, 2010

Order to Rashpita data management & telecommunication Ltd. Order No. SEC/Enforcement/371/2005/448-449  

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617May 26, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws to Lanka Bangle Finance Ltd.

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618May 30, 2010

Show-cause cum notice for hearing: to Ever Smart Bangladesh Ltd. In connection with the matter of non-compliance of conditions imposed under 2CC of Securities & Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (pvt.)-186/2009-262 dated November 25,2009

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619May 30, 2010

Show cause cum hearing notice: To Beach Hatchery Ltd. In connection with Non-compliance with securities related laws in connection with issue of right share

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620May 31, 2010

Order to Patro Synthetic Products Ltd. Order No. SEC/Enforcement/738/2008/467 to SEC/Enforcement/738/2008/471 

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621May 31, 2010

Order to Bionic See Food Export Ltd. Order No. SEC/Enforcement/641/2007/473 to SEC/Enforcement/641/2007/476

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622May 31, 2010

Order to Sreepur Textile Mills Ltd. Order No. SEC/Enforcement/689/2008/478 to SEC/Enforcement/689/2008/481

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April, 2010
Sl.NoDateSubjectCommission’s Decision
623April 20, 2010

Warning to concerned of Thea Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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624April 20, 2010

Warning to concerned of Kazi Shoeb Rashid Capital Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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625April 20, 2010

Warning to concerned of Hedayetullah Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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626April 20, 2010

Warning to concerned of Securities Broking & Management Services Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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627April 20, 2010

Warning to concerned of Shyamol Equity Management Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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628April 20, 2010

Warning to concerned of Al-Muntaha Trading Co. Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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629April 20, 2010

Warning to concerned of Sharp Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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630April 20, 2010

Review of imposed penalty against SEC penalty Orders No.SEC/Enforcement/723/2004/218-221 all dated February 23, 2010 in connection with the non-submission of audited financial statements for the year ended on June 30, 2009 (Khaza Mosaic Tiles & Stone Industries Ltd)

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631April 21, 2010

Ordered to concerned of Bangladesh Zipper industry Ltd. 

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632April 22, 2010

Show-cause cum hearing notice: Non-compliance of the SEC Notification No. SEC / CMRRCD / 2009-193 / Admin / 03-31 dated June 01, 2009 (Alpha Tobacco Ltd)

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633April 22, 2010

Show-cause cum hearing notice: Non-compliance of securities related laws (Arafat Securities Ltd)

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634April 22, 2010

Order to Bangladesh Luggage Industry Ltd

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635April 25, 2010

Order to Bangladesh Leaf Tobacco Co. Ltd

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636April 27, 2010

Order to M/s Mowla Mohammad & Co

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637April 29, 2010

Warning to concerned of Progressive Life Insurance Co. Ltd due to non-compliance of securities laws: Non-Compliance of SEC Notification No. SEC / SRMID / 2000-953 / 313 Admin-06 dated 25.03.2001

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March, 2010

February, 2010
Sl.NoDateSubjectCommission’s Decision
640February 4, 2010

Show-cause cum hearing notice : Non-compliance of the SEC Notification No.SEC/CMRRCD/2001-26/332 dated July 11,2004. Regarding sale of  Sponsors/Directors Shares : Disposal of the alleged matter.(Maksons Spinning Mills)

641February 9, 2010

Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)

642February 9, 2010

Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)

643February 9, 2010

Warning : Non-compliance of securities laws : Regarding inspection.(Salta Capital Ltd.)

644February 10, 2010

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years i.e for the year ended March 31,2005 to March 31,2009(Stylcraft Limited)

645February 10, 2010

Warning : Non-compliance with the securities related laws in connection with audited financial statements of Dhaka Electric Supply Company Limited (Issuer) for the year ended on June 30,2008 (M/S A.Quasem & Co)

646February 10, 2010

Warning : Non-compliance with the securities related laws in connection with audited financial statements for the year ended on June 30,2008 (Dhaka Electric Supply Company Limited)

647February 11, 2010

Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Arafat Securities Limited)

648February 11, 2010

Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Mojibur Rahman Sheikh- Arafat Securities Limited)

649February 11, 2010

Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Md.Abdullah- Arafat Securities Limited)

650February 15, 2010

Dissposal of review petition aganst Penal Order : In connection with auditor’s qualifications on the audited financial statements for the year ended on September 30,2006 (Alpha Tobacco Mfg.Ltd.-Issuer)

651February 15, 2010

Dissposal of review petition aganst Penal Order : In connection with auditor’s qualifications  and Commission’s observations on the audited financial statements for the year ended on December 31,2006(Sreepur Textile Mills Ltd-Issuer)

652February 15, 2010

Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications  and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Kamal Uddin Ahmed,Mr.Mahmud Ali Mridha,Mr.Abdur Rauf,Mr.Md.Ibrahim,Mrs.Selima Begum,Mr.Aziz Ahmed)

653February 15, 2010

Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications  and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Khairuzzaman,Mr.A.B.M.Shahnewaz,Md.Mainul Haque,Mr.A.K.M.Badruddoza)

654February 15, 2010

Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications  and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Faikuzzaman,Mr.A.B.M.Shahnewaz,Mr.Mainul Haque)

655February 15, 2010

Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications  and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Ref No.SEC/Enforcement/708/2008/180)

656February 15, 2010

Disposal of review petition against Penal Order : In connection with non-compliances based on the inspection Report(M.Securities ltd)

657February 16, 2010

Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008(Quasem Silk Mills Ltd)

658February 16, 2010

Review of imposed penalty against SEC penalty Orders regarding non-submission of  audited financial statements for the year ended on June 27,2007 (Maq Enterprise Limited)

659February 16, 2010

Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008 (Quasem Textile Mills Limited)

660February 17, 2010

Warning : In connection with the non-compliance of the section 40 of depository regulation 2003 (Meghna Petrolium Limited)

661February 17, 2010

Order : Sonali Ansh Industries

662February 18, 2010

Mr.Md.Abdullah – Your letter dated February 16, 2010 against Commission’s penalty Order No.SEC/Enforcement/725/2009/109 dated January 17,2010(Arafat Securities Ltd.)

663February 18, 2010

Mr.Md.Abdullah – Your letter dated February 16,2010 against Commission’s penalty order No.SEC/Enforcement/725/2009/110 dated January 17,2010(Arafat Securities Ltd.)

664February 18, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Condensed Milk Industries ltd.)

665February 18, 2010

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Shrimp Culture Limited)

666February 23, 2010

Warning : Non-compliance of securities laws : Regarding Inspection (Mr.Abdur Rahim)

667February 23, 2010

Warning : Non-compliance of securities laws : Regarding Inspection {Major (Rtd.) Didar Atwar Hossain}

668February 23, 2010

Warning : Non-compliance of securities laws : Regarding Inspection (DMR Securities Ltd.)

669February 23, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Petroleum Limited

670February 23, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 {Modern Industries (Bangladesh) Limited}

671February 23, 2010

Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Sonar Bangla Insurance Limited)

672February 23, 2010

Disposal : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Lexco Limited )

673February 23, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements  of Bangladesh Zipper Industries Limited for the year ended on June 30, 2006 (M/s Marhk & Co)

674February 22, 2010

Order : Metalex Corporation

675February 22, 2010

Order : Fahad Industries Limited

676February 23, 2010

Order : Pharmaco International Limited

677February 23, 2010

Order : Chictex Limited

678February 23, 2010

Order : Rose Heaven Ballpen Limited

679February 23, 2010

Order : Khawja Mosaic Tiles and Stone Industries Limited

680February 24, 2010

Order : Raspit Data Management and Telecommunications Limited

681February 24, 2010

Order : Tulip Dairy and Food Products Limited

682February 24, 2010

Order : Raspit Inc (BD) Limited

683February 24, 2010

Order : M.Hossain Garments Washing and Dying Limited

684February 24, 2010

Order : Jamuna Oil Company Limited

685February 25, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Global Insurance Limited)

686February 25, 2010

Order : Sajib Knitware and Garments Limited

687February 25, 2010

Order : Meghna Petroleum Limited

688February 28, 2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/897-899 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

689February 28, 2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/901-903 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

690February 28, 2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/42/2001/544-549 all dated December 10, 2009(Excelsior Shoes Limited)

691February 28, 2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/909-911 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)


January, 2010
Sl.NoDateSubjectCommission’s Decision
692January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Arafat Securities Limited )

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693January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Expo Traders Ltd. Depository Participants )

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694January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Al Muntaha Trading Co.Ltd .Depository Participants )

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695January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Salta Capital Ltd. Depository Participants )

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696January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Stock & Bond Ltd. Depository Participants)

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697January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Anchor Securities Ltd. Depository Participants )

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698January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Dawn Securities Ltd. Depository Participants)

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699January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( M.Securities Limited. Depository Participants )

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700January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (ALOCO Securities Ltd. Depository Participants)

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701January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Island Securities Ltd. Depository Participants)

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702January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (SAAD Securities Ltd. Depository Participants)

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703January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Trendset Securities Ltd. Depository Participants )

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704January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Shahiq Securities Ltd. Depository Participants)

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705January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Sinha Securities Ltd. Depository Participants)

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706January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Rashid Investment Ltd. Depository Prticipants)

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707January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( South Asia Securities Ltd. Depository Participants )

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708January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Shyamol Equity management Ltd. Depository Participants )

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709January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Be Rich Limited )

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710January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (AB & Co. Ltd. (Depository Participants)

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711January 4, 2010

Order : Wata Chemicals Limited

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712January 4, 2010

Order : Raspit Data management and Telecommunication Ltd.

713January 4, 2010

Order : Saleh Carpet Mills Ltd.

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714January 4, 2010

Order : Raspit Ink (DB) Ltd.

715January 4, 2010

Order : Chictex ltd.

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716January 5, 2010

Order : Sajib Knit ware and Garments Ltd

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717January 5, 2010

Order : Pharmaco International Ltd.

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718January 5, 2010

Order : Quasem Silk Mills Ltd.

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719January 5, 2010

Order : Quasem Textile Mills Ltd.

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720January 5, 2010

Order : Rahman Chemical Ltd.

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721January 5, 2010

Order : Sripur Textile Mills Ltd.

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722January 5, 2010

Order : Metalex Corporation Ltd.

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723January 10, 2010

Warning : Non-compliance of securities Laws ( Al-Haj Securities Ltd.)

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724January 10, 2010

Warning : Show cause cum hearing notice : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.(Ashraf Textile Mills Ltd.)

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725January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.        ( Janata Insurance Co.Ltd.)

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726January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.(Bangladesh Thai Aluminium ltd. - Issuer) 

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727January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008. (Modern Industries (Bangladesh) Ltd.- Issuer)

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728January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.. (Progati Life Insurance Ltd.-Issuer)

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729January 11, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Mona Food Industry Ltd.)

730January 11, 2010

Non-compliance of securities laws : Non-holding of Annual General Meeting (AGM) in the year 2007,Disposal of the alleged matter. (Exelsior Shoes Ltd.)

731January 11, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Bangla Process Ltd.)

732January 11, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bengal Fine Ceramics Ltd.)

733January 11, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Eastern Cables Ltd.)

734January 11, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Aman Sea Food Industries Ltd.)

735January 18, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Maq Enterprises Ltd.)

736January 19, 2010

Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bangladesh Shipping Corporation ltd.)

737January 20, 2010

Non-compliance of securities laws : In connection with delaed furnishing of the audited financial statements for  the year ended on June 30, 2009. Disposal of the alleged matter. ( Bangladesh Monospool Paper Manufacturing Co. Ltd. )

738January 10, 2010

Warning : Non-compliance of securities laws regarding enquiry (Banco Securities Ltd.)

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739January 18, 2010

Order : Arafat Securities , Mr.Mujibur Rahman Sheikh (AR), Mr.Mohammad Abdullah (CEO)

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740January 18, 2010

Order : Saad Securities Ltd

741January 25, 2010

Order : Niloy Cement Industries Ltd

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742January 26, 2010

Order : Alfa Tobacco Manufacturing Ltd

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743January 26, 2010

Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/802/2009/121(Shahjalal Islami Bank Ltd.(DSE Member No.233)

744January 26, 2010

Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/803/2009/123(Shahjalal Islami Bank Ltd.(DSE Member No.233)

745January 26, 2010

Warning : Non-compliance of securities Laws : Regarding inspection (Shyamol Equity Management Ltd.)

746January 26, 2010

Warning : Non-compliance of securities Laws : Regarding inspection (Dhanmondi Securities Ltd.)

747January 26, 2010

Order : Bionic Seafood Export Ltd.

748January 26, 2010

Order : Beach Hatchery Ltd.

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749January 26, 2010

Order : Sreepur Textile Mills Ltd.

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750January 31, 2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Life Insurance Co.Ltd.)

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751January 31, 2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Federal Insurance Co.Ltd.)

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December, 2009
Sl.NoDateSubjectCommission’s Decision
752December 7, 2009

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/303/2005/672-675 dated August 26,2009(Mona Food Industry Ltd.)

753December 7, 2009

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/186/2003/773-777  dated October14,2009(Maq Paper Industries Ltd)

754December 7, 2009

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/186/2003/795-796 dated October21,2009(Mona Food Industries Ltd. Mr.Ali Zaman & Mr.Fazlul Kabir)

755December 10, 2009

Order : Bangladesh Electricity Meter Company limited

756December 14, 2009

Order : Wata Chemicals Limited

757December 23, 2009

Review of imposed penalty against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008(Quasem Textile Mills Ltd)

758December 27, 2009

Warning : Non-compliance of securities laws: Regarding inspection vide Commission Order no.SEC/Surveillance/2003-0559/145 dated 27th september 2009 regarding shares trading of Meghna Condensed Milk Limited.

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759December 27, 2009

Warning : Non-compliance of securities laws : Regarding Enquiry Order No.SEC/Surveillance/2003-0046 dated September 27, 2009.(Akij Securities)

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760December 27, 2009

Warning : Non-compliance of securities laws : Regarding violation of Notification No.SEC/SRMID/2000-953/Admin-06 dated March 25, 2001 by not selling 45000 shares of Sonar Bangla Insurance Co.Limited within the stipulated time.

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761December 27, 2009

Warning : Non-compliance of securities laws : Regarding sell of 45000 shares of Sonar bangla Insurance Co. Limited hold by Mr.Md.Motaleb Hossain (Sponsor Director) within the stipulated time. 

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762December 29, 2009

Order : Managing Director - Uttara Bank Limited.

763December 31, 2009

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.-Meghna PET Industries Ltd.

764December 31, 2009

Disposal : Non-compliance with the securities related laws in connection audited financial statements of Progress Life Insurance Company Limited (Issuer) for the year ended on December 31,2007

765December 31, 2009

Warning : Non-compliance with securities related laws in connection with audited financial statements of Bionic Seafood Exports Ltd (Issuer) for the year ended on December 31,2007

766December 31, 2009

Warning : Non-compliance with securities related laws in connection with audited financial statements of United Insurance Company Ltd. (Issuer) for the year ended on December 31,2007

767December 31, 2009

Disposal : Non-compliance with securities related laws in connection with audited financial statements of Quasem Silk Mills Limited (Issuer) for the year ended on December 30,2008

768December 31, 2009

Warning : Non-compliance with securities related laws in connection with audited financial statements of Alfa Tobacco Mfg Ltd. (Issuer) for the year ended on December 30,2008

769December 31, 2009

Order : Rose Heaven Ball pen Ltd


November, 2009
Sl.NoDateSubjectCommission’s Decision
770November 1, 2009

Order to Perto Synthetic Products Limited

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771November 1, 2009

Order to Al-Muntaha Trading Co.Ltd

772November 3, 2009

Order to Arafat securities Limited

773November 3, 2009

Order to Quashem Textile Mills Limited

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774November 3, 2009

Order to Quashem Silk Mills Limited 

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775November 15, 2009

Warning to Alhaja Jahanara Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd

776November 15, 2009

Warning to Shyamol Equity Management Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd

777November 15, 2009

Warning to Shahed Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd

778November 15, 2009

Warning to SYLNET Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd

779November 18, 2009

Disposal-Rahman Chemicals Limited : Non-compliance of securities laws in connection with the holding of AGM in the year 2008

780November 25, 2009

Order: Prime Textile Spinning Mills Limited

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781November 25, 2009

Order : Bangladesh Dyeing and Finishing Industries Ltd

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782November 26, 2009

Order : Dandy Dyeing Limited.

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October, 2009
Sl.NoDateSubjectCommission’s Decision
783October 12, 2009

Warning to Central Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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784October 12, 2009

Warning to Prime Insurance Company Limited. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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785October 12, 2009

Warning to Phoenix Insurance Company Ltd. (Issuer) for :-Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

Click to View

786October 12, 2009

Warning to Karnaphuli Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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787October 12, 2009

Warning to Agrani Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

Click to View

788October 12, 2009

Warning to Global Insurance Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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789October 12, 2009

Warning to Mona Food Industry Limited for :- Waiver of penalty imposed upon the individual directors in connection with the non-submission of half year period ended on December 31,2008against penal Order No.SEC/Enforcement/303/2005/535-538 all dated July 14,2009.

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790October 15, 2009

Order to Mak paper Industries.

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791October 15, 2009

Order to Dandy Dying Limited.

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792October 19, 2009

Order to Arafat Securities Limited.

793October 22, 2009

Order to Mona Food Industries Ltd.

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794October 22, 2009

Warning to Peoples Investment Limited for :- Non-compliance of securities laws: Regarding violation of securities law regarding inspection vide Commission Order No.SEC/Surveillance/2004-0577/56 dated May 19, 2009

795October 22, 2009

Order to Mr.Ali Zaman & Mr.M.M.Fazlul Kabir .C/O, Mona Food Industries Ltd.

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796October 25, 2009

Warning to Paper Processing and Packaging Limited for :- Non-compliance of securities laws: In connection with non-disseminating the price sensitive information regarding shifting of factory and rental agreement.

797October 25, 2009

Warning to Shahiq Securities Limited for :- Non-compliance of securities laws: Regarding violation of securities law regarding trading of shares of Dandy Dyeing Limited.

798October 25, 2009

Warning to SES Company Limited for :- Non-comlpiance of security laws:  Regarding violation of securities law regarding inspection vide Commission Order No. SEC/SRI/CSE-MEM/36 dated July 26,2009.

799October 29, 2009

Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009.(Arbee Textile Limited)

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800October 29, 2009

Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009. (Maq Enterprise  Limited  Limited)


September, 2009

August, 2009
Sl.NoDateSubjectCommission’s Decision
804August 11, 2009

Warning to concerns of United Insurance Company Ltd. for non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.

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805August 11, 2009

Warning to concerns of Fine Foods Limited for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008.

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806August 16, 2009

Warning  to M/s Zahir Ahmed & Co. C.A firm, for non-compliance of securities related laws in connection with audited financial statements of Prime Textile Spinning Mills Ltd. (Issuer) for the year ended on June 30, 2007.

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807August 18, 2009

Order to concerns of Bangladesh Monospool  Paper Manufacturing Co.Ltd. - Waiver of penalty imposed vide penal Orders No.SEC/Enforcement/698/2008/309-313/ dated April 23 ,2009. 

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808August 23, 2009

Order to concerns of  Bangladesh Chemical Industries Limited.

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809August 23, 2009

Order to concerns of Bangladesh Zipper Industries Limited.

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810August 23, 2009

Order to concerns of Bangladesh Luggage Industries Limited.

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811August 24, 2009

Order to concerns of Saleh Carpet Mills Limited.

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812August 25, 2009

Order to concerns of Sonali Aansh Industries Limited.

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813August 27, 2009

Order to concerns of  Mona Food Industry Limited.

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814August 31, 2009

Order to concerns of M.Hossain Garments Washing and Dying Ltd.

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July, 2009
Sl.NoDateSubjectCommission’s Decision
815July 1, 2009

Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd

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816July 5, 2009

Appeal against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 8,2009.

817July 5, 2009

Review on appeal application of Mr.Belayet Hossain(authorized representative) submitted on 06/05/2009

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818July 5, 2009

Review on appeal of Prime Finance & Investment Ltd against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 08,2009

819July 5, 2009

Review on appeal of Prime Securities and Financial Services Ltd  on cancellation of registration certificate.

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820July 5, 2009

Disposal of review petition of Legacy Footwear Ltd against penalty order: non-compliance with securities related laws in connection with the audited financial statement for the year ended on December 31,2005.

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821July 8, 2009

Order to concerns of Alpha Tobacco Manufacturing Ltd

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822July 8, 2009

Order to concerns of Bionic Seafood Exports Ltd

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823July 8, 2009

Order to concerns of M. Securities Ltd

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824July 8, 2009

Warning to concerns of Quasem Textile Mills Ltd for non-compliance of securities laws in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines

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825July 12, 2012

Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd

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826July 14, 2009

Order to concerns of Excelsior Shoes Ltd

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827July 14, 2009

Warning to concerns of Meghna Condensed Milk Ltd  non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.

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828July 14, 2009

Warning to concerns of M/S Mahfel Huq & Co.  for non-compliance with securities related laws in connection with audited financial statements of Bangladesh Dyeing and Finishing Industries Ltd(Issuer)  for the year ended on June 30, 2007.

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829July 15, 2009

Order to concerns of Mona Food Industries Ltd

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830July 15, 2009

Warning to concerns of Meghna PET Industries Ltd(Issuer) for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.

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831July 15, 2009

Warning to concerns of  M/S Habib Sarwar & Co for non-compliance with securities related laws in connection with audited financial statements of Meghna PET Industries Ltd for the year ended on June 30,2007: Warning.

832July 15, 2009

Warning to concerns of Aman Sea Food Industries Ltd(Issuer) for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30, 2008. 

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833July 15, 2009

Warning to concerns of M/S Ahmed Zakir & Co for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30,2008

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834July 15, 2009

Order to concerns of M Hossain Garments Washing & Dyeing Ltd

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835July 16, 2009

Non-compliance of securities laws : In connection with trading of shares of City General Insurance Co.Limited: Warning.

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836July 16, 2009

Warning to concerns Akila Khatun(Client code # 28063) for non-compliance of securities laws iIn connection with trading of shares of City General Insurance Co. Limited.

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837July 16, 2009

Warning to concerns of  M/S K.M. Alam &Co. for non-compliance of securities laws in connection with audited financial statements of Bionic Seafood Exports Ltd for the year ended on December 31, 2006.

838July 16, 2009

Warning to concerns of Tulip Dairy and Food Products Ltd for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007.

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839July 16, 2009

Warning to concerns of  Mir Mamunur Rahim(Client code no: 34009) for non-compliance of securities laws in connection with trading of shares of City General Insurance Co.Limited.

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840July 16, 2009

Order to concerns of Excelsior Shoes Ltd

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841July 19, 2009

Order to concerns of Saleh Carpet Mills Ltd

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842July 20, 2009

Warning to concerns of Phoenix Leather Complex Ltd for non-compliance of securities laws  in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines.

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843July 21, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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844July 27, 2009

Non-compliance with securities related laws in connection with sale of share without any declaration by Petrobangla, the corporate sponsor/director of Tital Gas Transmission and Distribution Company Ltd.

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845July 27, 2009

Warning to concerns of Sonali Paper and Board Mills Ltd for non-compliance with securities related laws in connection with non-disseminating the price sensitive information regarding BMRE of your company.

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June, 2009

May, 2009
Sl.NoDateSubjectCommission’s Decision
853May 12, 2009

Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the half yearly financial statements for the year ended on December 31, 2008.

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854May 12, 2009

Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on December 31, 2008.

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855May 17, 2009

Warning to concerns of Bangladesh shipping Corporation Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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856May 18, 2009

Warning to concerns of Jamuna Oil Company Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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857May 20, 2009

Warning to concerns of Arbee Tetiles Ltd for non-compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2008.

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858May 21, 2009

Warning to concerns of Quasem Silk Mills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.

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859May 21, 2009

Warning to concerns of Quasem TextileMills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.

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860May 21, 2009

Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of half yearly  financial statements for the half year ended on December 31, 2008.

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861May 21, 2009

Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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862May 24, 2009

Warning to concerns of Aziz Pipes Ltd(Issuer) for non-compliance of securities laws in connection with the audited financial statements for the  year ended on December 31, 2007.

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863May 24, 2009

Warning to concerns of Dhaka Bank Ltd for non-compliance of securities laws in connection with non-submission of  deficiency letter related to Repeat Public Offer of subordinate convertible bonds of Dhaka Bank Ltd.

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864May 26, 2009

Warning to concerns of Fareast Islami Life Insuranec Co. Ltd  for non-compliance of securities laws in connection with price sensitive information regarding increase of authorized and paid-up capital.

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April, 2009
Sl.NoDateSubjectCommission’s Decision
865April 8, 2009

Order to concerns of Raspit Data Management and Telecommunications Ltd

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866April 8, 2009

Order to concerns of Raspit Inc(BD) Ltd

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867April 15, 2009

Warning  to concerns of Usmania Glass Sheet Factory Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years i.e. for  the year ended on June30, 2008.

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868April 15, 2009

Warning  to concerns of Padma Printers and Color Ltd  for non-compliance of securities laws in connection with audited financial statements  for the year ended on June 30, 2007.

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869April 15, 2009

Warning  to concerns of Bangladesh Thai Aluminium Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2007.

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870April 16, 2009

Waiver of penalty imposed against Summit Power Ltd through SEC penal order No.SEC/Enforcement/699/2008/71 dated January 20, 2009.

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871April 21, 2009

Order  to concerns of Khaza Mosaic Tiles and Stone Industries Ltd.

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872April 23, 2009

Waiver of penalty on Mr. Abdul Mannan, Shareholder, Fareast Islami Life Insurance Company Ltd.

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873April 26, 2009

Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.

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874April 26, 2009

Order to concerns of Bangladesh Zipper Industries Ltd.

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875April 26, 2009

Order to concerns of Bangladesh Luggage  Industries Ltd.

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876April 28, 2009

Order to Mr. Belayet Hossain, Authorized Representative, CSE.

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877April 28, 2009

Order to concerns of Bangladesh Dyeing and Finishing  Industries Ltd.

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March, 2009

February, 2009
Sl.NoDateSubjectCommission’s Decision
887February 4, 2009

Warning  to concerns of  Fareast Islami Life Insurance Company Ltd(Issuer) for non-compliance of securities related laws. 

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888February 9, 2009

Order to concerns of Raspit Data Management and Telecommunication Ltd (order no. sec/enforcement/698/2008/171-172) related to price sensitive information involving  business with M/s Pull World

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889February 9, 2009

Order to concerns of Raspit Inc(BD) Ltd (order no. sec/enforcement/698/2008/174-176) related to price sensitive information regarding sale of  its factory by Janata Bank, Pubna Branch

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890February 9, 2009

Order to concerns of Chictex Ltd (order no. sec/enforcement/698/2008/178-181) related to price sensitive information regarding sale of its factory by IFIC Bank for loan  adjustment

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891February 9, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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892February 9, 2009

Order to concerns of Maq Enterprises Ltd  

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893February 9, 2009

Order to concerns of Metalex Corporation Ltd  

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894February 9, 2009

Order to concerns of Raspit Inc(BD) Ltd(Order no. sec/enforcement/665/2008/132-134) 

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895February 9, 2009

Order to concerns of Chictex Ltd(Order no. sec/enforcement/665/2008/136-139)

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896February 9, 2009

Order to concerns of Arbi Textiles Ltd

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897February 9, 2009

Order to concerns of Raspit Data Management & Telecommunications Ltd(sec/enforcement/665/2008/129-130)  

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898February 9, 2009

Order to concerns of Saleh Carpet Mills Ltd  

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899February 9, 2009

Order to concerns of Fareast Islami Life Insurance Company Ltd and related shareholders

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900February 18, 2009

Related to petition for payment of remaining penalty through installments by directors of Tamizuddin textile Mills Ltd

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901February 18, 2009

Warning  to concerns of  Key & Keu(Bangladesh) Ltd(Issuer) for alleged non-compliance of securities related laws  in connection with  audited financial statements for the year ended on December 31, 2007

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902February 23, 2009

Warning to concerns of vanguard Shares & securities Ltd due to non-compliance of securities laws concerning share trading

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903February 23, 2009

Related to review of cancellation of merchant banker license of First Securities Services Ltd

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904February 24, 2009

Order to Pangaea Partners(Bangladesh) Ltd- cancellation of its merchant banker license

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905February 24, 2009

Order to Prime Securities and Financial Services Ltd- cancellation of its merchant banker license

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January, 2009
Sl.NoDateSubjectCommission’s Decision
906January 5, 2009

Letter related to cancellation  of registration of First Securities Services Limited(Merchant Banker)

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907January 6, 2009

Waiver of additional penalty on concerns of Lexco Limited

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908January 6, 2009

Disposal of review petition of  concerns of Maq Paper Industries Ltd(Issuer) against penalty orders

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909January 6, 2009

Disposal of review petition of  concerns of Popular Life Insurance Company Limited against penalty orders

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910January 12, 2009

Disposal of review petition of  M/s Marhk & Co., Charterd Accountant,  against penalty order 

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911January 13, 2009

Warning  to concerns of  Mercantile Insurance Company Limited for non-compliance of securities related laws  in connection with  submission of audio visual recording of AGM held on June 29, 2006

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912January 13, 2009

Waiver of imposed penalty on Mr. Kalimullah and Mr. A.k Chakraborty (IDB nominating director) of Sonali Paper and Board Mills Ltd

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913January 13, 2009

Waiver of imposed penalty and withdrawal of certificate cases against concern of Raspit data management and telecommunication Ltd

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914January 13, 2009

Waiver of imposed penalty against SEC penal order to concern of  Excelsior Shoes Ltd

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915January 13, 2009

Waiver of imposed penalty in connection with non-submission of audited financial statement  on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the year ended on June 30, 2007

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916January 13, 2009

Waiver of imposed penalty in connection with non-compliance of BAS-34 regarding half yearly  financial statements  on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the half-year ended on December 31, 2006

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917January 13, 2009

Upholding the imposed penalty on concerns of Bangladesh Hotels Ltd  for non-submission of audited financial statements for the year ended on December 31, 2007 against review petition

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918January 13, 2009

Upholding the imposed penalty on concerns of Tamizuddin Textile Mills Ltd  for non-submission of audited financial statements for the year ended on June 30, 2007 against review petition

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919January 14, 2009

Order to concerns of Shajib Neatware and Garments Ltd

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920January 14, 2009

Order to concerns of Pharmaco International Ltd

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921January 19, 2009

Directive  to concerns of Dynamic Textile Industries Ltd

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922January 19, 2009

Directive to concerns of Quasem Silk Mills Ltd

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923January 19, 2009

Directive to concerns of Quasem Textile Mills Ltd

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924January 19, 2009

Directive to concerns of Phoenix Leather Complex Ltd

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925January 19, 2009

Directive to concerns of M. Hossain Garments Washing & Dyeing Ltd

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926January 18, 2009

Order to  to concerns of Maq Enterprise  Ltd

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927January 25, 2009

Order to concerns of Saleh Carpet Mills Ltd

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928January 25, 2009

Order to concerns of Raspit data management and telecommunications Ltd

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929January 27, 2009

Warning  to concerns of  Mona Food Industry Limited for non-compliance of securities related laws  in connection with  price sensitive information regarding renting factory to Tonny Food

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930January 27, 2009

Directive  to concerns of Pragati Insurance Ltd(trustee), National Credit and Commerce Bank Ltd(Co-trustee), Bangladesh Luggage Industries Ltd

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931January 27, 2009

Warning  to concerns of  Islami Bank Bangladesh Ltd(Issuer) for non-compliance of securities related laws  in connection with  audited financial statements for the year ended on December 31, 2007

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932January 27, 2009

Warning  to M/s Howladar Yunus & Co., and M/s Aziz Halim Khair Choudhury, Chartard Accountants for non-compliance of securities related laws  in connection with  audited financial statements Islami Bank Bangladesh Ltd  for the year ended on December 31, 2007

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December, 2008
Sl.NoDateSubjectCommission’s Decision
933December 1, 2008

Order to Salam & Company Limited, DSE Member-190

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934December 1, 2008

Order to Hedayet Ullah Securities Limited, DSE Member-140

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935December 1, 2008

Order to M.H Chowdhury Securities Limited, DSE member-156

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936December 1, 2008

Warning  to concerns of M/s. M.J Abedin & Co, Chartered Accountants  in connection with audited financial statements of Beximco Pharmaceuticals Ltd for the  year ended on December 31, 2005 & 20006.

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937December 1, 2008

Warning  to concerns of Beximco Pharmaceuticals Limited(Issuer)  in connection with audited financial statements for the  year ended on December 31, 2005 & 20006.

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938December 23, 2008

Warning  to concerns of  Usmania Glass Sheet Factory Limited(Issuer) in connection with  non-compliance of securities related laws regarding pretension of auditor for a consecutive period exceeding three years..

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939December 28, 2008

Warning  to concerns of M/s. M. Ahmed & Co, Chartered Accountants  in connection with audited financial statements of Pharmaco International Limited(Issuer) for the  year ended on June 30, 20007.

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940December 28, 2008

Warning  to concerns of Salta Capital Ltd, DSE Member-95  in connection with  non-compliance of securities related laws.

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941December 28, 2008

Warning  to concerns of Al- Muntaha Trading Company Limited, DSE Member-49  in connection with  non-compliance of securities related laws.

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November, 2008
Sl.NoDateSubjectCommission’s Decision
942November 2, 2008

Warning  to concerns of H.R Textile Mills Ltd(Issuer) in connection with  audited financial statements for the year ended on September 30, 2007

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943November 2, 2008

Warning  to concerns of Anwar Galvanizing Limited (Issuer) in connection with  audited financial statements for the year ended on June 30, 2007

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944November 2, 2008

Warning  to M/s Habib Sarwar & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of Dandy Dyeing  Limited(Issuer) for the year ended on December 31, 2007

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945November 3, 2008

Warning  to concerns of Peoples Leasing and Financial Services Ltd  in connection with calculation of EPS in the half yearly financial statements for the half year ended on June 30, 2008.

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946November 3, 2008

Warning  to concerns of  Modern Dyeing and Screen Printing  Ltd  in connection with  audited financial statements for the year ended on June 30, 2007.

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947November 3, 2008

Warning  to concerns of Padma Printers and Color Ltd  in connection with  submission of half yearly financial statements for the half year ended on June 30, 2007.

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948November 3, 2008

Warning  to concerns of Karnafully Insurance Company  Ltd  in connection with  submission of half yearly financial statements for the half year ended on June 30, 2007.

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949November 25, 2008

Warning  to concerns of Rupali Insurance Company Ltd(Issuer)  in connection with audited statements for the year ended on December 31, 2006.

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950November 27, 2008

Penalty to concerns of Fareast Islami Life Insurance Company Limited(Issuer).

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951November 30, 2008

Penalty to concerns of Popular Life Insurance Company Limited(Issuer).

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October, 2008
Sl.NoDateSubjectCommission’s Decision
952October 5, 2008

Order to Managing Director of Apex Adelchi Footware Limited, Order to concerns of S.N.M Securities Limited, and Order to Mr. Nurul Islam, Shareholder, Apex Adelchi Footware Limited

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953October 5, 2008

Warning  to concerns of Bangladesh Welding and Electrodes Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.

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954October 5, 2008

Warning  to concerns of Bangladesh Welding and Electrodes  Limited in connection with delayed submission of audited financial statements for the year ended on December 31, 2007

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955October 5, 2008

Order to Directors of Rupali Insurance Company Limited

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956October 5, 2008

Directive to Rupali Insurance Company Limited

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957October 5, 2008

Order to  concerns of Fine Foods Limited

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958October 6, 2008

Order to concerns of Mac Paper Industries Limited

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959October 6, 2008

Waiver of penalty imposed penal orders No,SEC/Enforcement/404/2006/996  to 1010 all dated 17 September 2006 to ICB Islamic Bank Limited (former Oriental Bank Limited)

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960October 6, 2008

Warning  to concerns of National Credit & Commerce Bank  Limited in connection with Annual Report 2007.

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961October 6, 2008

Warning  to concerns of Eastern Insurance Company  Limited in connection with  audited financial statements for the year ended on December 31, 2007

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962October 6, 2008

Warning  to M/s A. Qasem & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of Eastern Insurance Company Limited for the year ended on December 31, 2007

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963October 12, 2008

About waiver of penalty on concerns of Advanced Chemical Industries Limited

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964October 12, 2008

Warning  to concerns of Hefazatur Rahman & Co Limited in connection with non-compliance of securities laws.

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965October 12, 2008

Warning  to concerns of Golden Sons Limited(Issuer) for alleged non-compliance of securities laws in connection with utilization of IPO fund.

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966October 12, 2008

Warning  to concerns of GMG Industrial Corporation Limited (Issuer) in connection with  audited financial statements for the year ended on June 31, 2007

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967October 12, 2008

Warning  to M/s A. Matin & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of GMG Industrial Corporation Limited for the year ended on June  30, 2007

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968October 12, 2008

Warning  to CEO, DSE Limited in connection with non-compliance of securities laws relating to enquiry on activities of DSE regarding approval for gift of securities.

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969October 13, 2008

Order to Shyamol Equity Management Limited(Stock Dealer/DP)

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970October 14, 2008

Warning  to concerns of International Securities Co. Limited (CSE Membership 096) for alleged non-compliance of securities laws.

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971October 14, 2008

Warning  to concerns of SR Capital Limited (CSE Membership 038) for alleged non-compliance of securities laws.

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972October 14, 2008

Warning  to concerns of Hillcity Securities Limited (CSE Membership 037) for alleged non-compliance of securities laws.

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973October 14, 2008

Warning  to concerns of Bangladesh Electricity Meter Company Limited (Issuer) in connection with non-compliance of securities laws relating to non-submission of half yearly financial statements for the half year ended on June 30, 2008

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974October 23, 2008

Order to First Securities Services Limited(Merchant Banker)

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975October 23, 2008

Order to Raspit Securities and Management Limited(Merchant Banker)

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976October 29, 2008

To CEO, CSE to take steps on securities laws violations.

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977October 29, 2008

Correction of order on Bangladesh Luggage Industries limited

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September, 2008
Sl.NoDateSubjectCommission’s Decision
978September 3, 2008

Warning  to concerns of Rupali Bank Limited(Issuer)i for non-compliance of securities laws.

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979September 3, 2008

Warning  to concerns of Al-Muntaha Trading Co.Limited(Stock Broker) for non-compliance of securities laws.

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980September 4, 2008

Warning  to concerns of Anwar Securities Limited(DP-92)i for non-compliance of securities laws.

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981September 4, 2008

Warning  to concerns of Total Communication Limited(DP-187) for non-compliance of securities laws.

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982September 4, 2008

Warning  to concerns of SES Company Limited(DP-34) for non-compliance of securities laws.

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983September 4, 2008

Warning  to concerns of LankaBangla Securities Limited(DP-50) for non-compliance of securities laws.

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984September 4, 2008

Warning  to concerns of Tariq Ibrahim & Co.(DP-90) for non-compliance of securities laws.

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985September 7, 2008

Order to concerns of Excelsior Shoes Limited

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986September 7, 2008

Order to concerns of M/s Mark & Co. CA Firm

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987September 7, 2008

Warning  to concerns of Jago Corporation Limited for non-compliance of securities laws in connection with  delayed submission of annual report for the year, 2007.

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988September 8, 2008

Warning  to concerns of Golden Sons Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.

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989September 9, 2008

Warning  to concerns of Delta Brac Housing Finance Corporation  Limited in connection with non-compliance of securities laws.

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990September 11, 2008

Warning  to concerns of Pubali Bank  Limited in connection with non-compliance of securities laws relating to fixing AGM date, time and venue, declaring dividend in the same board meeting.

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991September 11, 2008

Warning  to concerns of Shyampur Sugar Mill  Limited in connection with non-compliance of securities laws relating to audited financial statements for the year ended on June 30, 2006

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992September 11, 2008

Warning  to concerns of Shyampur Sugar Mill  Limited in connection with non-compliance of securities laws relating to half yearly financial statements for the half  year ended on December 31, 2006

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993September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1215)

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994September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1207)

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995September 15, 2008

Waiver of penalty on concerns of Fareast Islami Life Insurance Company Limited(Issuer)

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996September 15, 2008

Order to concerns of Fareast Islami Life Insurance Company Limited(Issuer)

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997September 16, 2008

Warning  to concerns of M/s A. Wahab & Co. C.A Firm in connection with non-compliance of securities laws relating to audited financial statements of Pragati Insurance  Limited for the year ended on December 31, 2007

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998September 16, 2008

Warning  to concerns of Pragati Insurance Limited(Issuer) in connection with non-compliance of securities laws relating to audited financial statements for the year ended on December 31, 2007

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999September 22, 2008

Warning  to concerns of Popular Life Insurance Company Limited in connection with non-compliance of securities laws

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1000September 22, 2008

Order to concerns of Bangladesh Hotels Limited

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1001September 24, 2008

Order to concerns of Popular Life Insurance Company Limited

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1002September 24, 2008

Order to concerns of Tamizuddin Textile Mills Limited

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August, 2008
Sl.NoDateSubjectCommission’s Decision
1003August 11, 2008

Warning  to concerns of Purabi for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.

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1004August 14, 2008

Waiver of penalty on Ms Hosne Ara Aziz, Sponsor of The City bank Limited

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1005August 14, 2008

Waiver of penalty on Mr. Shabib Uddin, Shareholder Director of Merchantile Insurance Company Limited(Issuer)

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1006August 13, 2008

Warning  to concerns of Reliance Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2007.

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1007August 13, 2008

Warning  to concerns of M/s. Chowdhury Hossain Rashid & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Reliance Insurance Limited for the year ended on December 31, 2006.

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1008August 13, 2008

Warning  to concerns of Agrani Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.

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1009August 19, 2008

Warning  to concerns of CMC-Kamal Textile Mills Limited in connection with delayed submission of  audited financial statements for the year ended on December 31, 2007.

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1010August 19, 2008

Warning  to concerns of Janata Insurance Company  Limited in connection with delayed submission of  audited financial statements for the year ended on December 31, 2007.

1011August 20, 2008

Warning  to concerns of ACNABIB Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of AL-Amin Chemical Industries Limited for the year ended on December 31, 2006.

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1012August 20, 2008

Order to directors of One Bank Limited

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1013August 25, 2008

Warning  to concerns of Meghna Cement Mills Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.

1014August 25, 2008

Warning  to concerns of M/s. Syful Shamsul Alam & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Meghna Cement Mills Limited for the year ended on December 31, 2006.

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1015August 21, 2008

Warning  to concerns of Janata Insurance Company  Limited in connection with submission of  half yearly financial statements for the half year ended on December 31, 2007.

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July, 2008

June, 2008
Sl.NoDateSubjectCommission’s Decision
1022June 3, 2008

Warning  to concerns of Holy City Securities Ltd for non-compliance of securities laws.

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1023June 11, 2008

Warning  to concerns of daffodil Computers Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years.

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1024June 11, 2008

Related to application for waiver of penalty by Country Stock (Bangladesh) Ltd

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1025June 11, 2008

Related to application for waiver of penalty by ARC Securities Ltd

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1026June 12, 2008

Warning  to concerns of M/S K.M. Alam & Co., Chartered accountant, for non-compliance of securities laws in connection with audited financial statements of Bionic Sea Food Exports Ltd (Issuer) for the year ended on December 31, 2006.

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1027June 12, 2008

Warning  to concerns of Beximco Fisheries Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006

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1028June 12, 2008

Warning  to concerns of M/s M.J. Abedin & Co., Chartered Accountants,  for non-compliance of securities laws in connection with audited financial statements of Beximco Fisheries Ltd (issuer) for the year ended on December 31, 2006.

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1029June 12, 2008

Warning  to concerns of M/s G. Kibria & Co, Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Legacy Footwear Ltd(Issuer)  for the year ended on December 31, 2006.

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1030June 12, 2008

Warning  to concerns of M/s Basu Banarjee Nath  & Co, Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Power Grid Company of Bangladesh Ltd  for the year ended on Juner 30, 2005. and June 30, 2006.

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1031June 12, 2008

Warning  to concerns of Legacy Footwear Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1032June 16, 2008

Warning  to concerns of Mona Food Industries Ltd(Issuer) for non-furnishing of clarification/explanation regarding audited financial statements for the year ended on June 30, 2006.

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1033June 18, 2008

Warning  to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1034June 18, 2008

Warning  to concerns of Quasem Textile Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1035June 18, 2008

Warning  to concerns of Quasem Silk Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1036June 22, 2008

Warning  to concerns of IDLC Finance Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1037June 22, 2008

Warning  to concerns of AB Bank Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1038June 22, 2008

Warning  to concerns of Prime Finance and Investment Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1039June 22, 2008

Warning  to concerns of Prime Bank Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1040June 22, 2008

Warning  to concerns of Lanka Bangla Finance Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1041June 22, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1042June 22, 2008

Order to concerns of Chictex Ltd

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1043June 22, 2008

Order to concerns of Raspit Data Management and Telecommunication Ltd

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1044June 23, 2008

Warning  to concerns of IDLC Finance Ltd  for non-compliance of securities laws.

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1045June 23, 2008

Warning  to concerns of Salta Capital Ltd  for non-compliance of securities laws.

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1046June 23, 2008

Warning  to Mrs. Kawsar Jahan Farida Begum, Sponsor Director of Sandhani Life Insurance Co. Ltd  for non-compliance of securities laws.

1047June 24, 2008

Warning  to concerns of Power Grid Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June 30, 2005 as well as Information documents published for offloading/direct listing of shares.

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1048June 24, 2008

Order to Mr. Mohammad Shahib Uddin, Shareholder Director of Mercantile Insurance Company  Ltd

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1049June 24, 2008

Order to Mrs Hosne Ara Aziz, Sponsor of The City Bank Ltd

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1050June 26, 2008

Order to concerns of Saleh Carpet Mills Ltd

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1051June 26, 2008

Order to concerns of Rose Heaven Ballpen Ltd

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May, 2008
Sl.NoDateSubjectCommission’s Decision
1052May 18, 2008

Warning  to concerns of People's Insurance Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1053May 20, 2008

Warning  to concerns of Rupali Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1054May 20, 2008

Warning  to concerns of Sonali Paper & Board Mills Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June30, 2006.

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1055June 20, 2008

Order to Dr. Ashraf Salehin, Capital Bangladesh

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1056May 21, 2008

Warning  to concerns of Bangladesh Leaf Tobacco Co. Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1057May 21, 2008

Warning  to concerns of The City Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006 and Annual Report-2006

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1058May 25, 2008

Warning  to concerns of Prime Insurance Company Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1059May 28, 2008

Warning  to concerns of M/S Howladar Yunus & Co Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Janata Insurance Co. Ltd(Issuer)  for the year ended on December 31, 2006.

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1060May 28, 2008

Warning  to concerns of Lexico Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1061May 28, 2008

Warning  to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on September 30, 2006.

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April, 2008

March, 2008
Sl.NoDateSubjectCommission’s Decision
1076March 3, 2008

Warning to concerns of Mona Food Industries Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007

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1077March 3, 2008

Warning to concerns of Rupali Bank Ltd for non-compliance of securities laws in connection with fixing AGM date, time and venue and declaring dividend in the board of directors meeting

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1078March 3, 2008

Warning to concerns of Dynamic Textile Industries Ltd for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2007

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1079March 3, 2008

Warning to concerns of Eastern Cables Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007

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1080March 3, 2008

Order to concerns of M. Hossain Gaerments Washing and Dying Ltd

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1081March 3, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1082March 3, 2008

Order to concerns of Mercantile Bank Ltd

1083March 3, 2008

Order to concerns of Advanced Chemical Industries Ltd

1084March 4, 2008

Order to concerns of Raspit Data Management and Telecommunication  Ltd

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1085March 4, 2008

Order to concerns of Chictex Ltd

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1086March 25, 2008

Warning to concerns of Western Security Investment Management Ltd for non-compliance of securities laws

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1087March 25, 2008

Waiver of penalty to concerns of Fareast Islami Life Insurance Company Ltd

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1088March 27, 2008

Order to concerns of Pharmaco International Ltd

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1089March 31, 2008

Order to concerns of Fareast Islami Life Insuranec Company Ltd

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February, 2008

January, 2008
Sl.NoDateSubjectCommission’s Decision
1095January 7, 2008

Alleged non-compliance with securities related laws in connection with the Exclusive Partnership Agreement of Information Services Network Ltd: Warning - to concerns of Information Services Network Ltd (SEC/Enforcement/622/2007/22)

1096January 8, 2008

Order - to concerns of Globe Securities Ltd Stock Dealer/DP DSE M#189 (SEC/Enforcement/616/2007/30)

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1097January 21, 2008

Non-compliance of securities laws: In connection with half yearly financial statements for the half year ended on December 31 2006:Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/47)

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1098January 22, 2008

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Ashraf Textile Mills Limited (SEC/Enforcement/145/2002/52) 

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1099January 22, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Power Grid Company of Bangladesh Limited (SEC/Enforcement/654/2007/51) 

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1100January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Eastern Lubricants Blenders Limited (SEC/Enforcement/407/2006/55) 

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1101January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Padma Oil Company Limited (SEC/Enforcement/407/2006/56) 

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1102January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Fareast Islami Life Insurance Company Limited (SEC/Enforcement/601/2007/57) 

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1103January 24, 2008

Waiver of imposed penalty - to concern of Mrs Dina Ahsan Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/59)

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1104January 24, 2008

Waiver of imposed penalty - to concern of Mr Md Khalilur Rahman Chowdhury Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/60)

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1105January 30, 2008

Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/64-77)

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1106January 31, 2008

Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/82-142)

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December, 2007
Sl.NoDateSubjectCommission’s Decision
1107December 9, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006:Warning - to concerns of Himadri Limited (SEC/Enforcement/617/2007/1200)

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1108December 17, 2007

Waiver of additional penalty and withdraw certificate cases against Commission's penalty Orders - to concerns of Sreepur Textile Mills Limited (SEC/Enforcement/160/2003/1201)

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1109December 17, 2007

Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of The Oriental Bank Limited (SEC/Enforcement/254/2004/1202) 

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1110December 17, 2007

Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Arbee Textile Mills Limited (SEC/Enforcement/491/2005/1203)

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1111December 17, 2007

Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Progressive Life Insurance Co Limited (SEC/Enforcement/629/2007/1204) 

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1112December 17, 2007

Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Paper Processing and Packaging Limited (SEC/Enforcement/628/2007/1205) 

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1113December 17, 2007

Non-compliance of securities law: Warning - to concerns of Holy City Securities Ltd Stock Broker CSE Member # 093 (SEC/Enforcement/618/2007/1206)

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1114December 17, 2007

Regarding Holy City Securities Ltd (Stock Broker) Member No 093: Warning - to concerns of Chittagong Stock Exchange Ltd (SEC/Enforcement/618/2007/1207)

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1115December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/607/2007/1212-1215)

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1116December 18, 2007

Alleged non-compliance with securities related laws in connection with the half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Meghna Condensed Milk Industries Ltd 

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1117December 18, 2007

Order - to concerns of Wata Chemicals Ltd (SEC/Enforcement/626/2007/1232-1238)

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1118December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/39/2001/1243-1246)

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1119December 31, 2007

Order - to concerns of Fine Foods Ltd (SEC/Enforcement/335/2005/1259-1265)

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November, 2007

October, 2007
Sl.NoDateSubjectCommission’s Decision
1122October 7, 2007

Payment of penalty through installments: In connection with share trading of Therapeutics (Bangladesh) Limited - to concerns of Ibrahim Securities Ltd

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1123October 7, 2007

Penalty Order: In connection with audited financial statements of Chittagong Vegetable Oil Industries Ltd for the years ended on  June 30, 2003 and June 30 2004 - to concerns of Sarwar Salamat & Co CA

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1124October 8, 2007

Waiver of penalty imposed vide penal Orders No SEC/Enforcement/299/2005/418-420 Dated April 23 2007- to concerns of Quasem Textile Mills Limited

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1125October 8, 2007

Waiver of penalty imposed vide penal Orders No SEC/Enforcement/300/2005/424-426 Dated April 23 2007- to concerns of Quasem Silk Mills Limited

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1126October 8, 2007

Payment of penalty through installments: In connection with SEC penal orders all dated July 16 2007 regarding submission of incomplete audio-visual recording of proceedings of AGM held on December 24 2006 - to concerns of Wonderland Toys Ltd

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1127October 8, 2007

Non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years: Warning - to concerns of JMI Bangla Co Limited

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1128October 8, 2007

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Al-Arafah Islami Bank Limited

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1129October 9, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

1130October 11, 2007

Order - to concerns of Raspit Data Management & Telecommunications Limited ((SEC/Enforcement/594/2007/1124-1126))

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1131October 11, 2007

Order - to concerns of Raspit Inc (BD) Ltd (SEC/Enforcement/593/2007/1130-1132)

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1132October 24, 2007

Order - to concerns of Legacy Footwear Limited

1133October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1134October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Chemical Industries Limited

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1135October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Zipper Industries Limited

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1136October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Luggage Industries Limited

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September, 2007
Sl.NoDateSubjectCommission’s Decision
1137September 3, 2007

Waiver of imposed penalty: In connection with non-disseminating price sensitive information regarding sale of fixed assets- to concerns of Quasem Silk Mills Limited

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1138September 3, 2007

Waiver of imposed penalty: In connection with the submission of incomplete audio-visual recording of proceedings of AGM held on  December 24, 2006 - to concerns of Wondeland Toys Limited

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1139September 3, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

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1140September 3, 2007

Order - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1141September 6, 2007

Waiver of imposed penalty: In connection with share trading of Therapeutics (Bangladesh) Ltd - to concerns of Ibrahim Securities Limited (DSE Member No 33)

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1142September 6, 2007

Order - to concerns of Gachihata Aqua Culture Farms Limited

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1143September 6, 2007

Order - to concerns of Meghna Condensed Milk Industries Limited

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1144September 6, 2007

Order - to concerns of Meghna PET Industries Limited

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1145September 6, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Al-Arafah Islami Bank Limited

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1146September 9, 2007

Order - to concerns of Bangladesh Luggage Industries Limited

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1147September 10, 2007

Order - to concerns of Bangladesh Zipper Industries Limited

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1148September 18, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Export Import Bank of Bangladesh Limited

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1149September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Cement Mills Limited

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1150September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Legacy Footwear Limited

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1151September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Ambee Pharmaceuticals Limited

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1152September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pragati Life Insurance Co Limited

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August, 2007
Sl.NoDateSubjectCommission’s Decision
1153August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Shrimp Culture Limited

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1154August 5, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Federal Insurance Co Limited

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1155August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Petro Synthetic Products Limited

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1156August 5, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Hotels Ltd

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1157August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of CMC-Kamal Textile Mills Limited

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1158August 5, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Prime Insurance Company Limited

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1159August 8, 2007

Waiver of imposed penalty: In connection with the half yearly financial statement for the half year ended on 31 December 2005 - to concerns of Bangladesh Luggage Industries Limited

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1160August 9, 2007

Waiver of imposed penalty: In connection with statutory audit report of Rose Heaven Ball Pen Limited for the year ended on June 30 2004 - to concerns of M/s M N Islam & Company Chartered Accountants

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1161August 9, 2007

Waiver of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Niloy Cement Industries Limited

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1162August 9, 2007

Waiver  of imposed penalty: In connection with the insider trading of Jamuna Bank Limited's shares - to concern of Al-Haj Nur Mohammad

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1163August 9, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Sonar Bangla Insurance Limited

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1164August 9, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Electricity Meter Company Limited

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1165August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Harun-or-Rashid Managing Director Lexco Limited

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1166August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Al-Haj Abdul Mateen Director Lexco Limited

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1167August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Hamiduddin Ahmed Director & Mr Mostapha Shah Ali Newaz Director Lexco Limited

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1168August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Mostapha Shah Ali Newaz Director Lexco Limited

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1169August 15, 2007

Order - to concerns of M/s Sarwar salamot & Co Chartered Accountants

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1170August 16, 2007

Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Amam Sea Food Industries Limited

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1171August 22, 2007

Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Directive - to concerns of National Credit & Commerce Bank Limited


July, 2007
Sl.NoDateSubjectCommission’s Decision
1172July 1, 2007

Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Western Securities Investment Management Limited

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1173July 1, 2007

Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Chowdhury Securities & Services Limited

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1174July 2, 2007

Directive - to oncerns of Sreepur Textile Mills Limited

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1175July 11, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on June 30 2006 : Warning - to concerns of Arbee Textiles Limited

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1176July 5, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Alhajj Nur Mohammad

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1177July 5, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Ms Tasnim Akter Chowdhury

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1178July 5, 2007

Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of ICB Capital Management Ltd

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1179July 5, 2007

Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of AAA Consultant & Financial Advisors Merchant Banker-Issue Manager

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1180July 5, 2007

Alleged non-compliance of securities law in connection with the IPO: Warning - to concerns of Jamuna Bank Limited

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1181July 8, 2007

Waiver  of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Sajib Knitwear and Garments Limited

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1182July 9, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Sonali Ansh Limited

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1183July 10, 2007

Order - to concerns of Rose Heaven Ball Pen Limited

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1184July 11, 2007

Order - to concerns of Chictex Limited

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1185July 11, 2007

Order - to concerns of Quashem Silk Mills Limited

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1186July 15, 2007

Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Rangamati Food Products Limited

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1187July 16, 2007

Order - to concerns of Wonderland Toys Limited

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1188July 18, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of  the audited financial statements for the years ended on June 30 2005 and June 30 2006: Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/885)

1189July 18, 2007

Non-compliance of securities laws in connection with the delayed furnishing of half yearly financial statements for the half year ended on December 31 2006: Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/886)

1190July 26, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mrs Hasina Gazi 4 Siddheswari Lane Dhaka-1000

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1191July 26, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mr Gazi Golam Ashria 4 Siddheswari Lane Dhaka-1000

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1192July 26, 2007

Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bengal Fine Ceramics Limited

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1193July 26, 2007

Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pubali Bank Limited Limited

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1194July 26, 2007

Order - concerns of Saleh Carpet Mills Limited

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1195July 26, 2007

Order - concerns of Raspit Inc (BD) Limited

1196July 26, 2007

Order - concerns of Chittagong Vegetable Oil Limited

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1197July 26, 2007

Order - concerns of  Ibrahim Securities  Limited DSE M# 33

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June, 2007
Sl.NoDateSubjectCommission’s Decision
1198June 3, 2016

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2005: Warning - to concerns of Bangladesh Services Limited

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1199June 3, 2007

Non-compliance of securities laws: In connection with submission of audio-visual recording of proceedings of 33rd AGM held on December 19 2006 : Warning - to concerns of Bangladesh Services Limited

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1200June 11, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Bangladesh Electricity Meter Company Limited

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1201June 11, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Bangla Process Industries Limited

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1202June 11, 2007

Non-compliance of securities law concerning payment of declared dividend : Warning - to concerns of Anlima Yarn Dyeing Limited

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1203June 17, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on September 30 2006 : Warning - to concerns of Excelsior shoes Limited

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1204June 17, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Legacy Footwear Limited

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1205June 17, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Rahim Textile Mills Limited

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1206June 21, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Sreepur Textile Mills Limited

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1207June 24, 2007

Order - to concern of Ms Nasrin Akter Chowdhury

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1208June 24, 2007

Order - to concern of Ms Tasnim Akter Chowdhury

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1209June 24, 2007

Order - to concern of Alhajj Nur Mohammad

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1210June 24, 2007

Order - to concerns of Dhaka Insurance Limited

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1211June 24, 2007

Order - to concerns of Standard Group Limited

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1212June 24, 2007

Order - to concerns of Standard Stitches Limited

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1213June 24, 2007

Order - to concerns of Amotex Limited

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1214June 24, 2007

Waiver of imposed penalty: In connection with statutory audit report for the year ended on December 31 2005 - to concerns of Lexco Ltd

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May 2007
Sl.NoDateSubjectCommission’s Decision
1215March 5, 2007

Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/439)

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1216March 5, 2007

Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/440)

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1217March 5, 2007

Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/441)

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1218March 5, 2007

Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/442)

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1219March 5, 2007

Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/447)

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1220March 5, 2007

Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/448)

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1221March 5, 2007

Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/449)

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1222March 5, 2007

Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/450)

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1223July 5, 2007

Commission's Enquiry Order#SEC/SRMID/99-689/1052 dated 06 March 07 on the company for unusual trading of shares and request for a personal hearing of all the Directors of the company before awarding judgment : Time Prayer - to concern of Chairperson Bangladesh Welding Electrodes Ltd

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1224September 5, 2007

Non-compliance with securities related laws in connection with share trading of Zeal Bangla Sugar Mills Ltd: Warning - to concerns of National Credit and Commerce Bank Ltd (DSE Membership no 61) Stock-dealer

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1225May 17, 2007

Alleged non-compliance with securities law in connection with IPO application of Export Import Bank of Bangladesh Limited (Issuer): Letter of caution - to concerns of AAA Consultants & Financial Advisers

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1226May 17, 2007

Alleged non-compliance with the securities law in connection with IPO application: Letter of caution - to concerns of Export Import Bank of Bangladesh Limited

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1227May 17, 2007

Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited

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1228May 17, 2007

Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited

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1229May 17, 2007

Order - to concern of Mr Minhaz Bin Kamal Director M Hossain Garments Washing & Dyeing Limited

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1230May 17, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited

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1231May 20, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited

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1232May 20, 2007

Order - to concern of Mr Alhaj Abdul Motin Director Lexco Limited

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1233May 20, 2007

Order - to concern of Mr Hamiduddin Ahmed Director Lexco Limited

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1234May 20, 2007

Order - to concern of Mr Mustafa Shah Ali Newaz Director Lexco Limited

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1235May 20, 2007

Order - to concern of Mr Udoy Kumar Bhakto Director Lexco Limited

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1236May 20, 2007

Order - to concern of Mr Fazlur Rahman Director Lexco Limited

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1237May 20, 2007

Order - to concern of Mr Md Shahjahan Managing Director Sajib Knitwear & Garments Limited

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1238May 20, 2007

Order - to concern of Ms Selina Afroz Director Sajib Knitwear & Garments Limited

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1239May 20, 2007

Order - to concern of Ms Shafia Khatun Director Sajib Knitwear & Garments Limited

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1240May 20, 2007

Order - to concern of Mr Md Shakhawat Hossain (Sajib) Director Sajib Knitwear & Garments Limited

1241May 20, 2007

Order - to concern of Mr Abdul Matlub Ahmad Managing Director Niloy Cement Industries Limited

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1242May 20, 2007

Order - to concern of Mr Humayun Kabir Khondaker Director Niloy Cement Industries Limited

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1243May 21, 2007

Order - to concern of Ms Selina Ahmah Director Niloy Cement Industries Limited

1244May 21, 2007

Order - to concern of Mr Abdul Musabbir Ahmad Director Niloy Cement Industries Limited

1245May 21, 2007

Order - to concern of Mr Md Anwar Hossain Director Niloy Cement Industries Limited

1246May 21, 2007

Order - to concern of Mr Md Altaf Hossain Director Niloy Cement Industries Limited

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1247May 21, 2007

Order - to concern of Mr S A Quashem Director Niloy Cement Industries Limited

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1248May 22, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/532)

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1249May 22, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/533)

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1250May 22, 2007

Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/534)

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1251May 22, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/538)

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1252May 22, 2007

Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/540)

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1253May 22, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/539)

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1254May 22, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/547)

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1255May 22, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/546)

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1256May 22, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/545)

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1257May 22, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/544)

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1258May 22, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/555)

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1259May 22, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/554)

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1260May 22, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/553)

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1261May 22, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/552)

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1262May 22, 2007

Waiver of imposed penalty: Non-compliance of securities law in connection with payment of audit fee to the SEC appointed auditors - to concerns of Bangladesh Chemical Industries Limited

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1263May 22, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bangladesh Monospool Paper Manufacturing Co Limited

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1264May 24, 2007

Waiver of imposed penalty: In connection with the non-submission of audited financial statements for the year ended on June 30 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/563)

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1265May 24, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/564)

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1266May 24, 2007

Order - to concern of Mr Dewkinandan Kejriwal Managing Director Bangladesh Luggage Industries Limited

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1267May 24, 2007

Order - to concern of Ms Kanchan Kejriwal Director Bangladesh Luggage Industries Limited

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1268May 24, 2007

Order - to concern of Ms Kanchan Devi Kejriwal Director Bangladesh Luggage Industries Limited

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1269May 24, 2007

Order - to concern of Ms Vogoboti Kejriwal Director Bangladesh Luggage Industries Limited

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1270May 24, 2007

Order - to concern of Mr Uttom Kejriwal Director Bangladesh Luggage Industries Limited

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1271May 24, 2007

Order - to concern of Mr Ashok Kejriwal Director Bangladesh Luggage Industries Limited

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1272May 27, 2007

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on June 30 2006 within time: Warning - to concerns of Mona Food Industries Limited

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1273May 27, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Rose Heaven Ball Pen Limited

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1274May 28, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/591)

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1275May 28, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/592)

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1276May 28, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/593)

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1277May 28, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/594)

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1278May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/599)

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1279May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/600)

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1280May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/601)

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1281May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/602)

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1282May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/607)

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1283May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/608)

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1284May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/609)

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1285May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/610)

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1286May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/615)

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1287May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/616)

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1288May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/617)

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1289May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/618)

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1290May 28, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Bangladesh Luggage Industries Limited

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1291May 28, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Sonali Paper & Board Mills Limited

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April 2007
Sl.NoDateSubjectCommission’s Decision
1292April 23, 2007

Order - to concern of Mrs Selina Begum Director Quasem Silk Mills Limited

1293April 23, 2007

Order - to concern of Mrs Khadiza Shamim Director Quasem Silk Mills Limited

1294April 23, 2007

Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Silk Mills Limited

1295April 23, 2007

Order - to concern of Mrs Selina Begum Director Quasem Textile Mills Limited

1296April 23, 2007

Order - to concern of Mrs Khadiza Shamim Director Quasem Textile Mills Limited

1297April 23, 2007

Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Textile Mills Limited

1298April 23, 2007

Order - to concern of Mr Shafiqur Rahman Director Sreepur Textile Mills Limited

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1299April 23, 2007

Order - to concern of Mr C H Mahtab Uddin Director Sreepur Textile Mills Limited

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1300April 23, 2007

Order - to concern of Mr A R Malik Director Sreepur Textile Mills Limited

1301April 23, 2007

Order - to concern of Mr A Ahmed Yousuf Chairman & Managing Director Sreepur Textile Mills Limited

1302April 23, 2007

Order - to concern of Mr Prof Dr Nurul Haque Director Sreepur Textile Mills Limited

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1303April 23, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Jute Spinners Limited

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1304April 17, 2007

Alleged non-compliance of securities laws in connection with delayed submission of audited financial statements for the year ended on June 30 2006: Disposal - to concerns of Sonali Ansh Industries Limited?

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1305April 17, 2007

Non-compliance of securities laws: In connection with upward revaluation of fixed assets creating reserve without clearance from the Commission in the audited financial statements for the year ended on December 31 2005: Caution - to concerns of Southeast Bank Limited

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1306November 30, -0001

Non-compliance of securities law: In connection with delayed submission of audited financial statements for the year ended on June 30 2006: Caution - to concerns of Bangladesh Shipping Corporation (SEC/Enforcement/148/2002/395)

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1307April 17, 2007

Alleged non-compliance of securities laws in connection with delayed submission of half yearly financial statements for the year ended on December 31 2005: Disposal - to concerns of Bangladesh Shipping Corporation (SEC/Enforcement/148/2002/394)

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1308April 17, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005 & June 30 2006: Warning - to concerns of Meghna Pet Industries Limited

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1309April 15, 2007

Your petition for payment of remaining penalty through installments - to concern of Mrs Afia Banu Director Rupan Oil & Feeds Limited

1310April 15, 2007

Waiver of penalty imposed upon the individual directors in connection with the non-submission of audited financial statements for the year ended on June 30 2006 against penal Orders No. SEC/Enforcement/86/2002/263-67 all dated March 01 2007: Warning - to concerns of Pharmaco International Limited

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1311October 4, 2007

Waiver of penalty - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1312October 4, 2007

Waiver of penalty - to concerns of Bangladesh Zipper Industries Limited

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1313September 4, 2007

Show-cause cum hearing : In connection with the matter of non-payment of declared divodend to a shareholder within the stipulated time- Warning - to concerns of Quasem Drycells Limited

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1314September 4, 2007

Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: Warning - to concerns of Amam Sea Food Limited

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1315August 4, 2007

Non-compliance with the securities related laws in connection with non-payment of interest and principal against debenture: Warning - to concerns of Bangladesh Welding Electrodes Limited

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1316April 4, 2007

Non-compliance of securities laws: In connection with audited financial statements for the years ended on June 30 2005 and June 30 2006: Warning - to concerns of Chittagong Oil Industries Limited

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1317April 4, 2007

Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Dyeing & Finishing Industries Limited (SEC/Enforcement/210/2004/351)

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1318April 4, 2007

Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Chemical Industries Limited (SEC/Enforcement/212/2004/350)

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1319April 4, 2007

Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Luggage Industries Limited (SEC/Enforcement/182/2003/349)

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1320April 4, 2007

Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Padma Oil Company Limited

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1321April 4, 2007

Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Eastern Lubricants Blenders Limited

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1322April 4, 2007

Non-compliance of securities laws: In connection with the audited financial statements for the year ended on December 31 2005 - Warning - to concerns of Central Insurance Company Limited

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1323April 4, 2007

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Eastern Cables Limited

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1324April 4, 2007

Non-compliance of the SEC Notification: In connection with the audited financial statements for the year ended on June 30 2006 - Warning - to concerns of Hakkani Pulp & Paper Mills Limited

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1325April 4, 2007

Non-compliance of securities laws: In connection with disseminating AGM date time and venue in-spite of declared dividend in the board of directors meeting held on November 12 2006 - Warning - to concerns Pharma Aids Limited

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1326April 4, 2007

Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Zipper Industries Limited (SEC/Enforcement/209/2004/349)

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March, 2007
Sl.NoDateSubjectCommission’s Decision
1327March 1, 2007

Your appeal for waiver of imposed penalty: In connection with the non-payment dividend to a shareholder and non-submission of report on dividend - to concerns of Fine Foods Limited

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1328March 1, 2007

Order - to concern of Mr AKMA Motin Managing Director Pharmaco International Limited

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1329March 5, 2007

Order - to concern of Mr Dewkinandan Kejriwal Managing Director BD Dyeing & Finishing Industries Limited

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1330March 5, 2007

Order - to concern of Mrs Kanchan  Kejriwal Director BD Dyeing & Finishing Industries Limited

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1331March 5, 2007

Order - to concern of Mrs Kanchan Devi Kejriwal Director BD Dyeing & Finishing Industries Limited

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1332March 5, 2007

Order - to concern of Mrs Vogoboti  Kejriwal Director BD Dyeing & Finishing Industries Limited

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1333March 5, 2007

Order - to concern of Mr Uttom Kejriwal Director BD Dyeing & Finishing Industries Limited

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1334March 5, 2007

Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Finishing Industries Limited

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1335March 15, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Director Raspit Inc BD Limited

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1336March 15, 2007

Order - to concern of Mr Md Habibul Alom Managing Director Raspit Inc BD Limited

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1337March 15, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Inc BD Limited

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1338March 29, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005 and June 30 2006: Warning - to concerns of Anwar Galvanizing Limited

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1339March 29, 2007

Order - to concern of Mr Md Nurul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/323)

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1340March 29, 2007

Order - to concern of Mrs Nasima Ahmed Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/326)

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1341March 1, 2007

Order - to concern of Mrs Rashida Motin Director Pharmaco International Limited

1342March 1, 2007

Order - to concern of Mr Zomiruddin Director Pharmaco International Limited

1343March 1, 2007

Order - to concern of Mr AKMA Batin Director Pharmaco International Limited

1344March 1, 2007

Order - to concern of Mr AKMA Basit Director Pharmaco International Limited

1345March 29, 2007

Order - to concern of Mr  Nazrul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/324)

1346March 29, 2007

Order - to concern of Mr Shafiqur Rahman Chowdhury Managing Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/325)

1347March 29, 2007

Order - to concern of Mrs Maksuda Khatun Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/327)

1348March 29, 2007

Order - to concern of Mr Motiur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/328)

1349March 29, 2007

Order - to concern of Mrs Shafina Rahman Rupa Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/329)

1350March 29, 2007

Order - to concern of Mr Md Mushfiqur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/330)


February, 2007
Sl.NoDateSubjectCommission’s Decision
1351February 1, 2007

Non-compliance of securities law:  In connection with statutory audit report of Himadri Limited for the year ended on  December 31 2005:  Warning - to concerns of  Himadri Limited

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1352February 1, 2007

Non-compliance of securities laws in connection with trading of Eagle Star Textile Mills Ltd Share: Warning - to concerns of South Asia Securities Limited (Stock Broker) CSE Member # 04

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1353February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/651 dated June 15 2006 - to concern of Mrs Nasima Ahmed Director M/s Rose Heaven Ball Pen Industries Ltd

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1354February 4, 2007

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Libra Infusions Limited

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1355February 4, 2007

Non-compliance of securities laws concerning Financial Statements for the half-year ended on June 30 2006 - Warning - to concerns of Nitol Insurance Company Limited

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1356February 4, 2007

Non-compliance of securities laws in connection with the submission of revised half-yearly financial statements for the period ended on March 2006 : Warning - to concerns of Dynamic Textile Industries Limited

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1357February 4, 2007

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 28 2006 - Warning - to concerns of Modern Cement Limited

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1358February 4, 2007

Non-compliance of securities laws: In connection with disseminating the price sensitive information in the news papers - Warning - to concerns of Phoenix Leather Complex Limited

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1359February 4, 2007

Non-compliance of securities laws: In connection with the submission of revised half-yearly financial statements for the half-year ended on June 30 2006 - Warning - to concerns of Popular Life Insurance Co Limited

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1360February 4, 2007

Disposal of the alleged matter-In connection with non-submission of audio-visual recording of proceedings of AGM held on June 10 2006 - to concerns of Renata Limited

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1361February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/655 dated June 15 2006 - to concern of Md Musfiqur Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd

1362February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/654 dated June 15 2006 - to concern of Mrs Safina Rahman Rupa Director M/s Rose Heaven Ball Pen Industries Ltd

1363February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/653 dated June 15 2006 - to concern of Md Matiar Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd

1364February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/652 dated June 15 2006 - to concern of Mrs Maksuda Khatun Director M/s Rose Heaven Ball Pen Industries Ltd

1365February 1, 2007

Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/650 dated June 15 2006 - to concern of Md Shafiur Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd


January, 2007
Sl.NoDateSubjectCommission’s Decision
1366January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Daffodil Computers Limited

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1367January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Chic Tex Limited

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1368January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Eagle Star Textile Mills Limited

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1369January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Fine Foods Limited

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1370January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 to December 2005 within time: Warning - to concerns of Mona Food Industry Limited

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1371January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 to December 2005 within time: Warning - to concerns of Pharmaco International Limited

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1372January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of October 2005 within time: Warning - to concerns of Popular Life Insurance Company Limited

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1373January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Limited

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1374January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of February 2006 within time: Warning - to concerns of Sreepur Textile Mills Limited

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1375January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of The Engineers Limited

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1376January 18, 2007

Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of February 2006 within time: Warning - to concerns of Amam Sea Food Industries Limited

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December, 2006
Sl.NoDateSubjectCommission’s Decision
1377December 6, 2006

Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years: Caution - to concerns of Monno Jute Stafllers Limited

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1378December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal MD BD Chemical Industries Ltd

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1379December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Chemical Industries Ltd

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1380December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Chemical Industries Ltd

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1381December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director BD Chemical Industries Ltd

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1382December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director BD Chemical Industries Ltd

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1383December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director BD Chemical Industries Ltd

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1384December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal  MD BD Dyeing & Finishing Industries Ltd

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1385December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Dyeing & Industries Ltd

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1386December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director  BD Dyeing & Industries Ltd

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1387December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director  BD Dyeing & Industries Ltd

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1388December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director  BD Dyeing & Industries Ltd

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1389December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director  BD Dyeing & Industries Ltd

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1390December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal  MD BD Zipper Finishing Industries Ltd

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1391December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Zipper Industries Ltd

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1392December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director  BD Zipper Industries Ltd

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1393December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director  BD Zipper Industries Ltd

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1394December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director  BD Zipper Industries Ltd

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1395December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director  BD Zipper Industries Ltd

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November, 2006
Sl.NoDateSubjectCommission’s Decision
1396November 1, 2006

Regarding application of penalty- to concern of Md Shahidullah (Shyamol) & Co (Stock Dealer) DSE M-03

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1397November 2, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 22 2005 - Warning- to concerns of Fu-Wang Ceramic Industries Limited

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1398November 2, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 22 2005 - Warning- to concerns of Fu-Wang Foods Limited

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1399November 2, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on September 6 2005 - Warning- to concerns of Maq Paper Industries Limited

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1400November 28, 2006

Non-compliance of securities laws: In connection with the payment of declared dividend to BSRS within the time - Warning - to concerns of Bengal Fine Ceramics Limited 

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1401November 28, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31 2005 within time: Warning - concerns of Bangladesh Hotels Ltd

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1402November 29, 2006

Waiver of penalty imposed vide penal Orders No-SEC/Enforcement/299/2005/575-577 dated 31 May 2006 and withdrawal of the certificate case - to concerns of Quasem Textile Mills Limited

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1403November 29, 2006

Waiver of penalty imposed vide penal Orders No-SEC/Enforcement/299/2005/579-581 dated 31 May 2006 and withdrawal of the certificate case - to concerns of Quasem Silk Mills Limited

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1404November 30, 2006

Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on March 31 2006: Warning - to concerns Dynamic Textile Industries Limited

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October, 2006
Sl.NoDateSubjectCommission’s Decision
1405October 3, 2006

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Mita Textiles Limited 

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1406October 3, 2006

Non-compliance with the provision of the Securities and Exchange Rules 1987 and the Securities and Exchange Ordinance 1969 concerning audited financial statements for the year ended on March 31 2000:Disposal of the alleged matters - to concerns of Olympic Industries Limited

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1407October 3, 2006

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Eagle Star Textiles Mills Limited

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1408October 5, 2006

Order - to concern of Mr M A Salam Chairperson/Director Paragon Leather & Footwear Industries Limited

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1409October 5, 2006

Order - to concern of Mr A K Azad Director Paragon Leather & Footwear Industries Limited

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1410October 5, 2006

Order - to concern of Mr Stephen Fanky Director Paragon Leather & Footwear Industries Limited

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1411October 5, 2006

Order - to concern of Mrs Mariom Khatun Director Paragon Leather & Footwear Industries Limited

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1412October 5, 2006

Order - to concern of Mrs Hamida Salam Director Paragon Leather & Footwear Industries Limited

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1413October 5, 2006

Order - to concern of Mrs Ummay Kulsum Director Paragon Leather & Footwear Industries Limited

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1414October 5, 2006

Order - to concern of Mrs Nasima Akter Director (Rupali Bank Nominated) Paragon Leather & Footwear Industries Limited

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1415October 8, 2006

Payment of penalty by instalments - to concern of Giausuddin Ahmed & Co (DSE Membership # 186)

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1416October 8, 2006

Non-compliance with the provisions of the Securities and Exchange Rules 1987 and the Securities and Exchange Ordinance 1969 concerning audited financial statements for the year ended on June 30 2000: Disposal of the alleged matters - to concern of Managing Director Bengal Biscuits Limited

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1417October 8, 2006

Non-compliance with the provisions of securities related laws in connection with audited financial statements for the year ended on December 31 2005:Disposal - to concerns of Beach Hatchery Limited

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1418October 8, 2006

Non-compliance with securities related laws: Warning - to concern of Mr Mujibur Rahman Sponsor/Director Midas Financing Limited

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1419October 8, 2006

Your appeal for waiver of imposed penalty: In connection with the non-submission of audited financial statements for the year ended on June 30 2005 - to concerns of Pharmaco International Limited

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1420October 8, 2006

Non-compliance of securities laws: In connection with the dissemenating price sensitive information regarding AGM held on December 26 2005 : Warning - to concerns of Mona Food Industries Limited 

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1421October 8, 2006

Non-compliance of securities laws: In connection with submission of  audio-visual recording of AGM held on July 28 2005 : Warning - to concerns of Padma Printers Limited 

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1422October 8, 2006

Non-compliance of securities laws: In connection with submission of  audio-visual recording of AGM held on June 15 2005 : Warning - to concerns of Gachihata Aquaculture Farms Limited

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1423October 10, 2006

Order - to concern of Mr Shamsul Alam Shamim Chairman/Director Chittagong Vegetable Oil Industries Ltd

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1424October 10, 2006

Order - to concern of Mr AHM Habibullah Managing Director Chittagong Vegetable Oil Industries Ltd

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1425October 10, 2006

Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Ltd

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1426October 10, 2006

Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Ltd

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1427October 10, 2006

Order - to concern of Mr Md Imranul Haque Director Chittagong Vegetable Oil Industries Ltd

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1428October 10, 2006

Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Ltd

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1429October 10, 2006

Order - to concern of Mr Kaikobad Ahmed Director Chittagong Vegetable Oil Industries Ltd

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1430October 10, 2006

Order - to concern of Mr Mainuddin Khan Badol Director Chittagong Vegetable Oil Industries Ltd

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1431October 11, 2006

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Delta Life Insurance Co Limited 

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1432October 11, 2006

Non-compliance of securities laws: Warning - to concerns of BLI Securities Ltd Stock Dealer (DSE Member No 175)

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1433October 11, 2006

Waiver of penalty imposed upon the individual directors in connection with non-holding of AGM in the year 2003 against penal Order No SEC/Enforcement/142/2002/526 dated 22 September 2005 and withdraw the certificate case against the Commission's vide Order No SEC/Enforcement/142/2002/218 dated May 29 2004 - to concerns A B Biscuit Ltd

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1434October 11, 2006

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Bengal Fine Ceramics Limited 

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1435October 15, 2006

Non-compliance with securities related laws: In connection with the shares of IDLC at CSE: Warning - to concern of CMSL Securities Limited (DSE & CSE Stock Dealer)

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1436October 16, 2006

Directive - to concerns of Khaza Mosaic Tiles & Stone Industries Limited

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1437October 16, 2006

Non-compliance with securities related laws: Warning - to concerns of Equity Resources Limited (DSE Membership No 030) Attention: Managing Director/Chief Executive Officer 

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1438October 16, 2006

Non-compliance with securities related laws in connection with unreliable half yearly financial statements for the period ended on December 31 2004: Warning - to concerns of Al-Amin Chemical Industries Limited 

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1439October 18, 2006

In connection with audited financial statements for the year ended on December 31 2004: Disposal - to concerns of Aziz Pipes Limited

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1440October 19, 2006

Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited:Warning - to concern of Managing Director Salta Capital Limited (DSE Member # 030)

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1441October 19, 2006

Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited: Warning - to concern of Managing Director Island Securities Limited (DSE Member # 005)

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1442October 19, 2006

Non-compliance of securities law concerning payment of declared dividend: Warning - to Concerns Social Investment Bank Limited 

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1443October 31, 2006

Non-compliance with securities laws in connection with raising of  paid up capital: Warning - to Concerns Lotus-Kamal Spinning Mills Limited 

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1444October 15, 2006

Non-compliance with securities related laws: In connection with the shares of IDLC at CSE: Warning - to concern of Capital Market Services Limited (Merchant Banker)

1445October 19, 2006

Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited:Warning - to concern of Managing Director Salta Capital Limited (DSE Member # 030)


September, 2006
Sl.NoDateSubjectCommission’s Decision
1446September 5, 2006

Application for review of penalty imposed vide Commission's Order No SEC/Enforcement/440/2006/807-813 dated July 17  2006 - to concerns of Modern Cement Limited

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1447September 6, 2006

Revised Order - to concerns of Giasuddin Ahmed & Co

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1448September 6, 2006

Revised Order - to concerns of PFI Securities Limited

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1449September 7, 2006

Non-compliance with securities laws in connection with the half yearly financial statements for the period ended on February 28, 2006: Warning - to concerns of The Engineers limited

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1450September 7, 2006

Order - to concerns of Latif Securities Ltd (Stock Dealer) DSE Member # 80

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1451September 7, 2006

Order - to concerns of Equity Valuation Research and Distribution Ltd (Merchant Banker/Issue Manager)

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1452September 11, 2006

Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Bangladeh Hotels Limited

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1453September 11, 2006

Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: warning - to concerns of Bangladeh Leaf Tobacco Co Limited

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1454September 11, 2006

Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Ambee Pharmaceuticals Limited

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1455September 11, 2006

Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of GMG Industrial Corporation Limited

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1456September 11, 2006

Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of Megna Pet Industries Limited

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1457September 11, 2006

Non-compliance of Securities laws in connection with raising of paid up capital: Warning - to concerns of Nor-Pearl Knitwear Ltd

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1458September 14, 2006

Order - to concerns of Md Shahidullah (Shyamol) & Co (DSE Member # 3)

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1459September 17, 2006

Order - to concern of Mr Masum Ahmed Chowdhury Former Chairman/Director The Oriental Bank Limited

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1460September 17, 2006

Order - to concern of Mr Rezaul Karim Former Vice Chairman/Director The Oriental Bank Limited

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1461September 17, 2006

Order - to concern of Mr C M Koyes Sami  Former Managing Director The Oriental Bank Limited

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1462September 17, 2006

Order - to concern of Mr Salman Karim Former Director The Oriental Bank Limited

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1463September 17, 2006

Order - to concern of Mr Mehedi Hasan Former Director The Oriental Bank Limited

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1464September 17, 2006

Order - to concern of Brigadiar General Md Zakir Hossain PSC(Retd) Former Director The Oriental Bank Limited

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1465September 17, 2006

Order - to concern of Mr Nesar uddin Mohammed Oliullah Former Director The Oriental Bank Limited

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1466September 17, 2006

Order - to concern of Mr Shahedul Islam Former Director The Oriental Bank Limited

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1467September 17, 2006

Order - to concern of Mr Niaz Ahmad Former Director The Oriental Bank Limited

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1468September 17, 2006

Order - to concern of Mr Patinson Tempol Former Director The Oriental Bank Limited

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1469September 17, 2006

Order - to concern of Mr Peter U Chun Ku Former Director The Oriental Bank Limited

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1470September 17, 2006

Order - to concern of Mr Alamgir Kabir Samad Company Secretary The Oriental Bank Limited

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1471September 18, 2006

Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited

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1472September 18, 2006

Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited

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1473September 18, 2006

Order - to concern of Mr Minhaz Bin Kamal Khan Director M Hossain Garments Washing & Dyeing Limited

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1474September 19, 2006

Order - to concern of Mrs Dilara Begum Chairperson/Director Saleh Carpet Mills Limited

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1475September 19, 2006

Order - to concern of Mrs Shamim Ara Begum Managing Director Saleh Carpet Mills Limited

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1476September 19, 2006

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited

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1477September 19, 2006

Order - to concern of Mr Badrul Haq Director Saleh Carpet Mills Limited

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1478September 20, 2006

Order - to concern of Mr Md Iftekharuzzaman Chairman/Director Fine Foods Limited

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1479September 20, 2006

Order - to concern of Mr Md Shaheen Quoreshi Managing Director Fine Foods Limited

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1480September 20, 2006

Order - to concern of Mr Md Humayun Kabir Director Fine Foods Limited

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1481September 20, 2006

Order - to concern of Mr Md Hussain Babu Director Fine Foods Limited

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1482September 20, 2006

Order - to concern of Mr Md Mosarrof Hossain Director Fine Foods Limited

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1483September 20, 2006

Order - to concern of Mr Md Iqbal Ahmed Director Fine Foods Limited

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1484September 20, 2006

Order - to concern of Mrs Hasna Amin Director Fine Foods Limited

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1485September 24, 2006

Non-compliance of securities related laws in connection with raising of capital without prior consent of the Commission: Warning - to concerns of Popular Pharmaceuticals Limited

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1486September 25, 2006

Order - to concern of Mr Shamsul Alam Shamim Director Chittagong Vegetable Oil Industries Limited

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1487September 25, 2006

Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Limited

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1488September 25, 2006

Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Limited

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1489September 25, 2006

Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Limited

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1490September 27, 2006

Order - to concern of Major Mohammed Akhtaruzzaman (Retd) Managing Director Gauchihata Aquaculture Farms Limited

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1491September 27, 2006

Order - to concern of Mrs Salma Zaman  Director Gauchihata Aquaculture Farms Limited

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1492September 27, 2006

Order - to concern of Mr Md Shahriar Zaman Director Gauchihata Aquaculture Farms Limited

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1493September 27, 2006

Order - to concern of Mr Md Sabbir Zaman Director Gauchihata Aquaculture Farms Limited

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1494September 17, 2006

Order - to concern of Mr Mujibur Rahman Milon Former Director The Oriental Bank Limited

1495September 17, 2006

Order - to concern of Mr B M M Mozharul Haque NDC  Former Director The Oriental Bank Limited

1496September 17, 2006

Order - to concern of Mr Azian Bin Hajj Ujir Former Director The Oriental Bank Limited

1497September 25, 2006

Order - to concern of Mr Md Emranul Haq Director Chittagong Vegetable Oil Industries Limited

1498September 25, 2006

Order - to concern of Mr A H M Habib Ullah Managing Director Chittagong Vegetable Oil Industries Limited


August, 2006
Sl.NoDateSubjectCommission’s Decision
1499August 1, 2006

Non-compliance of securities law in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Imam Button Industries Limited

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1500August 1, 2006

Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of German Bangla J.V Food Limited

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1501August 1, 2006

Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Arbee Textiles Limited 

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1502August 1, 2006

Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Lexco Limited

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1503August 1, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on September 9, 2005- Warning to concerns of Maq Enterprises Limited

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1504August 1, 2006

Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time -  Warning - to concerns of Niloy Cement Industries Limited

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1505August 1, 2006

Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time -  Warning - to concerns of Bd.Com Online Limited

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1506August 1, 2006

Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time -  Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/860)

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1507August 1, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 14, 2005- Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/861)

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1508August 1, 2006

Application for waiver of penalty imposed vide Commission's Order No. SEC/Enforcement/163/2003/656, dated June 15, 2006- to concern of Md. Atiqur Rahman Chowdhury

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1509August 1, 2006

Payment of penalty by instalments -to concern of Md. Shafiqur Rahman Chowdhury, Chairman & Managing Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/863)

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1510August 1, 2006

Payment of penalty by instalments -to concern of Mrs. Nasima Ahmed, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/864)

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1511August 1, 2006

Payment of penalty by instalments -to concern of Mrs. Maksuda Khatun, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/865)

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1512August 1, 2006

Payment of penalty by instalments -to concern of Md. Matiur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/866)

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1513August 1, 2006

Payment of penalty by instalments -to concern of Mrs. Safina Rahman Rupa, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/867)

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1514August 1, 2006

Payment of penalty by instalments -to concern of Md. Musfiqur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/868)

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1515August 3, 2006

Non-compliance of securities law in connection with non-submission of half yearly financial statements for the half year ended on December 31, 2005 within time-Warning - to concerns of Pharmaco International Limited

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1516August 3, 2006

Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time -  Warning - to concerns of Daffodil Computers Limited 

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1517August 3, 2006

Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on March 31, 2006 within stipulated time -  Warning - to concerns of Excelsior Shoes Limited 

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1518August 3, 2006

Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Tamijuddin Textiles Mills Limited

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1519August 3, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Sreepur Textile Limited

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1520August 3, 2006

Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/888)

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1521August 3, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 28, 2005- Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/889)

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1522August 6, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Meghna Life Insurance Co. Limited

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1523August 8, 2006

Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years-Post-facto approval with warning - to concerns of Miracle Industries Limited (SEC/Enforcement/458/2006/896)

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1524August 10, 2006

Order - to concerns of Pharmaco International Limited

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1525August 13, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Anlima Yarn Dyeing Limited

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1526August 13, 2006

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Limited 

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1527August 15, 2006

Non-compliance with securities related laws: In connection with notification concerning adoption of audited financial statements for the year 2003: Disposal - to concerns of Mercantile Bank Limited

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1528August 15, 2006

Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Disposal - to concerns of SCL Securities Limited (DSE Member # 121) Attention: The Managing Director 

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1529August 15, 2006

Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Warning - to concerns of ARC Securities Limited (DSE Member # 100) Attention: The Managing Director 

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1530August 15, 2006

Non-compliance with securities related laws: In connection with declaration for purchase of Mercantile Bank Limited's shares: Warning - to concern of Mr. Jamsed Reza Khan, Director, Mercantile Bank Limited 

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1531August 15, 2006

Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Jamsed Reza Khan: Warning - to concerns of Nouvelle Securities Limited (DSE stock-dealer) Attention: The Managing Director 

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1532August 17, 2006

Non-compliance with securities related laws in connection with the financial statements for the year ended on December 31, 2004: Warning with direction for rectification- to concerns of Rahman Chemicals Limited 

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1533August 27, 2006

Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004: Disposal - to concerns of Legacy Footwear Limited

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1534August 27, 2006

Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004 and 2005: Warning - to concerns of Janata Insurance Co Limited 

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1535August 27, 2006

Non-compliance with securities laws in connection with issue of bonus share: Warning - to concerns of GSP Financing Company Limited

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July, 2006
Sl.NoDateSubjectCommission’s Decision
1536July 4, 2006

Non-compliance of securities laws concerning price sensitive information - Warning - to concerns of Bengal Fine Ceramics Ltd

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1537July 4, 2006

Non-compliance with securities laws concerning effecting transfer of shares outside stock exchange without prior permission : Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/748)

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1538July 4, 2006

Non-compliance with securities laws concerning declaring transfer of holdings- Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/749)

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1539July 4, 2006

Application for review of Commission's Order No. SEC/Enforcement/392/2005/53 & SEC/Enforcement/392/2005/54 both dated January 16, 2006 to concerns of M. Abdul Rashid & Co. (DSE Member No. 35)

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1540July 9, 2006

Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning to concern of Proprietor, Mirza Aboo Mohsin & Co. (DP No.138)

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1541July 9, 2006

Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years -  Warning - to concerns of Bengal Fine Ceramic Ltd

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1542July 9, 2006

Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years -  Warning - to concerns of Eastern Housing Ltd

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1543July 13, 2006

Non-compliance of securities law in connection with submission of half yearly financial statements for the half year ended on March 31, 2006 within time : Warning - to concerns of Dynamic Textile Industries Ltd (SEC/Enforcement/413/2006/799)

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1544July 13, 2006

Non-compliance of securities law in connection with the submission of half yearly financial statements for the year ended on December 31, 2005 within time - Warning - to concerns of Mona Food Industry Ltd

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1545July 13, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time : Warning - to concerns of Meghna Shrimp Culture Ltd

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1546July 13, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on September 30, 2005 within time : Warning - to concerns of Dynamic Textile Industries Ltd ((SEC/Enforcement/413/2006/803))

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1547July 16, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording 7th AGM held on December 14,  2005 - Warning- to concerns of Bangladesh Welding Electrodes Ltd

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1548July 16, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 20, 2005 - Warning- to concerns of Bd.Com Online Ltd

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1549July 16, 2006

Non-compliance of securities laws: In connection with submission of audio-visual recording of 41st AGM held on December 15, 2005 - Warning- to concerns of Bangladesh Hotels Ltd

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1550July 17, 2006

Order - to concerns of Modern Cement Ltd

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1551July 17, 2006

Order - to concerns of P.F.I Securities Ltd

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1552July 18, 2006

Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Synthetics Ltd : Caution -to concerns of Beximco Synthetics Ltd & Investment Corporation of Bangladesh

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1553July 18, 2006

Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Denims Ltd : Caution -to concerns of Beximco Denims Ltd & Investment Corporation of Bangladesh

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1554July 18, 2006

Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Textile Mills Ltd : Caution -to concerns of Beximco Textile Mills Ltd & Investment Corporation of Bangladesh

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1555July 18, 2006

Order - to concerns of Giasuddin Ahmed & Co.

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June, 2006
Sl.NoDateSubjectCommission’s Decision
1556June 5, 2006

Non-compliance of securuties laws - Warning - to concerns of Stylecraft Ltd

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1557June 5, 2006

Non-compliance of securuties laws - Warning - to concerns of J.K. Fabrics Ltd

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1558June 5, 2006

Non-compliance of securuties laws - Warning - to concerns of Modern Cement Ltd

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1559June 5, 2006

Order - to concerns of Saleh Carpet Mills Ltd

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1560June 6, 2006

Non-compliance with securities related laws: Warning to concerns of Rangpur Foundry Ltd

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1561June 6, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 11, 2005 - Warning - to concerns of Gemini Sea Food Ltd

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1562June 6, 2006

Non-compliance of securities laws: In connection with non-furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Ltd

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1563June 7, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 29, 2005 - Warning - to concerns of Gulf Foods Ltd

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1564June 7, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Bangas Ltd

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1565June 7, 2006

Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 20, 2005 - Warning - to concerns of Rangamati Food Products Ltd

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1566June 13, 2006

Non-compliance with securities laws: Warning- to  Managing Director of  Mercantile Securities Ltd

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1567June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Purabi General Insurance Co Ltd

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1568June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Prime Insurance Co Ltd

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1569June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Pioneer  Insurance Company Ltd

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1570June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of National Tea  Company Ltd

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1571June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Eagle Star Textile Mills  Ltd

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1572June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Atlas Bangladesh  Ltd

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1573June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July 2005 within time: Warning- to concerns of Jago Corporation Ltd

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1574June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July to  August 2005 within time: Warning- to concerns of Chic Tex Ltd

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1575June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Therapeutics Bangladesh  Ltd

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1576June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Padma Printers & Colour Ltd

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1577June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Northern Jute Mfg Co Ltd

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1578June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Dulamia Cotton Mills Ltd

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1579June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Aftab Automobiles Ltd

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1580June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Wata Chemicals Ltd

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1581June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Stylecraft Ltd

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1582June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Paper and Board Mills Ltd

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1583June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Ansh Industries Ltd

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1584June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Metalex Corporation Ltd

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1585June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of German Bangla J.V. Food Ltd

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1586June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Dynamic Textile Industries Ltd

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1587June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Confidence Cement Ltd

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1588June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Azadi Printers Ltd

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1589June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Amam Sea Food Ltd

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1590June 20, 2006

Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Mona Food Industry Ltd

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1591June 20, 2006

Non-compliance of securities laws in connection with the holding of AGM in the year 2005-Warning - to concerns of Ashraf Textile Mills Ltd

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1592June 21, 2006

Non-compliance of securities laws- In connection with the disseminating price sensitive information regarding AGM held on December 26, 2005 - Warning - to concerns of Fine Foods Ltd

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1593June 22, 2006

Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 28, 2005 - Warning - to concerns of Alhaj Textile Mills Ltd

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1594June 22, 2006

Non-compliance of securities laws- In connection with the payment of declared dividend in 2002 of a shareholder Mr. Abdur Razzak -Warning - to concerns of Meghna Shrimp Culture Ltd

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1595June 22, 2006

Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 12, 2005 - Warning - to concerns of Azadi Printers Ltd

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1596June 22, 2006

Non-compliance of securities laws- In connection with furnishing of the audited financial statements for the year ended on September 30, 2005 within time - Warning to concerns of Excelsior Shoes Ltd

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1597June 28, 2006

Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Amin Securities & Consultants Ltd (DP No 118)

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1598June 28, 2006

Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Md Fakrul Islam & Co (DP No 158)

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1599June 28, 2006

Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Equity Resources Ltd (DP No 40)

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1600June 28, 2006

Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Shamsul Huda & Co (DP No 115)

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1601June 28, 2006

Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Brotherhood Securities Ltd (DP No 183)

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1602June 28, 2006

Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Razzak Securities Ltd (DP No 31)

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1603June 29, 2006

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Bangladesh Leaf Tobacco Co Ltd

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1604June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Tamizjuddin Textile Mills Ltd

1605June 14, 2006

Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Standard Ceramic Industries Ltd

1606June 21, 2006

Non-compliance of securities laws regarding execution of sale order of shares - Warning - to concerns of Engr. M.A. Rashid, Director, Peoples Insurance Co Ltd


May, 2006