Enforcement Action
December, 2014

November, 2014
Sl.NoDateSubjectCommission’s Decision
11November 5, 2014

Penalty Order : Non-compliance of Securities related Laws agains United Power Generation & Distribution Company Limited

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12November 5, 2014

Penalty Order : Non-compliance of Securities related Laws against  Lanka Bangla Investments Limited

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13November 5, 2014

Warning: Non-compliance of securities laws against Hoda Vasi Chowdhury & Co

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14November 10, 2014

Penalty Order : Non-compliance of Securities related Laws against Heritage Capital Management Ltd

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15November 10, 2014

Penalty Order : Non-compliance of Securities related Laws against First Securities Services Limited

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16November 10, 2014

Penalty Order : Non-compliance of Securities related Laws against Kazi Saifur Rahman

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17November 10, 2014

Warning: Non-compliance of securities laws against Nurun Nahar Begum

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18November 10, 2014

Warning: Non-compliance of securities laws against Sohel Securities Limited

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19November 10, 2014

Warning: Non-compliance of securities laws against Bangladesh Shilpa Bank.

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20November 10, 2014

Warning: Non-compliance of securities laws against Hosne Ara Khanam

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21November 10, 2014

Warning: Non-compliance of securities laws against Mr. Md. Shohel Rana

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22November 10, 2014

Warning: Non-compliance of securities laws against Mr. Md. Akram Uddin Chowdhury

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23November 10, 2014

Warning: Non-compliance of securities laws against Mr. Md. Ruhul Amin

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24November 16, 2014

Warning: Non-compliance of securities laws against SES Company Limited

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25November 17, 2014

Warning: Non-compliance of securities laws against PHP Stocks & Securities Limited

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26November 18, 2014

Warning: Non-compliance of securities laws against Sharp Securities Limited

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October, 2014

September, 2014

August, 2014
Sl.NoDateSubjectCommission’s Decision
38August 5, 2014

Warning: Non-compliance of Securities Laws.

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39August 5, 2014

Warning: Non-compliance of securities related laws.

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40August 18, 2014

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

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41August 24, 2014

Non-compliance of securities laws.-Warning.

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42August 24, 2014

Non-compliance of securities laws.-Warning.

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43August 24, 2014

Non-compliance of securities laws.-Warning.

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44August 24, 2014

Non-compliance of securities laws.-Warning.

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45August 24, 2014

Non-compliance of securities laws.-Warning.

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46August 24, 2014

Non-compliance of securities laws.-Warning.

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47August 24, 2014

Non-compliance of securities laws.-Warning.

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48August 24, 2014

Non-compliance of securities laws.-Warning.

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49August 24, 2014

Non-compliance of securities laws.-Warning.

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50August 24, 2014

Non-compliance of securities laws.-Warning.

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51August 24, 2014

Non-compliance of securities laws.-Warning.

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52August 24, 2014

Non-compliance of securities laws.-Warning.

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53August 25, 2014

Non-compliance of securities laws.-Warning.

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54August 25, 2014

Non-compliance of securities laws.-Warning.

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55August 25, 2014

Non-compliance of securities laws.-Warning.

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56August 31, 2014

Penelty Order : Non-compliance of Securities related Laws against  Mr Neamul Kabir

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57August 31, 2014

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

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July, 2014

June, 2014

May, 2014

April, 2014
Sl.NoDateSubjectCommission’s Decision
81April 1, 2014

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2013: Warning.

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82April 6, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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83April 6, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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84April 6, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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85April 13, 2014

Petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd

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86April 13, 2014

Review petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd

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87April 13, 2014

Review petition rejection: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd

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88April 15, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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89April 15, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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90April 15, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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91April 17, 2014

Review: Violation of wewa 4 (1) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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92April 17, 2014

Review: Violation of wewa 4 (1) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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93April 17, 2014

Review: Violation of wewa 4 (1) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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94April 21, 2014

Penalty Order: Non-compliance of Section 17 (e) (ii) (iii) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of RAHIMTEX, BANGAS, MITHUNKNIT and RENATA

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95April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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96April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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97April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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98April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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99April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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100April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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101April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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102April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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103April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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104April 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING

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105April 30, 2014

Reject of prayer for waiver of penalty

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106April 30, 2014

Reject of prayer for waiver of penalty

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107April 30, 2014

Penalty Order: Non-compliance of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) এর বিধি ৮ in connection with trading in shares of PF1STMF.

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108April 30, 2014

Penalty Order: Non-compliance of Section 17 (e) (ii) (v) of Securities and Exchange Ordinance, 1969 in connection with share trading of PF1STMF

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109April 30, 2014

Penalty Order: Non-compliance of Section 17 (e) (ii) (v) of Securities and Exchange Ordinance, 1969 in connection with share trading of RECKITTBEN

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110April 30, 2014

Penalty Order: Non-compliance of Commission’s সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) এর আচরণ বিধি ১, ২(২), ৬, ৮ in connection with trading in shares of PF1STMF

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111April 30, 2014

Penalty Order: Non compliance of Directive No. SEC/CMRRCD/2009-193/93 dated January 10, 2011 in connection with trading in shares of PF1STMF

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112April 30, 2014

Penalty Order: Non-compliance of Section 17 (e) (iii) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of PF1STMF

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March, 2014
Sl.NoDateSubjectCommission’s Decision
113March 4, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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114March 5, 2014

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

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115March 10, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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116March 10, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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117March 13, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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118March 13, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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119March 13, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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120March 13, 2014

Non-compliance of securities related laws. WARNING

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121March 18, 2014

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2013: Warning.

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122March 18, 2014

Non-compliance of the BSEC Circular No. SEC/CMRRCD/2001-50/121/Admin/ dated December 20, 2011: Disposal of the alleged matter. 

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123March 23, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter

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124March 23, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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125March 23, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter

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126March 23, 2014

Non-compliance of securities laws: Warning.

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127March 23, 2014

Non-compliance of securities laws: Warning.

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128March 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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129March 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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130March 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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131March 27, 2014

Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011: Disposal of the alleged matter.

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February, 2014

January, 2014
Sl.NoDateSubjectCommission’s Decision
137January 1, 2014

Penalty Order : Non-compliance of Securities related Laws against R. N Trading Limited.

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138January 9, 2014

Warning: Non-compliance of আচরণ বিধি নং ১ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of JMI Syringes & Medical Devices Ltd.

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139January 9, 2014

Disposal: Non-compliance of আচরণ বিধি নং ১ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of JMI Syringes & Medical Devices Ltd.

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140January 9, 2014

Disposal: Non-compliance of আচরণ বিধি নং ১ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of JMI Syringes & Medical Devices Ltd.

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141January 9, 2014

Disposal: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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142January 9, 2014

Disposal: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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143January 9, 2014

Disposal: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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144January 9, 2014

Disposal: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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145January 9, 2014

Disposal: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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146January 9, 2014

Warning: Non-compliance of Section 17 (e) (iii) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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147January 9, 2014

Warning: Non-compliance of Section 17 (e) (iii) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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148January 9, 2014

Warning: Non-compliance of Section 17 (e) (iii) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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149January 9, 2014

Disposal: Non-compliance of Section 17 (e) (iii) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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150January 9, 2014

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of JMI Syringes & Medical Devices Ltd

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151January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.

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152January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.

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153January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against Pioneer Shares & Securities Limited.

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154January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against Jalalabad Securities Limited.

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155January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against Tamha Securities Limited.

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156January 23, 2014

Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.

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157January 30, 2014

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd.

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158January 30, 2014

Penalty Order: Non compliance of Section 17 (e)(v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd.

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159January 30, 2014

Penalty Order: Non compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of CVO Petrochemical Refinery Ltd.

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December, 2013
Sl.NoDateSubjectCommission’s Decision
160December 1, 2013

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

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161December 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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162December 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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163December 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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164December 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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165December 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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166December 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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167December 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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168December 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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169December 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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170December 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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171December 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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172December 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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173December 31, 2013

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

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174December 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
182September 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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183September 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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184September 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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185September 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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186September 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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187September 4, 2013

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

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188September 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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189September 16, 2013

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

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190September 16, 2013

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

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191September 30, 2013

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

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August, 2013
Sl.NoDateSubjectCommission’s Decision
192August 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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193August 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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194August 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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195August 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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196August 20, 2013

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

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197August 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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198August 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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199August 29, 2013

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

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200August 29, 2013

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

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201August 29, 2013

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

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202August 29, 2013

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

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July, 2013
Sl.NoDateSubjectCommission’s Decision
203July 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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204July 16, 2013

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

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205July 16, 2013

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

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206July 16, 2013

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

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207July 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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208July 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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209July 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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210July 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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211July 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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212July 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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213July 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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214July 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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215July 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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216July 23, 2013

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

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217July 23, 2013

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

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218July 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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219July 24, 2013

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

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220July 24, 2013

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

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221July 25, 2013

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

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222July 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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223July 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
233May 2, 2013

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

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234May 2, 2013

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

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235May 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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236May 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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237May 28, 2013

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

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238May 28, 2013

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

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239May 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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240May 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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241May 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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242May 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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243May 30, 2013

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

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244May 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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245May 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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246May 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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247May 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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248May 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
249April 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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250April 7, 2013

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

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251April 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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252April 9, 2013

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

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253April 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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254April 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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255April 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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256April 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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257April 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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258April 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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259April 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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260April 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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261April 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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262April 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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263April 23, 2013

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

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264April 23, 2013

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

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265April 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
266March 7, 2013

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

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267March 7, 2013

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

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268March 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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269March 12, 2013

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

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270March 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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271March 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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272March 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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273March 12, 2013

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

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274March 12, 2013

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

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275March 12, 2013

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

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276March 12, 2013

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

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277March 12, 2013

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

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278March 12, 2013

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

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279March 12, 2015

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

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280March 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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281March 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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282March 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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283March 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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284March 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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285March 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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286March 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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287March 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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288March 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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289March 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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290March 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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291March 14, 2013

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

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292March 28, 2013

Payment of Penalty on the installment basis Ms.Shipra Paul

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293March 28, 2013

Payment of Penalty on the installment basis Ms.Sheuli Saha

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294March 28, 2013

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

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February, 2013
Sl.NoDateSubjectCommission’s Decision
295February 4, 2013

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

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296February 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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297February 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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298February 14, 2013

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

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299February 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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300February 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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301February 27, 2013

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

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302February 27, 2013

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

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303February 27, 2013

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

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304February 27, 2013

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

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305February 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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306February 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
307January 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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308January 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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309January 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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310January 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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311January 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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312January 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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313January 21, 2013

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

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314January 27, 2013

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

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315January 27, 2013

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

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316January 27, 2013

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

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317January 27, 2013

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

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318January 27, 2013

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

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319January 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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320January 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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321January 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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322January 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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323January 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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324January 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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325January 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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326January 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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327January 27, 2013

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

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328January 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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329January 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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330January 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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331January 27, 2013

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

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332January 27, 2013

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

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333January 28, 2013

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

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334January 30, 2013

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

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335January 31, 2013

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

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336January 31, 2013

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

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337January 31, 2013

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

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338January 31, 2013

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

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339January 31, 2013

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

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340January 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
341December 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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342December 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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343December 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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344December 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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345December 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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346December 24, 2012

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

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347December 26, 2012

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

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November, 2012
Sl.NoDateSubjectCommission’s Decision
348November 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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349November 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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350November 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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351November 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
359June 10, 2012

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

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360June 10, 2012

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

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361June 10, 2012

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

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362June 10, 2012

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

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363June 10, 2012

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

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364June 10, 2012

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

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365June 10, 2012

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

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366June 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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367June 10, 2012

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

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368June 10, 2012

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

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369June 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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370June 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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371June 10, 2012

Reduction of Penalty

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372June 10, 2012

Payment of Penalty amount on installment basis

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373June 12, 2012

Reduction of Penalty

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374June 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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375June 14, 2012

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

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376June 14, 2012

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

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377June 14, 2012

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

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378June 14, 2012

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

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379June 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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380June 17, 2012

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

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381June 27, 2012

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

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382June 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
383May 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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384May 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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385May 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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386May 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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387May 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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388May 28, 2012

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

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389May 28, 2012

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

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390May 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
391April 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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392April 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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393April 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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394April 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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395April 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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396April 10, 2012

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

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397April 10, 2012

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

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398April 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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399April 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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400April 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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401April 12, 2012

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

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402April 12, 2012

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

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403April 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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404April 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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405April 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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406April 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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407April 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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408April 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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409April 15, 2012

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

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410April 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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411April 15, 2012

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

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412April 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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413April 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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414April 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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415April 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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416April 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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417April 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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418April 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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419April 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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420April 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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421April 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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422April 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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423April 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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424April 22, 2012

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

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425April 22, 2012

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

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426April 22, 2012

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

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427April 22, 2012

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

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428April 22, 2012

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

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429April 22, 2012

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

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430April 24, 2012

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

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431April 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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432April 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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433April 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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434April 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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435April 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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436April 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
437March 4, 2012

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

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438March 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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439March 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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440March 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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441March 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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442March 15, 2012

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

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443March 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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444March 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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445March 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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446March 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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447March 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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448March 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
464December 1, 2011

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

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465December 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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466December 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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467December 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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468December 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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469December 1, 2011

Reduction of Penalty.

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470December 1, 2011

Rejection of review petition.

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471December 1, 2011

Rejection of review petition.

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472December 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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473December 5, 2011

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

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474December 5, 2011

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

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475December 5, 2011

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

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476December 5, 2011

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

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477December 5, 2011

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

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478December 8, 2011

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

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479December 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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480December 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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481December 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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482December 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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483December 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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484December 8, 2011

Reduction of Penalty.

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485December 8, 2011

Reduction of Penalty.

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486December 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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487December 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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488December 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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489December 8, 2011

Reduction of Penalty.

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490December 8, 2011

Reduction of Penalty.

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491December 8, 2011

Reduction of Penalty.

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492December 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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493December 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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494December 19, 2011

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

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495December 19, 2011

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

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496December 19, 2011

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

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497December 19, 2011

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

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498December 20, 2011

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

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499December 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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500December 21, 2011

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

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501December 21, 2011

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

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502December 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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503December 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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504December 27, 2011

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

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505December 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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506December 28, 2011

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

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507December 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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508December 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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509December 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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510December 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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511December 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
524September 6, 2011

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

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525September 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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526September 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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527September 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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528September 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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529September 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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530September 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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531September 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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532September 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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533September 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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534September 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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535September 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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536September 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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537September 15, 2011

PENAL ORDER: Regarding Violation of Securities related laws.

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538September 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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539September 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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540September 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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541September 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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542September 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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543September 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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544September 18, 2011

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

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545September 18, 2011

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

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546September 18, 2011

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

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547September 18, 2011

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

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548September 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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549September 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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550September 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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551September 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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552September 20, 2011

Non-compliance of securities laws: Warning.

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553September 21, 2011

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

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554September 21, 2011

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

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555September 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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556September 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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557September 25, 2011

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

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558September 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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559September 26, 2011

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

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560September 29, 2011

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

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August, 2011
Sl.NoDateSubjectCommission’s Decision
561August 2, 2011

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

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562August 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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563August 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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564August 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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565August 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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566August 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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567August 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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568August 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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569August 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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570August 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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571August 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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572August 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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573August 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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574August 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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575August 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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576August 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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577August 16, 2011

Non-compliance of securities laws: Warning

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578August 16, 2011

Non-compliance of securities laws: Warning

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579August 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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580August 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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581August 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
587June 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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588June 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.

589June 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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590June 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.

591June 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.

592June 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.

593June 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.

594June 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.

595June 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.

596June 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.

597June 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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598June 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.

599June 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.

600June 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.

601June 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.

602June 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.

603June 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.

604June 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.

605June 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.

606June 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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607June 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.

608June 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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609June 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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610June 27, 2011

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

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611June 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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612June 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.

613June 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.

614June 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.

615June 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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616June 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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617June 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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618June 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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619June 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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620June 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
631February 7, 2011

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

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632February 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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633February 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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634February 10, 2011

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

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635February 10, 2011

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

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636February 10, 2011

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

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637February 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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638February 27, 2011

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

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639February 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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640February 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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641February 28, 2011

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

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642February 28, 2011

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

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643February 28, 2011

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

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January, 2011
Sl.NoDateSubjectCommission’s Decision
644January 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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645January 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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646January 12, 2011

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

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647January 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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648January 16, 2011

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

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649January 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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650January 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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651January 26, 2011

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

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652January 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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653January 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
654December 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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655December 7, 2010

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

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656December 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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657December 15, 2010

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

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658December 19, 2010

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

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659December 19, 2010

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

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660December 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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661December 21, 2010

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

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662December 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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663December 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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664December 23, 2010

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

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665December 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
673October 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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674October 4, 2010

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

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675October 4, 2010

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

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676October 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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677October 11, 2010

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

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678October 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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679October 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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680October 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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681October 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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682October 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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683October 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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684October 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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685October 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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686October 21, 2010

Warning: non compliance of securities laws to IIDFC capital Ltd

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687October 21, 2010

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

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688October 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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689October 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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690October 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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691October 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
692September 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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693September 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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694September 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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695September 6, 2010

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

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696September 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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697September 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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698September 14, 2010

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

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699September 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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700September 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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701September 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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702September 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
703August 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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704August 2, 2010

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

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705August 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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706August 8, 2010

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

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707August 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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708August 12, 2010

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

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709August 23, 2010

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

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710August 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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711August 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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712August 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
713July 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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714June 4, 2010

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

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715July 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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716July 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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717July 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

718July 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

719July 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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720July 12, 2010

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

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721July 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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722July 15, 2010

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

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723July 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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724July 22, 2010

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

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725July 22, 2010

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

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726July 25, 2010

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

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727July 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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728July 26, 2010

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

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729July 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
730June 1, 2010

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

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731June 2, 2010

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

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732June 2, 2010

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

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733June 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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734June 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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735June 6, 2010

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

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736June 7, 2010

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

737June 7, 2010

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

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738June 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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739June 9, 2010

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

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740June 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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741June 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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742June 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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743June 14, 2010

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

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744June 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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745June 17, 2010

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

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746June 17, 2010

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

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747June 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

Click to View

748June 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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749June 21, 2010

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

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750June 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

751June 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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752June 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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753June 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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754June 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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755June 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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756June 29, 2010

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

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757June 29, 2010

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

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758June 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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759June 30, 2010

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

760June 30, 2010

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


May, 2010
Sl.NoDateSubjectCommission’s Decision
761May 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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762May 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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763May 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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764May 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

Click to View

765May 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

Click to View

766May 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

Click to View

767May 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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768May 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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769May 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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770May 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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771May 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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772May 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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773May 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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774May 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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775May 20, 2010

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

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776May 26, 2010

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

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777May 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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778May 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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779May 31, 2010

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

Click to View

780May 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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781May 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
782April 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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783April 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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784April 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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785April 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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786April 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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787April 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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788April 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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789April 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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790April 21, 2010

Ordered to concerned of Bangladesh Zipper industry Ltd. 

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791April 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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792April 22, 2010

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

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793April 22, 2010

Order to Bangladesh Luggage Industry Ltd

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794April 25, 2010

Order to Bangladesh Leaf Tobacco Co. Ltd

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795April 27, 2010

Order to M/s Mowla Mohammad & Co

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796April 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

Click to View


March, 2010

February, 2010
Sl.NoDateSubjectCommission’s Decision
799February 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)

800February 9, 2010

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

801February 9, 2010

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

802February 9, 2010

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

803February 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)

804February 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)

805February 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)

806February 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)

807February 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)

808February 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)

809February 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)

810February 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)

811February 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)

812February 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)

813February 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)

814February 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)

815February 15, 2010

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

816February 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)

817February 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)

818February 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)

819February 17, 2010

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

820February 17, 2010

Order : Sonali Ansh Industries

821February 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.)

822February 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.)

823February 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.)

824February 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)

825February 23, 2010

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

826February 23, 2010

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

827February 23, 2010

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

828February 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

829February 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}

830February 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)

831February 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 )

832February 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)

833February 22, 2010

Order : Metalex Corporation

834February 22, 2010

Order : Fahad Industries Limited

835February 23, 2010

Order : Pharmaco International Limited

836February 23, 2010

Order : Chictex Limited

837February 23, 2010

Order : Rose Heaven Ballpen Limited

838February 23, 2010

Order : Khawja Mosaic Tiles and Stone Industries Limited

839February 24, 2010

Order : Raspit Data Management and Telecommunications Limited

840February 24, 2010

Order : Tulip Dairy and Food Products Limited

841February 24, 2010

Order : Raspit Inc (BD) Limited

842February 24, 2010

Order : M.Hossain Garments Washing and Dying Limited

843February 24, 2010

Order : Jamuna Oil Company Limited

844February 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)

845February 25, 2010

Order : Sajib Knitware and Garments Limited

846February 25, 2010

Order : Meghna Petroleum Limited

847February 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)

848February 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)

849February 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)

850February 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
851January 3, 2010

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

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852January 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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853January 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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854January 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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855January 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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856January 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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857January 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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858January 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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859January 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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860January 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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861January 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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862January 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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863January 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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864January 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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865January 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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866January 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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867January 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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868January 3, 2010

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

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869January 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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870January 4, 2010

Order : Wata Chemicals Limited

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871January 4, 2010

Order : Raspit Data management and Telecommunication Ltd.

872January 4, 2010

Order : Saleh Carpet Mills Ltd.

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873January 4, 2010

Order : Raspit Ink (DB) Ltd.

874January 4, 2010

Order : Chictex ltd.

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875January 5, 2010

Order : Sajib Knit ware and Garments Ltd

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876January 5, 2010

Order : Pharmaco International Ltd.

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877January 5, 2010

Order : Quasem Silk Mills Ltd.

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878January 5, 2010

Order : Quasem Textile Mills Ltd.

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879January 5, 2010

Order : Rahman Chemical Ltd.

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880January 5, 2010

Order : Sripur Textile Mills Ltd.

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881January 5, 2010

Order : Metalex Corporation Ltd.

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882January 10, 2010

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

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883January 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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884January 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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885January 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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886January 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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887January 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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888January 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.)

889January 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.)

890January 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.)

891January 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.)

892January 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.)

893January 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.)

894January 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.)

895January 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.)

896January 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. )

897January 10, 2010

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

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898January 18, 2010

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

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899January 18, 2010

Order : Saad Securities Ltd

900January 25, 2010

Order : Niloy Cement Industries Ltd

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901January 26, 2010

Order : Alfa Tobacco Manufacturing Ltd

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902January 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)

903January 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)

904January 26, 2010

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

905January 26, 2010

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

906January 26, 2010

Order : Bionic Seafood Export Ltd.

907January 26, 2010

Order : Beach Hatchery Ltd.

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908January 26, 2010

Order : Sreepur Textile Mills Ltd.

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909January 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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910January 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
911December 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.)

912December 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)

913December 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)

914December 10, 2009

Order : Bangladesh Electricity Meter Company limited

915December 14, 2009

Order : Wata Chemicals Limited

916December 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)

917December 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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918December 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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919December 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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920December 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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921December 29, 2009

Order : Managing Director - Uttara Bank Limited.

922December 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.

923December 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

924December 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

925December 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

926December 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

927December 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

928December 31, 2009

Order : Rose Heaven Ball pen Ltd


November, 2009
Sl.NoDateSubjectCommission’s Decision
929November 1, 2009

Order to Perto Synthetic Products Limited

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930November 1, 2009

Order to Al-Muntaha Trading Co.Ltd

931November 3, 2009

Order to Arafat securities Limited

932November 3, 2009

Order to Quashem Textile Mills Limited

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933November 3, 2009

Order to Quashem Silk Mills Limited 

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934November 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

935November 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

936November 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

937November 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

938November 18, 2009

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

939November 25, 2009

Order: Prime Textile Spinning Mills Limited

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940November 25, 2009

Order : Bangladesh Dyeing and Finishing Industries Ltd

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941November 26, 2009

Order : Dandy Dyeing Limited.

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October, 2009
Sl.NoDateSubjectCommission’s Decision
942October 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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943October 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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944October 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.

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945October 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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946October 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.

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947October 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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948October 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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949October 15, 2009

Order to Mak paper Industries.

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950October 15, 2009

Order to Dandy Dying Limited.

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951October 19, 2009

Order to Arafat Securities Limited.

952October 22, 2009

Order to Mona Food Industries Ltd.

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953October 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

954October 22, 2009

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

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955October 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.

956October 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.

957October 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.

958October 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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959October 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
963August 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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964August 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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965August 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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966August 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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967August 23, 2009

Order to concerns of  Bangladesh Chemical Industries Limited.

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968August 23, 2009

Order to concerns of Bangladesh Zipper Industries Limited.

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969August 23, 2009

Order to concerns of Bangladesh Luggage Industries Limited.

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970August 24, 2009

Order to concerns of Saleh Carpet Mills Limited.

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971August 25, 2009

Order to concerns of Sonali Aansh Industries Limited.

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972August 27, 2009

Order to concerns of  Mona Food Industry Limited.

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973August 31, 2009

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

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July, 2009
Sl.NoDateSubjectCommission’s Decision
974July 1, 2009

Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd

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975July 5, 2009

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

976July 5, 2009

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

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977July 5, 2009

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

978July 5, 2009

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

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979July 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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980July 8, 2009

Order to concerns of Alpha Tobacco Manufacturing Ltd

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981July 8, 2009

Order to concerns of Bionic Seafood Exports Ltd

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982July 8, 2009

Order to concerns of M. Securities Ltd

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983July 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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984July 12, 2012

Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd

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985July 14, 2009

Order to concerns of Excelsior Shoes Ltd

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986July 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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987July 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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988July 15, 2009

Order to concerns of Mona Food Industries Ltd

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989July 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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990July 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.

991July 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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992July 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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993July 15, 2009

Order to concerns of M Hossain Garments Washing & Dyeing Ltd

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994July 16, 2009

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

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995July 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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996July 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.

997July 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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998July 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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999July 16, 2009

Order to concerns of Excelsior Shoes Ltd

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1000July 19, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1001July 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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1002July 21, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1003July 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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1004July 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
1012May 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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1013May 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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1014May 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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1015May 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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1016May 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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1017May 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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1018May 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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1019May 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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1020May 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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1021May 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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1022May 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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1023May 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
1024April 8, 2009

Order to concerns of Raspit Data Management and Telecommunications Ltd

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1025April 8, 2009

Order to concerns of Raspit Inc(BD) Ltd

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1026April 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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1027April 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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1028April 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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1029April 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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1030April 21, 2009

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

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1031April 23, 2009

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

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1032April 26, 2009

Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.

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1033April 26, 2009

Order to concerns of Bangladesh Zipper Industries Ltd.

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1034April 26, 2009

Order to concerns of Bangladesh Luggage  Industries Ltd.

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1035April 28, 2009

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

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1036April 28, 2009

Order to concerns of Bangladesh Dyeing and Finishing  Industries Ltd.

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March, 2009

February, 2009
Sl.NoDateSubjectCommission’s Decision
1046February 4, 2009

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

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1047February 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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1048February 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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1049February 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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1050February 9, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1051February 9, 2009

Order to concerns of Maq Enterprises Ltd  

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1052February 9, 2009

Order to concerns of Metalex Corporation Ltd  

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1053February 9, 2009

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

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1054February 9, 2009

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

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1055February 9, 2009

Order to concerns of Arbi Textiles Ltd

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1056February 9, 2009

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

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1057February 9, 2009

Order to concerns of Saleh Carpet Mills Ltd  

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1058February 9, 2009

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

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1059February 18, 2009

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

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1060February 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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1061February 23, 2009

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

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1062February 23, 2009

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

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1063February 24, 2009

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

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1064February 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
1065January 5, 2009

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

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1066January 6, 2009

Waiver of additional penalty on concerns of Lexco Limited

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1067January 6, 2009

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

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1068January 6, 2009

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

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1069January 12, 2009

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

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1070January 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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1071January 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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1072January 13, 2009

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

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1073January 13, 2009

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

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1074January 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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1075January 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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1076January 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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1077January 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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1078January 14, 2009

Order to concerns of Shajib Neatware and Garments Ltd

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1079January 14, 2009

Order to concerns of Pharmaco International Ltd

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1080January 19, 2009

Directive  to concerns of Dynamic Textile Industries Ltd

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1081January 19, 2009

Directive to concerns of Quasem Silk Mills Ltd

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1082January 19, 2009

Directive to concerns of Quasem Textile Mills Ltd

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1083January 19, 2009

Directive to concerns of Phoenix Leather Complex Ltd

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1084January 19, 2009

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

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1085January 18, 2009

Order to  to concerns of Maq Enterprise  Ltd

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1086January 25, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1087January 25, 2009

Order to concerns of Raspit data management and telecommunications Ltd

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1088January 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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1089January 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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1090January 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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1091January 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
1092December 1, 2008

Order to Salam & Company Limited, DSE Member-190

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1093December 1, 2008

Order to Hedayet Ullah Securities Limited, DSE Member-140

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1094December 1, 2008

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

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1095December 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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1096December 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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1097December 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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1098December 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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1099December 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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1100December 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
1101November 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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1102November 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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1103November 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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1104November 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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1105November 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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1106November 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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1107November 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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1108November 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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1109November 27, 2008

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

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1110November 30, 2008

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

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October, 2008
Sl.NoDateSubjectCommission’s Decision
1111October 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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1112October 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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1113October 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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1114October 5, 2008

Order to Directors of Rupali Insurance Company Limited

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1115October 5, 2008

Directive to Rupali Insurance Company Limited

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1116October 5, 2008

Order to  concerns of Fine Foods Limited

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1117October 6, 2008

Order to concerns of Mac Paper Industries Limited

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1118October 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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1119October 6, 2008

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

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1120October 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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1121October 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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1122October 12, 2008

About waiver of penalty on concerns of Advanced Chemical Industries Limited

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1123October 12, 2008

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

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1124October 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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1125October 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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1126October 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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1127October 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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1128October 13, 2008

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

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1129October 14, 2008

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

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1130October 14, 2008

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

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1131October 14, 2008

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

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1132October 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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1133October 23, 2008

Order to First Securities Services Limited(Merchant Banker)

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1134October 23, 2008

Order to Raspit Securities and Management Limited(Merchant Banker)

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1135October 29, 2008

To CEO, CSE to take steps on securities laws violations.

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1136October 29, 2008

Correction of order on Bangladesh Luggage Industries limited

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September, 2008
Sl.NoDateSubjectCommission’s Decision
1137September 3, 2008

Warning  to concerns of Rupali Bank Limited(Issuer)i for non-compliance of securities laws.

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1138September 3, 2008

Warning  to concerns of Al-Muntaha Trading Co.Limited(Stock Broker) for non-compliance of securities laws.

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1139September 4, 2008

Warning  to concerns of Anwar Securities Limited(DP-92)i for non-compliance of securities laws.

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1140September 4, 2008

Warning  to concerns of Total Communication Limited(DP-187) for non-compliance of securities laws.

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1141September 4, 2008

Warning  to concerns of SES Company Limited(DP-34) for non-compliance of securities laws.

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1142September 4, 2008

Warning  to concerns of LankaBangla Securities Limited(DP-50) for non-compliance of securities laws.

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1143September 4, 2008

Warning  to concerns of Tariq Ibrahim & Co.(DP-90) for non-compliance of securities laws.

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1144September 7, 2008

Order to concerns of Excelsior Shoes Limited

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1145September 7, 2008

Order to concerns of M/s Mark & Co. CA Firm

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1146September 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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1147September 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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1148September 9, 2008

Warning  to concerns of Delta Brac Housing Finance Corporation  Limited in connection with non-compliance of securities laws.

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1149September 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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1150September 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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1151September 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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1152September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1215)

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1153September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1207)

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1154September 15, 2008

Waiver of penalty on concerns of Fareast Islami Life Insurance Company Limited(Issuer)

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1155September 15, 2008

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

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1156September 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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1157September 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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1158September 22, 2008

Warning  to concerns of Popular Life Insurance Company Limited in connection with non-compliance of securities laws

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1159September 22, 2008

Order to concerns of Bangladesh Hotels Limited

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1160September 24, 2008

Order to concerns of Popular Life Insurance Company Limited

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1161September 24, 2008

Order to concerns of Tamizuddin Textile Mills Limited

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August, 2008
Sl.NoDateSubjectCommission’s Decision
1162August 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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1163August 14, 2008

Waiver of penalty on Ms Hosne Ara Aziz, Sponsor of The City bank Limited

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1164August 14, 2008

Waiver of penalty on Mr. Shabib Uddin, Shareholder Director of Merchantile Insurance Company Limited(Issuer)

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1165August 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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1166August 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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1167August 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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1168August 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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1169August 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.

1170August 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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1171August 20, 2008

Order to directors of One Bank Limited

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1172August 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.

1173August 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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1174August 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
1181June 3, 2008

Warning  to concerns of Holy City Securities Ltd for non-compliance of securities laws.

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1182June 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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1183June 11, 2008

Related to application for waiver of penalty by Country Stock (Bangladesh) Ltd

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1184June 11, 2008

Related to application for waiver of penalty by ARC Securities Ltd

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1185June 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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1186June 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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1187June 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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1188June 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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1189June 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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1190June 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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1191June 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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1192June 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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1193June 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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1194June 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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1195June 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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1196June 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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1197June 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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1198June 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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1199June 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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1200June 22, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1201June 22, 2008

Order to concerns of Chictex Ltd

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1202June 22, 2008

Order to concerns of Raspit Data Management and Telecommunication Ltd

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1203June 23, 2008

Warning  to concerns of IDLC Finance Ltd  for non-compliance of securities laws.

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1204June 23, 2008

Warning  to concerns of Salta Capital Ltd  for non-compliance of securities laws.

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1205June 23, 2008

Warning  to Mrs. Kawsar Jahan Farida Begum, Sponsor Director of Sandhani Life Insurance Co. Ltd  for non-compliance of securities laws.

1206June 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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1207June 24, 2008

Order to Mr. Mohammad Shahib Uddin, Shareholder Director of Mercantile Insurance Company  Ltd

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1208June 24, 2008

Order to Mrs Hosne Ara Aziz, Sponsor of The City Bank Ltd

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1209June 26, 2008

Order to concerns of Saleh Carpet Mills Ltd

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1210June 26, 2008

Order to concerns of Rose Heaven Ballpen Ltd

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May, 2008
Sl.NoDateSubjectCommission’s Decision
1211May 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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1212May 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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1213May 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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1214June 20, 2008

Order to Dr. Ashraf Salehin, Capital Bangladesh

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1215May 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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1216May 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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1217May 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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1218May 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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1219May 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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1220May 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
1235March 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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1236March 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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1237March 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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1238March 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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1239March 3, 2008

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

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1240March 3, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1241March 3, 2008

Order to concerns of Mercantile Bank Ltd

1242March 3, 2008

Order to concerns of Advanced Chemical Industries Ltd

1243March 4, 2008

Order to concerns of Raspit Data Management and Telecommunication  Ltd

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1244March 4, 2008

Order to concerns of Chictex Ltd

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1245March 25, 2008

Warning to concerns of Western Security Investment Management Ltd for non-compliance of securities laws

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1246March 25, 2008

Waiver of penalty to concerns of Fareast Islami Life Insurance Company Ltd

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1247March 27, 2008

Order to concerns of Pharmaco International Ltd

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1248March 31, 2008

Order to concerns of Fareast Islami Life Insuranec Company Ltd

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February, 2008

January, 2008
Sl.NoDateSubjectCommission’s Decision
1254January 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)

1255January 8, 2008

Order - to concerns of Globe Securities Ltd Stock Dealer/DP DSE M#189 (SEC/Enforcement/616/2007/30)

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1256January 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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1257January 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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1258January 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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1259January 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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1260January 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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1261January 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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1262January 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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1263January 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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1264January 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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1265January 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
1266December 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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1267December 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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1268December 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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1269December 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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1270December 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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1271December 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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1272December 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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1273December 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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1274December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/607/2007/1212-1215)

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1275December 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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1276December 18, 2007

Order - to concerns of Wata Chemicals Ltd (SEC/Enforcement/626/2007/1232-1238)

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1277December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/39/2001/1243-1246)

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1278December 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
1281October 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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1282October 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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1283October 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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1284October 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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1285October 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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1286October 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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1287October 8, 2007

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Al-Arafah Islami Bank Limited

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1288October 9, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

1289October 11, 2007

Order - to concerns of Raspit Data Management & Telecommunications Limited ((SEC/Enforcement/594/2007/1124-1126))

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1290October 11, 2007

Order - to concerns of Raspit Inc (BD) Ltd (SEC/Enforcement/593/2007/1130-1132)

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1291October 24, 2007

Order - to concerns of Legacy Footwear Limited

1292October 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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1293October 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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1294October 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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1295October 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
1296September 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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1297September 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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1298September 3, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

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1299September 3, 2007

Order - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1300September 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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1301September 6, 2007

Order - to concerns of Gachihata Aqua Culture Farms Limited

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1302September 6, 2007

Order - to concerns of Meghna Condensed Milk Industries Limited

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1303September 6, 2007

Order - to concerns of Meghna PET Industries Limited

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1304September 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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1305September 9, 2007

Order - to concerns of Bangladesh Luggage Industries Limited

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1306September 10, 2007

Order - to concerns of Bangladesh Zipper Industries Limited

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1307September 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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1308September 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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1309September 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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1310September 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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1311September 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
1312August 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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1313August 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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1314August 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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1315August 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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1316August 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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1317August 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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1318August 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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1319August 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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1320August 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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1321August 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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1322August 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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1323August 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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1324August 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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1325August 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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1326August 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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1327August 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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1328August 15, 2007

Order - to concerns of M/s Sarwar salamot & Co Chartered Accountants

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1329August 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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1330August 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
1331July 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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1332July 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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1333July 2, 2007

Directive - to oncerns of Sreepur Textile Mills Limited

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1334July 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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1335July 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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1336July 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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1337July 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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1338July 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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1339July 5, 2007

Alleged non-compliance of securities law in connection with the IPO: Warning - to concerns of Jamuna Bank Limited

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1340July 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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1341July 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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1342July 10, 2007

Order - to concerns of Rose Heaven Ball Pen Limited

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1343July 11, 2007

Order - to concerns of Chictex Limited

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1344July 11, 2007

Order - to concerns of Quashem Silk Mills Limited

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1345July 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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1346July 16, 2007

Order - to concerns of Wonderland Toys Limited

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1347July 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)

1348July 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)

1349July 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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1350July 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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1351July 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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1352July 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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1353July 26, 2007

Order - concerns of Saleh Carpet Mills Limited

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1354July 26, 2007

Order - concerns of Raspit Inc (BD) Limited

1355July 26, 2007

Order - concerns of Chittagong Vegetable Oil Limited

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1356July 26, 2007

Order - concerns of  Ibrahim Securities  Limited DSE M# 33

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June, 2007
Sl.NoDateSubjectCommission’s Decision
1357June 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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1358June 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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1359June 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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1360June 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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1361June 11, 2007

Non-compliance of securities law concerning payment of declared dividend : Warning - to concerns of Anlima Yarn Dyeing Limited

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1362June 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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1363June 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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1364June 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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1365June 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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1366June 24, 2007

Order - to concern of Ms Nasrin Akter Chowdhury

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1367June 24, 2007

Order - to concern of Ms Tasnim Akter Chowdhury

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1368June 24, 2007

Order - to concern of Alhajj Nur Mohammad

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1369June 24, 2007

Order - to concerns of Dhaka Insurance Limited

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1370June 24, 2007

Order - to concerns of Standard Group Limited

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1371June 24, 2007

Order - to concerns of Standard Stitches Limited

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1372June 24, 2007

Order - to concerns of Amotex Limited

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1373June 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
1374March 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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1375March 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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1376March 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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1377March 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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1378March 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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1379March 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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1380March 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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1381March 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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1382July 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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1383September 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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1384May 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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1385May 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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1386May 17, 2007

Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited

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1387May 17, 2007

Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited

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1388May 17, 2007

Order - to concern of Mr Minhaz Bin Kamal Director M Hossain Garments Washing & Dyeing Limited

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1389May 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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1390May 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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1391May 20, 2007

Order - to concern of Mr Alhaj Abdul Motin Director Lexco Limited

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1392May 20, 2007

Order - to concern of Mr Hamiduddin Ahmed Director Lexco Limited

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1393May 20, 2007

Order - to concern of Mr Mustafa Shah Ali Newaz Director Lexco Limited

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1394May 20, 2007

Order - to concern of Mr Udoy Kumar Bhakto Director Lexco Limited

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1395May 20, 2007

Order - to concern of Mr Fazlur Rahman Director Lexco Limited

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1396May 20, 2007

Order - to concern of Mr Md Shahjahan Managing Director Sajib Knitwear & Garments Limited

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1397May 20, 2007

Order - to concern of Ms Selina Afroz Director Sajib Knitwear & Garments Limited

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1398May 20, 2007

Order - to concern of Ms Shafia Khatun Director Sajib Knitwear & Garments Limited

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1399May 20, 2007

Order - to concern of Mr Md Shakhawat Hossain (Sajib) Director Sajib Knitwear & Garments Limited

1400May 20, 2007

Order - to concern of Mr Abdul Matlub Ahmad Managing Director Niloy Cement Industries Limited

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1401May 20, 2007

Order - to concern of Mr Humayun Kabir Khondaker Director Niloy Cement Industries Limited

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1402May 21, 2007

Order - to concern of Ms Selina Ahmah Director Niloy Cement Industries Limited

1403May 21, 2007

Order - to concern of Mr Abdul Musabbir Ahmad Director Niloy Cement Industries Limited

1404May 21, 2007

Order - to concern of Mr Md Anwar Hossain Director Niloy Cement Industries Limited

1405May 21, 2007

Order - to concern of Mr Md Altaf Hossain Director Niloy Cement Industries Limited

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1406May 21, 2007

Order - to concern of Mr S A Quashem Director Niloy Cement Industries Limited

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1407May 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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1408May 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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1409May 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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1410May 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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1411May 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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1412May 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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1413May 22, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/547)

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1414May 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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1415May 22, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/545)

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1416May 22, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/544)

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1417May 22, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/555)

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1418May 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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1419May 22, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/553)

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1420May 22, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/552)

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1421May 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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1422May 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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1423May 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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1424May 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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1425May 24, 2007

Order - to concern of Mr Dewkinandan Kejriwal Managing Director Bangladesh Luggage Industries Limited

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1426May 24, 2007

Order - to concern of Ms Kanchan Kejriwal Director Bangladesh Luggage Industries Limited

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1427May 24, 2007

Order - to concern of Ms Kanchan Devi Kejriwal Director Bangladesh Luggage Industries Limited

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1428May 24, 2007

Order - to concern of Ms Vogoboti Kejriwal Director Bangladesh Luggage Industries Limited

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1429May 24, 2007

Order - to concern of Mr Uttom Kejriwal Director Bangladesh Luggage Industries Limited

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1430May 24, 2007

Order - to concern of Mr Ashok Kejriwal Director Bangladesh Luggage Industries Limited

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1431May 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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1432May 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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1433May 28, 2007

Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/591)

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1434May 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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1435May 28, 2007

Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/593)

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1436May 28, 2007

Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/594)

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1437May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/599)

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1438May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/600)

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1439May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/601)

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1440May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/602)

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1441May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/607)

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1442May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/608)

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1443May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/609)

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1444May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/610)

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1445May 28, 2007

Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/615)

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1446May 28, 2007

Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/616)

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1447May 28, 2007

Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/617)

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1448May 28, 2007

Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/618)

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1449May 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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1450May 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
1451April 23, 2007

Order - to concern of Mrs Selina Begum Director Quasem Silk Mills Limited

1452April 23, 2007

Order - to concern of Mrs Khadiza Shamim Director Quasem Silk Mills Limited

1453April 23, 2007

Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Silk Mills Limited

1454April 23, 2007

Order - to concern of Mrs Selina Begum Director Quasem Textile Mills Limited

1455April 23, 2007

Order - to concern of Mrs Khadiza Shamim Director Quasem Textile Mills Limited

1456April 23, 2007

Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Textile Mills Limited

1457April 23, 2007

Order - to concern of Mr Shafiqur Rahman Director Sreepur Textile Mills Limited

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1458April 23, 2007

Order - to concern of Mr C H Mahtab Uddin Director Sreepur Textile Mills Limited

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1459April 23, 2007

Order - to concern of Mr A R Malik Director Sreepur Textile Mills Limited

1460April 23, 2007

Order - to concern of Mr A Ahmed Yousuf Chairman & Managing Director Sreepur Textile Mills Limited

1461April 23, 2007

Order - to concern of Mr Prof Dr Nurul Haque Director Sreepur Textile Mills Limited

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1462April 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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1463April 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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1464April 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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1465November 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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1466April 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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1467April 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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1468April 15, 2007

Your petition for payment of remaining penalty through installments - to concern of Mrs Afia Banu Director Rupan Oil & Feeds Limited

1469April 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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1470October 4, 2007

Waiver of penalty - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1471October 4, 2007

Waiver of penalty - to concerns of Bangladesh Zipper Industries Limited

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1472September 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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1473September 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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1474August 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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1475April 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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1476April 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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1477April 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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1478April 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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1479April 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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1480April 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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1481April 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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1482April 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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1483April 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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1484April 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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1485April 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
1486March 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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1487March 1, 2007

Order - to concern of Mr AKMA Motin Managing Director Pharmaco International Limited

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1488March 5, 2007

Order - to concern of Mr Dewkinandan Kejriwal Managing Director BD Dyeing & Finishing Industries Limited

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1489March 5, 2007

Order - to concern of Mrs Kanchan  Kejriwal Director BD Dyeing & Finishing Industries Limited

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1490March 5, 2007

Order - to concern of Mrs Kanchan Devi Kejriwal Director BD Dyeing & Finishing Industries Limited

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1491March 5, 2007

Order - to concern of Mrs Vogoboti  Kejriwal Director BD Dyeing & Finishing Industries Limited

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1492March 5, 2007

Order - to concern of Mr Uttom Kejriwal Director BD Dyeing & Finishing Industries Limited

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1493March 5, 2007

Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Finishing Industries Limited

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1494March 15, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Director Raspit Inc BD Limited

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1495March 15, 2007

Order - to concern of Mr Md Habibul Alom Managing Director Raspit Inc BD Limited

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1496March 15, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Inc BD Limited

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1497March 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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1498March 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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1499March 29, 2007

Order - to concern of Mrs Nasima Ahmed Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/326)

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1500March 1, 2007

Order - to concern of Mrs Rashida Motin Director Pharmaco International Limited

1501March 1, 2007

Order - to concern of Mr Zomiruddin Director Pharmaco International Limited

1502March 1, 2007

Order - to concern of Mr AKMA Batin Director Pharmaco International Limited

1503March 1, 2007

Order - to concern of Mr AKMA Basit Director Pharmaco International Limited

1504March 29, 2007

Order - to concern of Mr  Nazrul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/324)

1505March 29, 2007

Order - to concern of Mr Shafiqur Rahman Chowdhury Managing Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/325)

1506March 29, 2007

Order - to concern of Mrs Maksuda Khatun Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/327)

1507March 29, 2007

Order - to concern of Mr Motiur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/328)

1508March 29, 2007

Order - to concern of Mrs Shafina Rahman Rupa Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/329)

1509March 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
1510February 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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1511February 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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1512February 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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1513February 4, 2007

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Libra Infusions Limited

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1514February 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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1515February 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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1516February 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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1517February 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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1518February 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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1519February 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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1520February 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

1521February 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

1522February 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

1523February 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

1524February 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
1525January 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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1526January 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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1527January 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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1528January 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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1529January 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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1530January 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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1531January 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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1532January 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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1533January 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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1534January 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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1535January 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
1536December 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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1537December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal MD BD Chemical Industries Ltd

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1538December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Chemical Industries Ltd

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1539December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Chemical Industries Ltd

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1540December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director BD Chemical Industries Ltd

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1541December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director BD Chemical Industries Ltd

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1542December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director BD Chemical Industries Ltd

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1543December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal  MD BD Dyeing & Finishing Industries Ltd

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1544December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Dyeing & Industries Ltd

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1545December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director  BD Dyeing & Industries Ltd

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1546December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director  BD Dyeing & Industries Ltd

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1547December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director  BD Dyeing & Industries Ltd

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1548December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director  BD Dyeing & Industries Ltd

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1549December 19, 2006

Order - to concern of Mr Dewki Nandan Kejriwal  MD BD Zipper Finishing Industries Ltd

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1550December 19, 2006

Order - to concern of Mrs Kachan  Kejriwal Director  BD Zipper Industries Ltd

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1551December 19, 2006

Order - to concern of Mrs Kanchan Debi Kejriwal Director  BD Zipper Industries Ltd

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1552December 19, 2006

Order - to concern of Mrs Vagoboti Kejriwal Director  BD Zipper Industries Ltd

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1553December 19, 2006

Order - to concern of Mr Uttaom Kejriwal Director  BD Zipper Industries Ltd

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1554December 19, 2006

Order - to concern of Mr Ashok Kejriwal Director  BD Zipper Industries Ltd

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November, 2006
Sl.NoDateSubjectCommission’s Decision
1555November 1, 2006

Regarding application of penalty- to concern of Md Shahidullah (Shyamol) & Co (Stock Dealer) DSE M-03

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1556November 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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1557November 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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1558November 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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1559November 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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1560November 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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1561November 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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1562November 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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1563November 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
1564October 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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1565October 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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1566October 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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1567October 5, 2006

Order - to concern of Mr M A Salam Chairperson/Director Paragon Leather & Footwear Industries Limited

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1568October 5, 2006

Order - to concern of Mr A K Azad Director Paragon Leather & Footwear Industries Limited

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1569October 5, 2006

Order - to concern of Mr Stephen Fanky Director Paragon Leather & Footwear Industries Limited

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1570October 5, 2006

Order - to concern of Mrs Mariom Khatun Director Paragon Leather & Footwear Industries Limited

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1571October 5, 2006

Order - to concern of Mrs Hamida Salam Director Paragon Leather & Footwear Industries Limited

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1572October 5, 2006

Order - to concern of Mrs Ummay Kulsum Director Paragon Leather & Footwear Industries Limited

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1573October 5, 2006

Order - to concern of Mrs Nasima Akter Director (Rupali Bank Nominated) Paragon Leather & Footwear Industries Limited

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1574October 8, 2006

Payment of penalty by instalments - to concern of Giausuddin Ahmed & Co (DSE Membership # 186)

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1575October 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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1576October 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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1577October 8, 2006

Non-compliance with securities related laws: Warning - to concern of Mr Mujibur Rahman Sponsor/Director Midas Financing Limited

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1578October 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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1579October 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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1580October 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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1581October 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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1582October 10, 2006

Order - to concern of Mr Shamsul Alam Shamim Chairman/Director Chittagong Vegetable Oil Industries Ltd

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1583October 10, 2006

Order - to concern of Mr AHM Habibullah Managing Director Chittagong Vegetable Oil Industries Ltd

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1584October 10, 2006

Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Ltd

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1585October 10, 2006

Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Ltd

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1586October 10, 2006

Order - to concern of Mr Md Imranul Haque Director Chittagong Vegetable Oil Industries Ltd

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1587October 10, 2006

Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Ltd

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1588October 10, 2006

Order - to concern of Mr Kaikobad Ahmed Director Chittagong Vegetable Oil Industries Ltd

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1589October 10, 2006

Order - to concern of Mr Mainuddin Khan Badol Director Chittagong Vegetable Oil Industries Ltd

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1590October 11, 2006

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Delta Life Insurance Co Limited 

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1591October 11, 2006

Non-compliance of securities laws: Warning - to concerns of BLI Securities Ltd Stock Dealer (DSE Member No 175)

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1592October 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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1593October 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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1594October 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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1595October 16, 2006

Directive - to concerns of Khaza Mosaic Tiles & Stone Industries Limited

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1596October 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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1597October 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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1598October 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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1599October 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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1600October 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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1601October 19, 2006

Non-compliance of securities law concerning payment of declared dividend: Warning - to Concerns Social Investment Bank Limited 

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1602October 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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1603October 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)

1604October 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)