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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