Enforcement Action
December, 2015

November, 2015

October, 2015
Sl.NoDateSubjectCommission’s Decision
12October 1, 2015

Warning: Non-compliance of securities related laws against Midas Financing Ltd.

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13October 4, 2015

Order against Chic Tex Limited.

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14October 7, 2015

Rejection of appeal: Non-compliance of securities laws against First Securities Services Ltd.

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15October 8, 2015

Warning: Non-compliance of securities related laws against Desh General Insurance Company Ltd.

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16October 8, 2015

Warning: Non-compliance of securities related laws against Sonargaon Textiles Ltd. (issuer)

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17October 8, 2015

Non-compliance of securities laws against Titas Gas Transmission & Distribution co. Ltd. (issuer)

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18October 13, 2015

Warning: Non-compliance of securities related laws against T.K.Shares & Securities Ltd.

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19October 19, 2015

Order against Alltex Industries Limited.

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20October 19, 2015

Order against Alpha Securities Limited.

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21October 19, 2015

Order against Globe Industries Limited.

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22October 19, 2015

Order against Island Securities Limited.

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23October 19, 2015

Order against Western Security Investment Management Ltd.

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24October 25, 2015

Warning: Non-compliance of securities related laws against Anwar Securities Ltd.

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25October 25, 2015

Warning: Non-compliance of securities related laws against Sohel Securities Ltd.

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26October 28, 2015

Order against The Dhaka Dying & Manufacturing Co. Ltd.

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September, 2015

August, 2015

July, 2015
Sl.NoDateSubjectCommission’s Decision
37July 1, 2015

Penalty Order against GQ ball Pen Industries Ltd.

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38July 1, 2015

Warning: Non-compliance of securities laws against Wata Chemicals Ltd.

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39July 7, 2015

Penalty Order against Shahjibazar Power Co. Ltd.

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40July 9, 2015

Warning: Non-compliance of securities laws in connection with capital raising against Kormop Company Ltd.

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41July 12, 2015

Non-compliance of securities related laws against AIBL Capital Market Services Ltd. and City Brokerage Ltd.

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42July 12, 2015

Non-compliance of securities related laws against City Brokerage Ltd. and Unicap Investment Ltd.

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43July 12, 2015

Non-compliance of securities related laws against City Brokerage Ltd.

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44July 12, 2015

Warning: Non-compliance of securities laws against PFI Securities Ltd.

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45July 12, 2015

Non-compliance of securities related laws against Shahed Securities Ltd.

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46July 12, 2015

Non-compliance of securities related laws against Sharp Securities Ltd. and AB Bank Investment Ltd.

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47July 13, 2015

Order against AIBL Capital Market Services Ltd.

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48July 13, 2015

Order against BLI Capital Ltd.

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49July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/219]

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50July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/220]

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51July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/221]

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52July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/222]

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53July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/223]

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54July 13, 2015

Order against Petromax Refinery Ltd. [Issue No.-BSEC/Enforcement/2201/2014/224]

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55July 13, 2015

Order against PFI Securities Ltd.

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56July 13, 2015

Order against Prime Finance Capital Management Ltd.

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57July 13, 2015

Order against Prime Islami Securities Ltd.

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58July 13, 2015

Order against Shahjibazar Power Company Ltd. [Issue No.-BSEC/Enforcement/2201/2014/228]

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59July 13, 2015

Order against Shahjibazar Power Company Ltd. [Issue No.-BSEC/Enforcement/2201/2014/229]

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60July 13, 2015

Order against Shahjibazar Power Company Ltd. [Issue No.-BSEC/Enforcement/2201/2014/230]

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61July 13, 2015

Order against Sharp Securities Ltd.

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62July 16, 2015

Extension of Time to Deposit against Shahjibazar Power Company Ltd.

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63July 23, 2015

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/2065/2014/37 dated February 01, 2015 in connection with non- Non-compliance of securities law against EBL Securities Ltd.

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64July 28, 2015

Penalty Order against Hoda Vasi Chowdhury & Co., Chartered Accounts

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65July 29, 2015

Non-compliance of securities laws in connection with capital raising against AA Rashayan Shilpa Ltd.

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June, 2015

May, 2015

April, 2015

March, 2015
Sl.NoDateSubjectCommission’s Decision
84March 2, 2015

Warning: Non-compliance of securities related laws against Skys Securities Limited.

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85March 11, 2015

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/2014/2041/593 dated August 31, 2014 in connection with non- Non-compliance of securities law against Harun Securities Limited.

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86March 12, 2015

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/1062/2012/85 dated February 02, 2014 in connection with non- Non-compliance of securities law against Reliance Brokerage Services Limited.

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87March 18, 2015

Order against Joytun Securities International Limited.

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88March 19, 2015

Order against Bangladesh General Insurance Company Limited.

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89March 19, 2015

Order against LR Global Asset Management Company Limited.

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90March 19, 2015

Order against Hoda Vasi Chowdhury & Co.

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91March 19, 2015

Non-compliance of securities related laws: Disposal of the alleged matter against Pubali Bank Securities Limited.

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92March 19, 2015

Non-compliance of securities related laws: Disposal of the alleged matter against Renwick, Jajneswar & Co (BD) Limited.

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93March 19, 2015

Warning: Non-compliance of securities laws against Standard Chartered Bank.

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94March 22, 2015

Warning: Non-compliance of securities laws against Golden Son Limited.

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95March 23, 2015

Show cause cum notice for hearing: In connection with the non-submission of audited financial statements for the year ended on June 30, 2014 against Bangladesh Shipping Corporation.

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February, 2015

January, 2015
Sl.NoDateSubjectCommission’s Decision
103January 29, 2015

Order against Minher Securities Limited.

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104January 28, 2015

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/2075/2014/620 dated September 29, 2014 in connection with non- Non-compliance of securities law against Akij Securities Limited.

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105January 28, 2015

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/2014/2036/618 dated September 29, 2014 in connection with non- Non-compliance of securities law against AB Securities Limited.

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106January 20, 2015

Penalty Order: non-compliance of securities related laws in connection with capital raising against MP Spinning Mills Limited.

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107January 20, 2015

Penalty Order: non-compliance of securities related laws in connection with capital raising against First Securities Services Limited.

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108January 18, 2015

Warning: Non-compliance of securities laws against Skys Securities Limited.

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109January 18, 2015

Warning: Show cause cum notice for hearing: Non-compliance of securities related laws against Janata Capital and Investment Limited.

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110January 18, 2015

Warning: Show cause cum notice for hearing: Non-compliance of securities related laws against ICB Securities Trading Company Limited.

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111January 13, 2015

Warning: Non-compliance of securities related laws against Race Management Pvt. Co. Ltd.

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112January 7, 2015

Warning: Non-compliance of securities laws against Brac EPL Investment Limited.

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113January 7, 2015

Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter against DBL Securities Limited.

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114January 5, 2015

Warning: Non-compliance with securities related laws in connection with the utilization of IPO fund against Saiham Cotton Mills Limited.

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