Enforcement Action
September, 2019
Sl.NoDateSubjectCommission’s Decision
1September 23, 2019

Non-compliance securities law against A. K. Khan Securities Ltd._

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2September 23, 2019

Non-compliance securities law against Al-Haj Securities & Stocks Ltd._474

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3September 23, 2019

Non-compliance securities law against Al-Haj Securities & Stocks Ltd._475

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4September 23, 2019

Non-compliance securities law against ARC Securities Ltd.476

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5September 23, 2019

Non-compliance securities law against ARC Securities Ltd.477

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6September 8, 2019

Non-compliance securities law against Chittagong Capital Ltd._433

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7September 8, 2019

Non-compliance securities law against Chittagong Shares & Securities Ltd._435

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8September 8, 2019

Non-compliance securities law against Dayton Holdings Ltd._434

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9September 23, 2019

Non-compliance securities law against Firstlead Securities Ltd._468

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10September 23, 2019

Non-compliance securities law against Firstlead Securities Ltd._469

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11September 22, 2019

Non-compliance securities law against Fu-Wang Foods Ltd._454

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12September 22, 2019

Non-compliance securities law against Fu-Wang Foods Ltd._463

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13September 23, 2019

Non-compliance securities law against Greenland Equities Ltd

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14September 30, 2019

Non-compliance securities law against Hedayetullah Securities Ltd.

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15September 30, 2019

 Non-compliance securities law against Hedayetullah Securities Ltd.521

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16September 29, 2019

Non-compliance securities law against Hsfazatur Rahman & Company Ltd.

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17September 8, 2019

Non-compliance securities law against Island Securities Ltd._431

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18September 8, 2019

Non-compliance securities law against Island Securities Ltd._432

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19September 23, 2019

Non-compliance securities law against JIC Securities Ltd._470

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20September 23, 2019

Non-compliance securities law against JIC Securities Ltd._471

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21September 17, 2019

Non-compliance securities law against Mona Garments Ltd.

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22September 23, 2019

Non-compliance securities law against Multi Securities & Service Ltd.

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23September 23, 2019

Non-compliance securities law against Multi Securities & Service Ltd.478

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24September 23, 2019

Non-compliance securities law against Multi Securities & Service Ltd.479

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25September 26, 2019

Non-compliance securities law against NLI Securities Ltd.

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26September 29, 2019

Non-compliance securities law against Nouvelle Securities Ltd.

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27September 17, 2019

Non-compliance securities law against Parkway Securities Ltd.

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28September 17, 2019

Non-compliance securities law against Quayum Securities Ltd.

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29September 30, 2019

Non-compliance securities law against Rasti Securities Consultant Ltd.

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30September 30, 2019

Non-compliance securities law against Salta Capital Ltd.

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31September 30, 2019

Non-compliance securities law against T. K. Shares & Securities Ltd.

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32September 23, 2019

Non-compliance securities law against UCM Capital Management Ltd.472

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33September 23, 2019

Non-compliance securities law against UCM Capital Management Ltd.473

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August, 2019
Sl.NoDateSubjectCommission’s Decision
34August 20, 2019

Non-compliance securities law against AA Securities Ltd.401

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35August 20, 2019

Non-compliance securities law against AA Securities Ltd.402

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36August 20, 2019

Non-compliance securities law against Far East Shares & Securities Ltd.403

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37August 20, 2019

Non-compliance securities law against Harpoon Securities Ltd.404

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38August 19, 2019

Non-compliance securities law against ICB Capital Management Ltd.399

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39August 19, 2019

Non-compliance securities law against ICB Securities Trading Company Ltd.398

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40August 20, 2019

Non-compliance securities law against Kishwar Securities Investment Ltd.400

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41August 29, 2019

Non-compliance securities law against Meenhar Securities Ltd.421

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42August 29, 2019

Non-compliance securities law against Progati Insurance Ltd.426

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43August 22, 2019

Non-compliance securities law against Prudential Securities Ltd.410

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44August 22, 2019

Non-compliance securities law against R N Trading Ltd.407

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45August 22, 2019

Non-compliance securities law against R N Trading Ltd.408

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46August 29, 2019

Non-compliance securities law against Raja Securities Ltd.424

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47August 29, 2019

Non-compliance securities law against Sheltech Brokerage Ltd.423

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48August 22, 2019

Non-compliance securities law against Square Securities Management Ltd.411

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49August 22, 2019

Non-compliance securities law against Tamha Securities Ltd.409

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July, 2019

June, 2019

May, 2019

April, 2019
Sl.NoDateSubjectCommission’s Decision
75April 2, 2019

Non-compliance securities law against Bangladesh Commerce Bank Ltd.

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76April 2, 2019

Non-compliance securities law against Commerce Bank Securities and Investment Ltd.

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77April 21, 2019

Non-compliance securities law against Hallmark Securities Ltd.232.

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78April 17, 2019

Non-compliance securities law against Inter Continental Securities Ltd.

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79April 21, 2019

Non-compliance securities law against Lotus Shares & Securities Ltd.222

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80April 21, 2019

Non-compliance securities law against Lotus Shares & Securities Ltd.233

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81April 2, 2019

Non-compliance securities law against Padma Can & Closures Ltd. Unit-2.

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82April 4, 2019

Non-compliance securities law against Prime Bank Securities Ltd.213.

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83April 21, 2019

Non-compliance securities law against S.N. Securities Ltd.

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84April 24, 2019

Non-compliance securities law against Shurwid Industries Ltd.234

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85April 24, 2019

Non-compliance securities law against Shurwid Industries Ltd.235

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86April 2, 2019

Non-compliance securities law against Yeakut Jahan. 208

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87April 1, 2019

Order against Bangladesh Commerce Bank Limited.183

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88April 2, 2019

Order against Bangladesh Commerce Bank Limited.185

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89April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.187

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90April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.189

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91April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.191

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92April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.193

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93April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.195

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94April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.197

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95April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.199

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96April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.201

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97April 2, 2019

Order against Commerce Bank Securities and Investment Ltd.203

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March, 2019
Sl.NoDateSubjectCommission’s Decision
98March 27, 2019

Non-compliance securities law against Synthia Securities Ltd.166

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99March 14, 2019

Non-compliance securities law against Cordial Securities Ltd.124

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100March 10, 2019

Non-compliance securities law against R N I Securities Ltd.104

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101March 10, 2019

Non-compliance securities law against SAAD Securities Ltd.103

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102March 24, 2019

Non-compliance securities law against K.H.B Securities Ltd.139

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103March 24, 2019

Non-compliance securities law against K-Securities and Consultants Ltd.138

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104March 19, 2019

Non-compliance securities law against Eastland Insurance Company Ltd.137

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105March 27, 2019

Non-compliance securities law against Hazi Ahmad Brothers Securities Ltd.175

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106March 27, 2019

Non-compliance securities law against Hazi Ahmad Brothers Securities Ltd.174

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107March 27, 2019

Non-compliance securities law against R. N. Trading Ltd.173

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108March 27, 2019

Non-compliance securities law against Popular Life Insurance Company Ltd.172

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109March 27, 2019

Non-compliance securities law against Hazi Ahmad Brothers Securities Ltd.171

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110March 27, 2019

Non-compliance securities law against Monno Jute Stafflers Ltd.170

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111March 27, 2019

Non-compliance securities law against Popular Life Insurance Company Ltd.169

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112March 27, 2019

Non-compliance securities law against R. N. Trading Ltd.168

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113March 27, 2019

Non-compliance securities law against Al-Muntaha Trading Co. Ltd.167

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114March 27, 2019

Non-compliance securities law against R. N. Trading Ltd.165

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115March 27, 2019

Non-compliance securities law against Stylecraft Ltd.164

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116March 27, 2019

Non-compliance securities law against Monno Ceramic Industries Ltd.163

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117March 27, 2019

Non-compliance securities law against Hazi Ahmad Brothers Securities Ltd.162

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118March 27, 2019

Non-compliance securities law against Monno Ceramic Industries Ltd.161

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119March 27, 2019

Non-compliance securities law against Bulbul Securities Ltd.160

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120March 27, 2019

Non-compliance securities law against Al-Muntaha Trading Co. Ltd.159

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121March 27, 2019

Non-compliance securities law against Al-Muntaha Trading Co. Ltd.158

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122March 27, 2019

Non-compliance securities law against Popular Life Insurance Company Ltd.157

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123March 7, 2019

Non-compliance securities law against Reliance Securities Consultant Ltd.104

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124March 5, 2019

Non-compliance securities law against Commerce Bank Securities and Investment Ltd.93

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125March 11, 2019

Order against AIBL Capital Market Services Ltd.107

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126March 27, 2019

Order against Akij Securities Ltd.153

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127March 27, 2019

Order against Al-Muntaha Trading Co.Ltd.147

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128March 14, 2019

Order against Commerce Bank Securities and Investment Ltd.116

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129March 14, 2019

Order against Commerce Bank Securities and Investment Ltd.117

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130March 14, 2019

Order against Commerce Bank Securities and Investment Ltd.118

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131March 18, 2019

Order against Emerald Oil Industries Ltd.129

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132March 18, 2019

Order against Emerald Oil Industries Ltd.130

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133March 18, 2019

Order against Emerald Oil Industries Ltd_131

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134March 27, 2019

Order against Globe Securities Ltd_151

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135March 27, 2019

Order against lankabangla securities ltd.155

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136March 14, 2019

Order against Mr. Mainul Haq Khan and his Associates.123

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137March 27, 2019

Order against Popular Life Insurance Co. Ltd_145

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138March 27, 2019

Order against Popular Life Insurance_149

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139March 11, 2019

Order against Prime Bank Investment Ltd.109

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140March 11, 2019

Order against Prime Islami Securities Ltd.105

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141March 18, 2019

Order against Purabi General Insurance Company Ltd.127

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142March 10, 2019

Order against Saad Secirities Limited.111

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143March 10, 2019

Order against Salta Capital Ltd.113

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144March 27, 2019

Order against Stylecraft Ltd_143

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February, 2019
Sl.NoDateSubjectCommission’s Decision
145February 5, 2019

Non-compliance securities law against BD Sunlife Securities Ltd.

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146February 4, 2019

Non-compliance securities law against Be Rich Ltd.

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147February 26, 2019

Non-compliance securities law against Beximco Securities Ltd.

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148February 5, 2019

Non-compliance securities law against BRAC EPL Stock Brokerage Ltd.

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149February 11, 2019

Non-compliance securities law against Central Pharmaceuticals Ltd.

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150February 5, 2019

Non-compliance securities law against City Brokerage Ltd.

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151February 12, 2019

Non-compliance securities law against Conmark Limited

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152February 11, 2019

Non-compliance securities law against Harun Securities Ltd.

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153February 26, 2019

Non-compliance securities law against Prilink Securities Ltd.

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154February 20, 2019

Non-compliance securities law against Purabi Securities Ltd.

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155February 13, 2019

Non-compliance securities law against Quasem Drycells Ltd.

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156February 13, 2019

Non-compliance securities law against Shahed Securities Ltd.

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157February 12, 2019

Non-compliance securities law against Subvalley Securities Ltd.

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158February 26, 2019

Non-compliance securities law against Transcon Securities Ltd.

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159February 5, 2019

Non-compliance securities law against Treasure Securities Ltd.

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160February 11, 2019

Non-compliance securities law against Western Marine Shipyard Ltd.

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January, 2019