Enforcement Action

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December, 2014

Sl.No	Date	Subject	Commission’s Decision
1	December 31, 2014	Penalty Order: Non compliance of Securities laws in connection with false declaration in the IPO prospectus against FAR Chemical Industries Limited	Click to View
2	December 31, 2014	Penalty Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 against Island Securities Limited	Click to View
3	December 31, 2014	Penalty Order: Non-compliance of Regulation 4(1) of Chittagong Stock Exchange (Short-Sale) Regulations, 2005 against S.R Capital Limited	Click to View
4	December 31, 2014	Penalty Order: Non compliance of Securities laws in connection with false declaration in the IPO prospectus of FAR Chemical Industries Limited against First Securities Services Limited	Click to View
5	December 23, 2014	Order against Fine Foods Limited	Click to View
6	December 22, 2014	Order against Salvo Chemical Industries Limited	Click to View
7	December 22, 2014	Order against Shahjibazar Power Company Limited	Click to View
8	December 9, 2014	Order against Argon Denims Limited	Click to View
9	December 9, 2014	Warning: Non-compliance of securities related laws in connection with capital raising against Silco Pharmaceuticals Limited	Click to View
10	December 9, 2014	Warning: Non-compliance of securities related laws in connection with capital raising against Pran Dairy Limited	Click to View

November, 2014

Sl.No	Date	Subject	Commission’s Decision
11	November 5, 2014	Penalty Order : Non-compliance of Securities related Laws agains United Power Generation & Distribution Company Limited	Click to View
12	November 5, 2014	Penalty Order : Non-compliance of Securities related Laws against Lanka Bangla Investments Limited	Click to View
13	November 5, 2014	Warning: Non-compliance of securities laws against Hoda Vasi Chowdhury & Co	Click to View
14	November 10, 2014	Penalty Order : Non-compliance of Securities related Laws against Heritage Capital Management Ltd	Click to View
15	November 10, 2014	Penalty Order : Non-compliance of Securities related Laws against First Securities Services Limited	Click to View
16	November 10, 2014	Penalty Order : Non-compliance of Securities related Laws against Kazi Saifur Rahman	Click to View
17	November 10, 2014	Warning: Non-compliance of securities laws against Nurun Nahar Begum	Click to View
18	November 10, 2014	Warning: Non-compliance of securities laws against Sohel Securities Limited	Click to View
19	November 10, 2014	Warning: Non-compliance of securities laws against Bangladesh Shilpa Bank.	Click to View
20	November 10, 2014	Warning: Non-compliance of securities laws against Hosne Ara Khanam	Click to View
21	November 10, 2014	Warning: Non-compliance of securities laws against Mr. Md. Shohel Rana	Click to View
22	November 10, 2014	Warning: Non-compliance of securities laws against Mr. Md. Akram Uddin Chowdhury	Click to View
23	November 10, 2014	Warning: Non-compliance of securities laws against Mr. Md. Ruhul Amin	Click to View
24	November 16, 2014	Warning: Non-compliance of securities laws against SES Company Limited	Click to View
25	November 17, 2014	Warning: Non-compliance of securities laws against PHP Stocks & Securities Limited	Click to View
26	November 18, 2014	Warning: Non-compliance of securities laws against Sharp Securities Limited	Click to View

October, 2014

Sl.No	Date	Subject	Commission’s Decision
27	October 20, 2014	Penalty Order : Non-compliance of Securities related Laws against Phoenix Securities Limited	Click to View
28	October 26, 2014	Penalty Order : Non-compliance of Securities related Laws against Apex Investment Limited	Click to View
29	October 28, 2014	Warning: Non-compliance of securities laws against Muntaha shares & Capital Ltd.	Click to View

September, 2014

Sl.No	Date	Subject	Commission’s Decision
30	September 1, 2014	Penelty Order : Non-compliance of Securities related Laws against Harun Securities Limited	Click to View
31	September 4, 2014	Warning: Non-compliance of Sections 17(e) (ii)(iii) of the Securities and Exchange Ordinance, 1969. aganist IBBL Employees Provident Fund	Click to View
32	September 4, 2014	Warning: Non-compliance of Sections 17(e) (ii) (iii) of the Securities and Exchange Ordinance, 1969.against Islami Bank Securities Limited	Click to View
33	September 10, 2014	Penelty Order : Non-compliance of Securities related Laws against Dragon Sweater and Spinning Limited	Click to View
34	September 10, 2014	Penelty Order : Non-compliance of Securities related Laws against First Securities Services Limited	Click to View
35	September 25, 2014	Waiver of additional fine and charges imposed on Directors of CVO Petrochemical Refinery Limited	Click to View
36	September 29, 2014	Penelty Order : Non-compliance of Securities related Laws against AB Securities Limited	Click to View
37	September 29, 2014	Penelty Order : Non-compliance of Securities related Laws against Akij Securities Limited	Click to View

August, 2014

Sl.No	Date	Subject	Commission’s Decision
38	August 5, 2014	Warning: Non-compliance of Securities Laws.	Click to View
39	August 5, 2014	Warning: Non-compliance of securities related laws.	Click to View
40	August 18, 2014	Penelty Order : Non-compliance of Securities related Laws against Jalalabad Securities Ltd.	Click to View
41	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
42	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
43	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
44	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
45	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
46	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
47	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
48	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
49	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
50	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
51	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
52	August 24, 2014	Non-compliance of securities laws.-Warning.	Click to View
53	August 25, 2014	Non-compliance of securities laws.-Warning.	Click to View
54	August 25, 2014	Non-compliance of securities laws.-Warning.	Click to View
55	August 25, 2014	Non-compliance of securities laws.-Warning.	Click to View
56	August 31, 2014	Penelty Order : Non-compliance of Securities related Laws against Mr Neamul Kabir	Click to View
57	August 31, 2014	Penelty Order : Non-compliance of Securities related Laws against Be Rich Ltd	Click to View

July, 2014

Sl.No	Date	Subject	Commission’s Decision
58	July 20, 2014	Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.	Click to View
59	July 20, 2014	Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.	Click to View
60	July 20, 2014	Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.	Click to View
61	July 20, 2014	Review: Non-compliance of Circular no. SEC/Section/CMRRCD/2001-43/89 dated 11/02/2009, আচরন বিধি নং ১ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, স্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ Rule 3(7) of Margin Rules, 1999.	Click to View
62	July 14, 2014	Non-compliance of securities laws.-Warning.	Click to View
63	July 9, 2014	Non-compliance of securities laws.-Warning.	Click to View
64	July 9, 2014	Non-compliance of securities laws.-Warning.	Click to View

June, 2014

Sl.No	Date	Subject	Commission’s Decision
65	June 3, 2014	Penalty Order : Non-compliance of Securities related Laws against Eastern Shares and Securities Ltd.	Click to View
66	June 3, 2014	Penalty Order : Non-compliance of Securities related Laws against Sylhet Metro city Securities Ltd.	Click to View
67	June 4, 2014	Non-compliance of securities related laws. WARNING. Agrani Bank Limited	Click to View
68	June 11, 2014	Penalty Order : Non-compliance of Securities related Laws against G Q Ball Pen Industries Ltd.	Click to View
69	June 11, 2014	Non-compliance of securities laws: In connection with the non-submission of half yearly financial statements for the half year ended on December 31, 2011: Warning. GMG Industrial Corporation Ltd	Click to View
70	June 16, 2014	Show cause cum hearing notice: Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2013: Warning.Bangas Ltd	Click to View

May, 2014

Sl.No	Date	Subject	Commission’s Decision
71	May 4, 2014	Delayed submission of the Capital & Shareholding Position for the month of September 2013 & October 2013.WARNING	Click to View
72	May 4, 2014	Non-compliance of securities related laws. WARNING	Click to View
73	May 4, 2014	Reject of the prayer for waiver of penalty	Click to View
74	May 6, 2014	Penelty Order : Non-compliance of Securities related Laws against Gatewey Ewuity Resources Ltd	Click to View
75	May 8, 2014	Reject of the prayer for waiver of penalty	Click to View
76	May 8, 2014	Reject of the prayer for waiver of penalty	Click to View
77	May 14, 2014	Penelty Order : Non-compliance of Securities related Laws against Transcon Securities Limited	Click to View
78	May 18, 2014	Penelty Order : Non-compliance of Securities related Laws against NBL Securities Ltd	Click to View
79	May 18, 2014	Penelty Order : Non-compliance of Securities related Laws against Khurshid Securities Limited	Click to View
80	May 28, 2014	Reject of prayer for waiver of penalty.	Click to View

April, 2014

Sl.No	Date	Subject	Commission’s Decision
81	April 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.	Click to View
82	April 6, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
83	April 6, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
84	April 6, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
85	April 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	Click to View
86	April 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	Click to View
87	April 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	Click to View
88	April 15, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
89	April 15, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
90	April 15, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
91	April 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.	Click to View
92	April 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.	Click to View
93	April 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.	Click to View
94	April 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	Click to View
95	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
96	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
97	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
98	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
99	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
100	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
101	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
102	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
103	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
104	April 27, 2014	Non-compliance of the SEC Notification No.SEC/ CMRRCD/2009-193/119/Admin/34 dated November 22, 2011. WARNING	Click to View
105	April 30, 2014	Reject of prayer for waiver of penalty	Click to View
106	April 30, 2014	Reject of prayer for waiver of penalty	Click to View
107	April 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.	Click to View
108	April 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	Click to View
109	April 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	Click to View
110	April 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	Click to View
111	April 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	Click to View
112	April 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	Click to View

March, 2014

Sl.No	Date	Subject	Commission’s Decision
113	March 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.	Click to View
114	March 5, 2014	Penelty Order : Non-compliance of Securities related Laws against Be Rich	Click to View
115	March 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.	Click to View
116	March 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.	Click to View
117	March 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.	Click to View
118	March 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.	Click to View
119	March 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.	Click to View
120	March 13, 2014	Non-compliance of securities related laws. WARNING	Click to View
121	March 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.	Click to View
122	March 18, 2014	Non-compliance of the BSEC Circular No. SEC/CMRRCD/2001-50/121/Admin/ dated December 20, 2011: Disposal of the alleged matter.	Click to View
123	March 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	Click to View
124	March 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.	Click to View
125	March 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	Click to View
126	March 23, 2014	Non-compliance of securities laws: Warning.	Click to View
127	March 23, 2014	Non-compliance of securities laws: Warning.	Click to View
128	March 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.	Click to View
129	March 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.	Click to View
130	March 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.	Click to View
131	March 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.	Click to View

February, 2014

Sl.No	Date	Subject	Commission’s Decision
132	February 2, 2014	Penelty Order : Non-compliance of Securities related Laws against Reliance Brokerage Services Ltd	Click to View
133	February 2, 2014	Penelty Order : Non-compliance of Securities related Laws against Azam Securities Limited	Click to View
134	February 6, 2014	Reject of the prayer for waiving penalty . PHP Stock and Securities Limited.	Click to View
135	February 20, 2014	Warning: Non-compliance of securities laws: IIDFC Securities Limited.	Click to View
136	February 24, 2014	Penelty Order : Non-compliance of Securities related Laws against Barakatullah Electro Dynamics Ltd.	Click to View

January, 2014

Sl.No	Date	Subject	Commission’s Decision
137	January 1, 2014	Penalty Order : Non-compliance of Securities related Laws against R. N Trading Limited.	Click to View
138	January 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.	Click to View
139	January 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.	Click to View
140	January 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.	Click to View
141	January 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	Click to View
142	January 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	Click to View
143	January 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	Click to View
144	January 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	Click to View
145	January 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	Click to View
146	January 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	Click to View
147	January 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	Click to View
148	January 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	Click to View
149	January 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	Click to View
150	January 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	Click to View
151	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.	Click to View
152	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.	Click to View
153	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against Pioneer Shares & Securities Limited.	Click to View
154	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against Jalalabad Securities Limited.	Click to View
155	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against Tamha Securities Limited.	Click to View
156	January 23, 2014	Penalty Order : Non-compliance of Securities related Laws against DMR Securities Serveces Limited.	Click to View
157	January 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.	Click to View
158	January 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.	Click to View
159	January 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.	Click to View

December, 2013

Sl.No	Date	Subject	Commission’s Decision
160	December 1, 2013	Penelty Order : Non-compliance of Securities related Laws against Sylnet Securities Limited	Click to View
161	December 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	Click to View
162	December 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	Click to View
163	December 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	Click to View
164	December 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	Click to View
165	December 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”.	Click to View
166	December 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”.	Click to View
167	December 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	Click to View
168	December 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,	Click to View
169	December 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	Click to View
170	December 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	Click to View
171	December 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	Click to View
172	December 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	Click to View
173	December 31, 2013	Non-compliance of securities laws: Warning. Mika Securities Ltd	Click to View
174	December 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	Click to View

November, 2013

Sl.No	Date	Subject	Commission’s Decision
175	November 5, 2013	Penelty Order : Non-compliance of Securities related Laws against Hillcity Securities Limited	Click to View
176	November 5, 2013	Penelty Order : Non-compliance of Securities related Laws against Premier LP Gas Limited.	Click to View

October, 2013

Sl.No	Date	Subject	Commission’s Decision
177	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against PHP Stocks & Securities Limited	Click to View
178	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against PFI Securities Ltd.	Click to View
179	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against DBL Securities Ltd.	Click to View
180	October 24, 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.Argon Denims Limited	Click to View
181	October 24, 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 .Fareast Islami Life Insurance Co. Ltd	Click to View

September, 2013

Sl.No	Date	Subject	Commission’s Decision
182	September 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.	Click to View
183	September 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.	Click to View
184	September 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.	Click to View
185	September 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) .	Click to View
186	September 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) .	Click to View
187	September 4, 2013	City Brokerage Limited. Non-compliance of securities related laws. WARNING	Click to View
188	September 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.	Click to View
189	September 16, 2013	Bashundhara Textiles Mills Limited. Non-compliance of securities related laws: Disposal of the alleged matter.	Click to View
190	September 16, 2013	Prudential Capital Limited. Non-compliance of securities related laws. WARNING	Click to View
191	September 30, 2013	Penelty Order : Non-compliance of Securities related Laws against Slata Capital Limited.	Click to View

August, 2013

Sl.No	Date	Subject	Commission’s Decision
192	August 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	Click to View
193	August 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	Click to View
194	August 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.	Click to View
195	August 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.	Click to View
196	August 20, 2013	Penelty Order : Non-compliance of Securities related Laws against Jalalabad Securities Ltd.	Click to View
197	August 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	Click to View
198	August 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	Click to View
199	August 29, 2013	Non-compliance of securities related laws. WARNING against BRB Securities Limited	Click to View
200	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Kishor das.	Click to View
201	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Abdur Razak.	Click to View
202	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Asraful Alam.	Click to View

July, 2013

Sl.No	Date	Subject	Commission’s Decision
203	July 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	Click to View
204	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against Shamim Ara.	Click to View
205	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against M.A Maliq.	Click to View
206	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against Shyamol Equity Management Ltd.	Click to View
207	July 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	Click to View
208	July 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	Click to View
209	July 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	Click to View
210	July 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	Click to View
211	July 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	Click to View
212	July 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	Click to View
213	July 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	Click to View
214	July 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,	Click to View
215	July 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	Click to View
216	July 23, 2013	Penelty Order : Non-compliance of Securities related Laws against Ananta Properties Limited	Click to View
217	July 23, 2013	Penelty Order : Non-compliance of Securities related Laws against ACNABIN, Chartered Accountants	Click to View
218	July 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	Click to View
219	July 24, 2013	Penelty Order : Non-compliance of Securities related Laws against M.A Maleq.	Click to View
220	July 24, 2013	Penelty Order : Non-compliance of Securities related Laws against A.K.M.Kamal uddin.	Click to View
221	July 25, 2013	Penelty Order : Non-compliance of Securities related Laws against Salta Capital Ltd.	Click to View
222	July 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	Click to View
223	July 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.	Click to View

June, 2013

Sl.No	Date	Subject	Commission’s Decision
224	June 6, 2013	Penelty Order : Non-compliance of Securities related Laws against Phoenix Securities Limited.	Click to View
225	June 10, 2013	Waiver of additional fine and charges imopsed on Directors of Sajib Knitwear and Garments Limited.	Click to View
226	June 13, 2013	Violation of Section 2c of the Securities and Exchange Ordinance, 1969 of Barakatullah Electro Dynamics Ltd.	Click to View
227	June 17, 2013	Penelty Order : Non-compliance of Securities related Laws against Lanka Bangla Investment Limited.	Click to View
228	June 17, 2013	Penelty Order : Non-compliance of Securities related Laws against Midas Financing Limited.	Click to View
229	June 19, 2013	Non-compliance of Securities Laws; In connection with the delayed submission of third quarter Financial Statements.Against Allhaj Textile Mills Ltd.	Click to View
230	June 20, 2013	Penelty Order : Non-compliance of Securities related Laws against Mohasin Ahmed.	Click to View
231	June 24, 2013	Penelty Order : Non-compliance of Securities related Laws against Samim Ara Begum.	Click to View
232	June 24, 2013	Penelty Order : Non-compliance of Securities related Laws against Anworul Basir Khan.	Click to View

May, 2013

Sl.No	Date	Subject	Commission’s Decision
233	May 2, 2013	Penelty Order : Non-compliance of Securities related Laws against Reliance Brokerage Services Ltd.	Click to View
234	May 2, 2013	Penelty Order : Non-compliance of Securities related Laws against Globe Securities Limited.	Click to View
235	May 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	Click to View
236	May 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	Click to View
237	May 28, 2013	Penal Order: Non-compliance of section 18 of Securities and Exchange Ordinance, 1969 (XVII of 1969).	Click to View
238	May 28, 2013	Penelty Order : Non-compliance of Securities related Laws against Island Securities Limited.	Click to View
239	May 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”.	Click to View
240	May 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”.	Click to View
241	May 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	Click to View
242	May 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	Click to View
243	May 30, 2013	Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969. Against Legacy Footwear Ltd.	Click to View
244	May 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	Click to View
245	May 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	Click to View
246	May 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.	Click to View
247	May 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	Click to View
248	May 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.	Click to View

April, 2013

Sl.No	Date	Subject	Commission’s Decision
249	April 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.	Click to View
250	April 7, 2013	Penelty Order : Non-compliance of Securities related Laws against Mercantile Bank Securities Ltd.	Click to View
251	April 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.	Click to View
252	April 9, 2013	Disposal: Non-compliance of Rule 3 (6) of Margin Rules, 1999 by executing force sale.	Click to View
253	April 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.	Click to View
254	April 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	Click to View
255	April 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	Click to View
256	April 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.	Click to View
257	April 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.	Click to View
258	April 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	Click to View
259	April 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	Click to View
260	April 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.	Click to View
261	April 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.	Click to View
262	April 23, 2013	Warning: Non-compliance of SEC Order No. SEC/CMRRCD/2000-985/248/Admin/02/1 dated Dec19,2000. UCBL.	Click to View
263	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against Saif Powertec Limited.	Click to View
264	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against S.F. Ahmed & Co.	Click to View
265	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against ICB Capital Management Limited.	Click to View

March, 2013

Sl.No	Date	Subject	Commission’s Decision
266	March 7, 2013	Non-compliance of Securities related Laws against IFIC BANK LTD.	Click to View
267	March 7, 2013	Non-compliance of Securities related Laws : Warning . Md Ariful Haque Mallick.	Click to View
268	March 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	Click to View
269	March 12, 2013	Penelty Order for Violation of Securities related Laws against Salta Capital Limited.	Click to View
270	March 12, 2013	Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against SINHA Securities Limited.	Click to View
271	March 12, 2013	Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against M.Securities Limited.	Click to View
272	March 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.	Click to View
273	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Western Securities Investment Management Ltd.	Click to View
274	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Mirpur ScuritiesLtd.	Click to View
275	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Mona Financial Consultancy and Scurities Ltd.	Click to View
276	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Be Rich Limited.	Click to View
277	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against SIBL Securities Limited.	Click to View
278	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against HAC Securities Limited.	Click to View
279	March 12, 2015	Penelty Order : Non-compliance of Securities related Laws against Al-Muntaha Trading Co. Limited.	Click to View
280	March 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.	Click to View
281	March 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.	Click to View
282	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Oshadi Securities Limited.	Click to View
283	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Sinha Securities Limited.	Click to View
284	March 12, 2015	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Global Securities Limited.	Click to View
285	March 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.	Click to View
286	March 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.	Click to View
287	March 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.	Click to View
288	March 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.	Click to View
289	March 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.	Click to View
290	March 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.	Click to View
291	March 14, 2013	Order. Mr Md Abdur Razzak. Raspit Indk (bd)Ltd	Click to View
292	March 28, 2013	Payment of Penalty on the installment basis Ms.Shipra Paul	Click to View
293	March 28, 2013	Payment of Penalty on the installment basis Ms.Sheuli Saha	Click to View
294	March 28, 2013	Payment of Penalty on the installment basis Mr. Joydeb Kumar Saha	Click to View

February, 2013

Sl.No	Date	Subject	Commission’s Decision
295	February 4, 2013	Non-compliance of Securities related Laws against Aamra Technologies Limited.	Click to View
296	February 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	Click to View
297	February 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.	Click to View
298	February 14, 2013	Warning: violation of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.মোহাম্মদ আকবর হোসেন	Click to View
299	February 14, 2013	Warning: violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫. এ এন্ড এ ইনভেষ্টমেন্ট লিঃ	Click to View
300	February 26, 2013	Non-compliance of securities laws: in connection with the delayed submission of first quarter(Q1) financial statements Agni Systems Limited:Warning	Click to View
301	February 27, 2013	Penelty Order for Violation of Securities related Laws Mona Financial Consultancy and Securities Limited.	Click to View
302	February 27, 2013	Penelty Order for Violation of Securities related Laws against Fidelity Assets and Securities Company Limited.	Click to View
303	February 27, 2013	Penelty Order for Violation of Securities related Laws against Globe Securities Limited.	Click to View
304	February 27, 2013	Penelty Order for Violation of Securities related Laws against Shyamol Equity Management Limited.	Click to View
305	February 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.	Click to View
306	February 28, 2013	Penelty Order for Violation of Securities related Laws against Mercantile Bank Securities Limited.	Click to View

January, 2013

Sl.No	Date	Subject	Commission’s Decision
307	January 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.	Click to View
308	January 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.	Click to View
309	January 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.	Click to View
310	January 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.	Click to View
311	January 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.	Click to View
312	January 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.	Click to View
313	January 21, 2013	Penalty Order for Violation of Securities related Laws against Raspit Data Management Ltd	Click to View
314	January 27, 2013	Penalty Order for Violation of Securities related Laws against International Leasing Securities Ltd.	Click to View
315	January 27, 2013	Penalty Order for Violation of Securities related Laws against R.N Spinning Mills Ltd	Click to View
316	January 27, 2013	Penalty Order for Violation of Securities related Laws against Md. Abdul Kadir Faruq.	Click to View
317	January 27, 2013	Penalty Order for Violation of Securities related Laws against Kim jong suk.	Click to View
318	January 27, 2013	Penalty Order for Violation of Securities related Laws against Mrs Shirin Faruq.	Click to View
319	January 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	Click to View
320	January 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	Click to View
321	January 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	Click to View
322	January 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	Click to View
323	January 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.	Click to View
324	January 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.	Click to View
325	January 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.	Click to View
326	January 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	Click to View
327	January 27, 2013	Penalty Order: Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969.	Click to View
328	January 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	Click to View
329	January 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	Click to View
330	January 28, 2013	Alleged non-compliance with the securities related laws in connection with the submission of un-audited 4th quarter financial statements:Warning	Click to View
331	January 27, 2013	Penalty Order for Violation of Securities related Laws against Mita Textiles Mills Ltd.	Click to View
332	January 27, 2013	Penalty Order for Violation of Securities related Laws against Khaza Mosaic Tiles & Stone Ind.Ltd	Click to View
333	January 28, 2013	Penalty Order for Violation of Securities related Laws against Pharmaco International Ltd.	Click to View
334	January 30, 2013	Penalty Order for Violation of Securities related Laws against Sajib Knitware & Garments Ltd.	Click to View
335	January 31, 2013	Penalty Order for Violation of Securities related Laws against Bangla Process Ind.Ltd.	Click to View
336	January 31, 2013	Penalty Order for Violation of Securities related Laws against Rose Heaven Bell Pen Ltd.	Click to View
337	January 31, 2013	Penalty Order for Violation of Securities related Laws against M.Hossain Garments Ltd.	Click to View
338	January 31, 2013	Penalty Order for Violation of Securities related Laws against Perfume Chemical Industries Ltd.	Click to View
339	January 31, 2013	Penalty Order for Violation of Securities related Laws against Fahad Industries Ltd.	Click to View
340	January 31, 2013	Penalty Order for Violation of Securities related Laws against Amam Se Food Ind.Ltd.	Click to View

December, 2012

Sl.No	Date	Subject	Commission’s Decision
341	December 24, 2012	Review: Violation of বিধি ৩(১) and বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
342	December 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.	Click to View
343	December 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.	Click to View
344	December 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.	Click to View
345	December 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.	Click to View
346	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
347	December 26, 2012	Penalty Order for Violation of Securities related laws against Mohammad Quddus & Co.	Click to View

November, 2012

Sl.No	Date	Subject	Commission’s Decision
348	November 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.	Click to View
349	November 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.	Click to View
350	November 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.	Click to View
351	November 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.	Click to View

October, 2012

Sl.No	Date	Subject	Commission’s Decision
352	October 10, 2012	Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.	Click to View
353	October 16, 2012	Disposal: Non compliance of Notification No. SEC/SRMID/2000-953/313/Admin-06 dated March 25, 2001 in connection with non completion of sale as per declaration.	Click to View
354	October 16, 2012	Payment of Penalty on the installment basis.	Click to View

July, 2012

Sl.No	Date	Subject	Commission’s Decision
355	July 9, 2012	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2011: Warning.	Click to View
356	July 9, 2012	Disposal of review petition against SEC Orders No. SEC/Enforcement/689/2008/ 467-470 all dated 29^th June, 2009, No.SEC/Enforcement/689/2008/156-159 all dated 26^th January, 2010, No.SEC/Enforcement/689/ 2008/478-481 all dated 31^st May, 2010, No. SEC/ Enforcement/160/2003/566-569 all dated 19^th July, 2009 and No. SEC/Enforcement/160/ 2003/69-72 all dated 5^th January, 2010.	Click to View
357	July 31, 2012	Penalty Order for Violation of Securities related laws against Eastern Cables Limited.	Click to View
358	July 31, 2012	Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.	Click to View

June, 2012

Sl.No	Date	Subject	Commission’s Decision
359	June 10, 2012	Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.	Click to View
360	June 10, 2012	Penalty Order for Violation of Securities related laws against Mita Textiles Limited.	Click to View
361	June 10, 2012	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
362	June 10, 2012	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
363	June 10, 2012	Penalty Order for Violation of Securities related laws against Pharmaco International Limited.	Click to View
364	June 10, 2012	Penalty Order for Violation of Securities related laws against M Hossain Garments washing and dying Limited.	Click to View
365	June 10, 2012	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
366	June 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	Click to View
367	June 10, 2012	Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.	Click to View
368	June 10, 2012	Penalty Order for Violation of Securities related laws against Bangladesh Shipping Corporation.	Click to View
369	June 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	Click to View
370	June 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	Click to View
371	June 10, 2012	Reduction of Penalty	Click to View
372	June 10, 2012	Payment of Penalty amount on installment basis	Click to View
373	June 12, 2012	Reduction of Penalty	Click to View
374	June 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	Click to View
375	June 14, 2012	Penalty Order for Violation of Securities related laws against Apollo Ispat Complex Limited	Click to View
376	June 14, 2012	Penalty Order for Violation of Securities related laws against ICB Capital Management Limited	Click to View
377	June 14, 2012	Penalty Order for Violation of Securities related laws against Zoha Zaman Kabir Rashid and Co.	Click to View
378	June 14, 2012	Penalty Order for Violation of Securities related laws against Masih Muhith Haque and Co.	Click to View
379	June 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	Click to View
380	June 17, 2012	Warning: Non-compliance of 5(1) of Margin Rules, 1999	Click to View
381	June 27, 2012	Penalty Order for Violation of Securities related laws against NBL Securities Limited	Click to View
382	June 28, 2012	Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited	Click to View

May, 2012

Sl.No	Date	Subject	Commission’s Decision
383	May 9, 2012	Disposal f review petition against SEC Orders No. SEC/Enforcement/447/ 2006/664-670 all dated September 29, 2011.	Click to View
384	May 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.	Click to View
385	May 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.	Click to View
386	May 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.	Click to View
387	May 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.	Click to View
388	May 28, 2012	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
389	May 28, 2012	Penalty Order for Violation of Securities related laws against Rose Haven Ball Pen Limited.	Click to View
390	May 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.	Click to View

April, 2012

Sl.No	Date	Subject	Commission’s Decision
391	April 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.	Click to View
392	April 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.	Click to View
393	April 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.	Click to View
394	April 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.	Click to View
395	April 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.	Click to View
396	April 10, 2012	Rejection of second review petition no. NIL. dated December 15, 2011	Click to View
397	April 10, 2012	Rejection of second review petition no. NIL. dated January 03, 2012	Click to View
398	April 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.	Click to View
399	April 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.	Click to View
400	April 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.	Click to View
401	April 12, 2012	Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005.	Click to View
402	April 12, 2012	Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005	Click to View
403	April 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.	Click to View
404	April 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.	Click to View
405	April 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.	Click to View
406	April 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.	Click to View
407	April 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.	Click to View
408	April 15, 2012	Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
409	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
410	April 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.	Click to View
411	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
412	April 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.	Click to View
413	April 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.	Click to View
414	April 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.	Click to View
415	April 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.	Click to View
416	April 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.	Click to View
417	April 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.	Click to View
418	April 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.	Click to View
419	April 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.	Click to View
420	April 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.	Click to View
421	April 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.	Click to View
422	April 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.	Click to View
423	April 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.	Click to View
424	April 22, 2012	Penalty Order for Violation of Securities related laws against Rose Haven Ball Pen Limited.	Click to View
425	April 22, 2012	Penalty Order for Violation of Securities related laws against Mona Food Industries Limited.	Click to View
426	April 22, 2012	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
427	April 22, 2012	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
428	April 22, 2012	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
429	April 22, 2012	Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Ltd.	Click to View
430	April 24, 2012	Penalty Order for Violation of Securities related laws against Dhaka fisheries Limited.	Click to View
431	April 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.	Click to View
432	April 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.	Click to View
433	April 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.	Click to View
434	April 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.	Click to View
435	April 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.	Click to View
436	April 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.	Click to View

March, 2012

Sl.No	Date	Subject	Commission’s Decision
437	March 4, 2012	Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.	Click to View
438	March 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.	Click to View
439	March 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.	Click to View
440	March 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.	Click to View
441	March 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).	Click to View
442	March 15, 2012	Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.	Click to View
443	March 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.	Click to View
444	March 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.	Click to View
445	March 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.	Click to View
446	March 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.	Click to View
447	March 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.	Click to View
448	March 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.	Click to View

February, 2012

Sl.No	Date	Subject	Commission’s Decision
449	February 12, 2012	Non-compliance of securities laws.-Warning.	Click to View
450	February 15, 2012	Waiver of penalty against penal Orders No. SEC/Enforcement/ 303/2005/ 584 dated September 18, 2011	Click to View
451	February 15, 2012	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2011. Warning.	Click to View
452	February 15, 2012	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.	Click to View
453	February 15, 2012	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.	Click to View
454	February 23, 2012	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on September 30, 2011. Warning.	Click to View
455	February 29, 2012	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2011. Warning.	Click to View

January, 2012

Sl.No	Date	Subject	Commission’s Decision
456	January 8, 2012	Penalty Order for Violation of Securities related laws against Rangamati Food Products Limited.	Click to View
457	January 10, 2012	WARNING: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 in connection with declaration of shares sale.	Click to View
458	January 10, 2012	WARNING: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with non submission of buy confirmation report within stipulated time.	Click to View
459	January 10, 2012	WARNING: Non compliance of Notification No. SEC/CMRRCD/2000-313/Admin/06 dated March 25,2001 in connection with non submission of sale confirmation report.	Click to View
460	January 10, 2012	Disposal: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 in connection with non Completion of sale as per declaration.	Click to View
461	January 10, 2012	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 confirmation report.	Click to View
462	January 24, 2012	Disposal of review petition against Penal Orders in connection with the audited financial statements of Chittatong Vegetable Oil Industries Limited for the year ended on June 30, 2010.	Click to View
463	January 30, 2012	Non-compliance of securities laws: -Warning.	Click to View

December, 2011

Sl.No	Date	Subject	Commission’s Decision
464	December 1, 2011	Disposal: Non-compliance of regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulations, 2006.	Click to View
465	December 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.	Click to View
466	December 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.	Click to View
467	December 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.	Click to View
468	December 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.	Click to View
469	December 1, 2011	Reduction of Penalty.	Click to View
470	December 1, 2011	Rejection of review petition.	Click to View
471	December 1, 2011	Rejection of review petition.	Click to View
472	December 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	Click to View
473	December 5, 2011	Penalty Order for Violation of Securities related laws against Dhaka Fishers Limited.	Click to View
474	December 5, 2011	Penalty Order for Violation of Securities related laws against GMG Industrial Corporation Limited.	Click to View
475	December 5, 2011	Penalty Order for Violation of Securities related laws against Pharmaco International Limited.	Click to View
476	December 5, 2011	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
477	December 5, 2011	Penalty Order for Violation of Securities related laws against M. Hossain Garments Washing and Dyeing Limited.	Click to View
478	December 8, 2011	Rejection of review petition against Commission’s order No. SEC/Enforcement/840/2010/305 date June 14, 2011.	Click to View
479	December 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.	Click to View
480	December 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.	Click to View
481	December 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.	Click to View
482	December 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.	Click to View
483	December 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.	Click to View
484	December 8, 2011	Reduction of Penalty.	Click to View
485	December 8, 2011	Reduction of Penalty.	Click to View
486	December 8, 2011	Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/569/ dated September 06, 2011.	Click to View
487	December 8, 2011	Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/571/ dated September 06, 2011.	Click to View
488	December 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.	Click to View
489	December 8, 2011	Reduction of Penalty.	Click to View
490	December 8, 2011	Reduction of Penalty.	Click to View
491	December 8, 2011	Reduction of Penalty.	Click to View
492	December 19, 2011	Disposal of review petition against SEC Order No. SEC/Enforcement/300/2005/821-823 all dated November 02, 2009	Click to View
493	December 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.	Click to View
494	December 19, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
495	December 19, 2011	Penalty Order for Violation of Securities related laws against Rose Heaven Ball Pen Limited.	Click to View
496	December 19, 2011	Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.	Click to View
497	December 19, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
498	December 20, 2011	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
499	December 21, 2011	Disposal of review petition against SEC Order No. SEC/Enforcement/447/2006/664-670 all dated September 29, 2011	Click to View
500	December 21, 2011	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
501	December 21, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
502	December 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.	Click to View
503	December 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.	Click to View
504	December 27, 2011	Penalty Order for Violation of Securities related laws against PHP Stock and Securities Limited.	Click to View
505	December 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.	Click to View
506	December 28, 2011	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
507	December 28, 2011	Penal Order: In connection with non-submission of audited financial statements for the year ended on December 31, 2009.	Click to View
508	December 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.	Click to View
509	December 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.	Click to View
510	December 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.	Click to View
511	December 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.	Click to View

November, 2011

Sl.No	Date	Subject	Commission’s Decision
512	November 13, 2011	Penalty Order for Violation of Securities related laws against Island Securities Limited.	Click to View
513	November 13, 2011	Non-compliance of Securities related laws: Disposal of the alleged matter.	Click to View
514	November 13, 2011	Non-compliance with securities laws-Warning.	Click to View
515	November 14, 2011	Disposal of review petition against Penalty Order in connection retention of auditor for a consecutive period exceeding three years.	Click to View

October, 2011

Sl.No	Date	Subject	Commission’s Decision
516	October 2, 2011	Penalty Order for Violation of Securities related laws against Aloco Securities Limited.	Click to View
517	October 2, 2011	Penalty Order for Violation of Securities related laws against K H B Securities Limited.	Click to View
518	October 2, 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.	Click to View
519	October 2, 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.	Click to View
520	October 3, 2011	Disposal of review petition against Penalty Order: In connection with auditor’s qualifications and Commission’s observations on the audited financial statements for the year ended on June 30, 2009	Click to View
521	October 4, 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.	Click to View
522	October 11, 2011	Penalty Order for Violation of Securities related laws against Dhaka Fisheries Limited.	Click to View
523	October 12, 2011	Penalty Order for Violation of Securities related laws against Bengal Fine Ceramics Limited.	Click to View

September, 2011

Sl.No	Date	Subject	Commission’s Decision
524	September 6, 2011	Penalty Order for Violation of Securities related laws against Mehgna Petroleum Limited.	Click to View
525	September 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	Click to View
526	September 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	Click to View
527	September 6, 2011	Penal Order: Non-compliance of securities laws in connection with unusual trading in shares of Safko Spinning Mills Limited	Click to View
528	September 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	Click to View
529	September 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	Click to View
530	September 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	Click to View
531	September 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	Click to View
532	September 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.	Click to View
533	September 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.	Click to View
534	September 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.	Click to View
535	September 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	Click to View
536	September 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	Click to View
537	September 15, 2011	PENAL ORDER: Regarding Violation of Securities related laws.	Click to View
538	September 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.	Click to View
539	September 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.	Click to View
540	September 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.	Click to View
541	September 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.	Click to View
542	September 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.	Click to View
543	September 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	Click to View
544	September 18, 2011	Penalty Order for Violation of Securities related laws against Mona Food Industry Limited.	Click to View
545	September 18, 2011	Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Limited.	Click to View
546	September 18, 2011	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
547	September 18, 2011	Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.	Click to View
548	September 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.	Click to View
549	September 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.	Click to View
550	September 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.	Click to View
551	September 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.	Click to View
552	September 20, 2011	Non-compliance of securities laws: Warning.	Click to View
553	September 21, 2011	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
554	September 21, 2011	Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited.	Click to View
555	September 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.	Click to View
556	September 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.	Click to View
557	September 25, 2011	Penalty Order for Violation of Securities related laws against Chittagong Vegetable Oil Industries Limited.	Click to View
558	September 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.	Click to View
559	September 26, 2011	Penalty Order for Violation of Securities related laws against Alhaj Textile Mills Limited.	Click to View
560	September 29, 2011	Penalty Order for Violation of Securities related laws against Azadi Printers Limited.	Click to View

August, 2011

Sl.No	Date	Subject	Commission’s Decision
561	August 2, 2011	সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য ডান্ডি ডাইং লিমিটেড এর উপর জরিমানা ধার্যের ‘‘আদেশ”	Click to View
562	August 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.	Click to View
563	August 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.	Click to View
564	August 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	Click to View
565	August 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.	Click to View
566	August 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.	Click to View
567	August 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.	Click to View
568	August 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.	Click to View
569	August 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	Click to View
570	August 16, 2011	PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009.	Click to View
571	August 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	Click to View
572	August 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	Click to View
573	August 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	Click to View
574	August 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	Click to View
575	August 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.	Click to View
576	August 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	Click to View
577	August 16, 2011	Non-compliance of securities laws: Warning	Click to View
578	August 16, 2011	Non-compliance of securities laws: Warning	Click to View
579	August 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	Click to View
580	August 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	Click to View
581	August 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”	Click to View

July, 2011

Sl.No	Date	Subject	Commission’s Decision
582	July 3, 2011	Withdrawal of certificate case against token payment as penalty on concerned of Directors of Sajib Knitwear and Garments Ltd.	Click to View
583	July 19, 2011	সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য আলহাজ টেক্সটাইল মিলস লিমিটেড এর ব্যবস্থাপনা পরিচালক ও অন্যান্য পরিচালকদের জরিমানা ধার্যের ‘‘আদেশ”	Click to View
584	July 26, 2011	Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years: Warning	Click to View
585	July 26, 2011	Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years: Warning	Click to View
586	July 31, 2011	Non-compliance of securities laws.-Warning

June, 2011

Sl.No	Date	Subject	Commission’s Decision
587	June 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.	Click to View
588	June 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.
589	June 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.	Click to View
590	June 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.
591	June 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.
592	June 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.
593	June 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.
594	June 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.
595	June 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.
596	June 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.
597	June 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.	Click to View
598	June 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.
599	June 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.
600	June 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.
601	June 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.
602	June 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.
603	June 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.
604	June 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.
605	June 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.
606	June 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.	Click to View
607	June 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.
608	June 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.	Click to View
609	June 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.	Click to View
610	June 27, 2011	Penal Order for violating বিধি ৪ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.	Click to View
611	June 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.	Click to View
612	June 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.
613	June 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.
614	June 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.
615	June 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.	Click to View
616	June 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.	Click to View
617	June 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.	Click to View
618	June 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.	Click to View
619	June 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.	Click to View
620	June 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

Sl.No	Date	Subject	Commission’s Decision
621	April 4, 2011	Order to Modern Fiber Industry Ltd. Order No-sec/enforcement/866/2011/200	Click to View
622	April 13, 2011	Warning: Non-compliance with securities related laws to Credit Rating Agency of Bangladesh Limited (CRAB)	Click to View
623	April 27, 2011	Your letter dated March 21, 2011 against Commission’s penalty Order to Bali Securities Limited.	Click to View
624	April 28, 2011	Order to Cordial Securities Ltd. Order No SEC/Enforcement/905/2011/265	Click to View
625	April 28, 2011	Order to Arafat Securities Ltd. Order No: SEC/Enforcement/829/2010/269	Click to View
626	April 28, 2011	Order to Arafat Securities Ltd. Order No: SEC/Enforcement/829/2010/267	Click to View

March, 2011

Sl.No	Date	Subject	Commission’s Decision
627	March 3, 2011	Warning: Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years to Hakkani Pulp & Paper Mills Ltd.	Click to View
628	March 23, 2011	Warning: Non-compliance with the securities related laws in connection with audited financial statements for the year ended on June 30, 2009 to Sonali Aansh Industries ltd.	Click to View
629	March 31, 2011	Your letter dated Feb 24, 2011 against Commission's penalty Order No. SEC/Enforcement/660/2008/87 dated Feb 10, 2011 to Western Securities Investment Management Ltd
630	March 31, 2011	Disposal of review against Penalty Order: in connection with Repeat Public Offerings (RPO) of Golden Son Ltd. to ICB Capital Management Ltd	Click to View

February, 2011

Sl.No	Date	Subject	Commission’s Decision
631	February 7, 2011	Order to Bangladesh Electricity Meter Company Ltd. Order no-SEC/ENFORCEMENT/52/2001/66-68.	Click to View
632	February 8, 2011	Disposal of review against Penalty Order: in connection with Repeat Public offerings (RPO) of Golden Son Ltd to ICB Capital Management Ltd.	Click to View
633	February 9, 2011	Order to Bionic See Food Export Ltd. Order No: SEC/ENFORCEMENT/641/2007/80 TO SEC/ENFORCEMENT/641/2007/83	Click to View
634	February 10, 2011	Order to MAH Securities Ltd. Order No: SEC/ENFORCEMENT/804/2010/89	Click to View
635	February 10, 2011	Order to SAAD Securities Ltd. Order No: SEC/ENFORCEMENT/787/2009/91	Click to View
636	February 10, 2011	Order to Western Securities Investment Management Ltd. Order No: SEC/ENFORCEMENT/660/2008/87	Click to View
637	February 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	Click to View
638	February 27, 2011	Order to Modern Industry Ltd. Order No: SEC/ENFORCEMENT/790/2009/112 TO SEC/ENFORCEMENT/790/2009/114	Click to View
639	February 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.	Click to View
640	February 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.	Click to View
641	February 28, 2011	Order to ASENZ Securities Ltd. Order No: SEC/ENFORCEMENT/860/2011/128	Click to View
642	February 28, 2011	Order to M Securities Ltd. Order No: SEC/ENFORCEMENT/588/2007/122	Click to View
643	February 28, 2011	Order to BALI Securities Ltd. Order No: SEC/ENFORCEMENT/861/2011/126	Click to View

January, 2011

Sl.No	Date	Subject	Commission’s Decision
644	January 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	Click to View
645	January 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	Click to View
646	January 12, 2011	Order to Salah Carpet Mills Ltd. Order No-SEC/Enforcement/722/2008/18-21	Click to View
647	January 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.	Click to View
648	January 16, 2011	Warning: Non-compliance of securities laws for MAH Securities ltd	Click to View
649	January 17, 2011	Warning: Non-compliance with securities related laws in connection with Issue of Capital by C.P. Bangladesh Co. Ltd	Click to View
650	January 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)	Click to View
651	January 26, 2011	Warning: Non-compliance of securities laws to Anam Capital ltd	Click to View
652	January 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	Click to View
653	January 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.No	Date	Subject	Commission’s Decision
654	December 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	Click to View
655	December 7, 2010	Order to Saad Securities Ltd. Order no sec/enforcement/787/2009/819	Click to View
656	December 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	Click to View
657	December 15, 2010	Warning: non compliance of securities laws to BRAC EPL Stock Brokerage Ltd.	Click to View
658	December 19, 2010	Warning: non compliance of securities laws to Alliance Securities & Management Ltd.	Click to View
659	December 19, 2010	Warning: non compliance of securities laws to Alliance Securities & Management Ltd.	Click to View
660	December 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.	Click to View
661	December 21, 2010	Warning: non compliance of securities laws to Apex Investments Ltd.	Click to View
662	December 21, 2010	Warning: Show cause cum hearing notice: non compliance of securities related laws in connection with issue of Capital by Sea Tex Ltd	Click to View
663	December 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	Click to View
664	December 23, 2010	Warning: non compliance of securities laws to Sharp Securities Ltd.	Click to View
665	December 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.	Click to View

November, 2010

Sl.No	Date	Subject	Commission’s Decision
666	November 7, 2010	Disposal of review appeal against Penalty Order: In connection with repeat Public Offerings (RPO) of Golden Son Ltd to ICB Capital Management Ltd (issuer)	Click to View
667	November 7, 2010	Disposal of review petition against Penal Orders In connection with the audited financial Statement for the year ended on June 30, 2003 to Fine Foods Ltd.	Click to View
668	November 7, 2010	Disposal of review petition against Penal Orders In connection with repeat Public Offerings (RPO) of Golden Son Ltd	Click to View
669	November 9, 2010	Order to Ammam Sec Food Industry Ltd. Order No: SEC/ENFORCEMENT/567/2007/787.	Click to View
670	November 14, 2010	WARNING: Non-Compliance with securities related laws in connection with the audited financial statements for the year ended on Dec-31, 2009 to Lexco Ltd (issuer)	Click to View
671	November 21, 2010	Disposal of review petition against Penal Orders In connection with the audited financial Statement for the year ended on June 30, 2006 & 2007 with a token fine to Ashraf Textile Mills Ltd	Click to View
672	November 23, 2010	WARNING: Alleged Non-Compliance with securities related laws in connection with the audited financial statements of Sonali Paper & Board Mills Ltd for the year ended on June-30, 2009 to M/s. Chowdhury Bhattacharjee & Co.	Click to View

October, 2010

Sl.No	Date	Subject	Commission’s Decision
673	October 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	Click to View
674	October 4, 2010	Order to Golden Son Ltd. Order No: SEC/ENFORCEMENT/805/2010/710	Click to View
675	October 4, 2010	Order to National Credit & Commerce Bank Ltd. Order No: SEC/ENFORCEMENT/721/2008/707	Click to View
676	October 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.	Click to View
677	October 11, 2010	Warning: For violation of rule 13 of the Securities and Exchange Rules, 1987 for Arbee Textiles Ltd	Click to View
678	October 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	Click to View
679	October 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	Click to View
680	October 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	Click to View
681	October 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	Click to View
682	October 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	Click to View
683	October 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	Click to View
684	October 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	Click to View
685	October 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	Click to View
686	October 21, 2010	Warning: non compliance of securities laws to IIDFC capital Ltd	Click to View
687	October 21, 2010	Warning: non compliance of securities laws to Pioneer Insurance Co. Ltd	Click to View
688	October 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.	Click to View
689	October 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	Click to View
690	October 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	Click to View
691	October 27, 2010	Order to PFI Securities Ltd. Order No: SEC/ENFORCEMENT/GP/2010/835/773	Click to View

September, 2010

Sl.No	Date	Subject	Commission’s Decision
692	September 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	Click to View
693	September 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)	Click to View
694	September 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)	Click to View
695	September 6, 2010	IFIC Bank Ltd (DSE Member No. 192): non-compliance of securities related laws: disposal of the alleged matter.	Click to View
696	September 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	Click to View
697	September 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	Click to View
698	September 14, 2010	Order to Anawar Gealvanizing Ltd. Order No: SEC/ENFORCEMENT/726/2008/688	Click to View
699	September 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	Click to View
700	September 20, 2010	Waiver of penalty imposed videpenal orders No. SEC/Enforcement/779/2009/63-67 dated January 05, 2010 to rahman Chemicals Ltd	Click to View
701	September 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	Click to View
702	September 21, 2010	Order to Salah Carpets mills Ltd. Order No: SEC/ENFORCEMENT/277 /2008/696-699	Click to View

August, 2010

Sl.No	Date	Subject	Commission’s Decision
703	August 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	Click to View
704	August 2, 2010	Warning: non-compliance with securities related laws in connection with price sensitive information to Himadri Ltd.	Click to View
705	August 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	Click to View
706	August 8, 2010	Order to Metalex Corporation Ltd. Order no: SEC/ENFORCEMENT/139/2002/633-637	Click to View
707	August 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	Click to View
708	August 12, 2010	Order to Khaja Mojaiek Tiles and Stone Industry Ltd. Order No: SEC/ENFORCEMENT/723/2008/641-644.	Click to View
709	August 23, 2010	Order to Sajib NetWare and Garments Ltd. Order No: SEC/ENFORCEMENT/432/2006/653-659	Click to View
710	August 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.	Click to View
711	August 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	Click to View
712	August 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.	Click to View

July, 2010

Sl.No	Date	Subject	Commission’s Decision
713	July 1, 2010	Warning to concern of Non-compliance with securities related laws in connection with issue of right share to Beach Hatchery Ltd.	Click to View
714	June 4, 2010	Order to Trusty Association Company Ltd. Order No SEC/Enforcement/804/2010/568	Click to View
715	July 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	Click to View
716	July 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	Click to View
717	July 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
718	July 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
719	July 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	Click to View
720	July 12, 2010	Order to Farmaco International Ltd. Order no SEC/Enforcement/86/2002/576-580.	Click to View
721	July 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	Click to View
722	July 15, 2010	Order to Mac Enterprises Ltd. Order No SEC/ENFORCEMENT /197/2003/584-589	Click to View
723	July 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	Click to View
724	July 22, 2010	Order to Dhaka Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/602	Click to View
725	July 22, 2010	Order to Chittagong Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/603	Click to View
726	July 25, 2010	Order to Fahad Industry Ltd. Order No SEC/ENFORCEMENT/748/2009/593-598	Click to View
727	July 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	Click to View
728	July 26, 2010	Order to Arafath Securities Ltd. Order No SEC/ENFORCEMENT/824/2010/609	Click to View
729	July 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	Click to View

June, 2010

Sl.No	Date	Subject	Commission’s Decision
730	June 1, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for Trendset Securities Ltd.	Click to View
731	June 2, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for haji Ahmad Brothers Securities Ltd.	Click to View
732	June 2, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for The Premier Bank Ltd.	Click to View
733	June 3, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (Lanka Bangla Securities Ltd.)	Click to View
734	June 3, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (The City Bank Ltd)	Click to View
735	June 6, 2010	Order to Salah Carpet Mills Ltd. Order No. SEC/Enforcement/722/2008/488-491.	Click to View
736	June 7, 2010	Order to Mr. Yakub ali Khondokar. Order no. SEC/Enforcement/808/2010/.
737	June 7, 2010	Order to Raspita data Management & telecommunication ltd. Order no. SEC/Enforcement/408/2006/496.	Click to View
738	June 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	Click to View
739	June 9, 2010	Order to Kaya Cosmetics ltd. Order no. SEC/Enforcement/754/2009/500-506.	Click to View
740	June 14, 2010	Non-compliance of securities related laws. Disposal of alleged matter of Trendset Securities Ltd. CSE Membership No 077 (Broker)	Click to View
741	June 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.	Click to View
742	June 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.	Click to View
743	June 14, 2010	Order to Chictex Ltd. Order no. SEC/Enforcement/37/2001/514-517.	Click to View
744	June 15, 2010	Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of ICBIBANK to Haji Ahmad Brothers Securities Ltd.	Click to View
745	June 17, 2010	Order to M Hossin Garments washing & Dying Ltd. Order no. SEC/Enforcement/218/2004/527-529.	Click to View
746	June 17, 2010	Order to Raspita Ink (BD) Ltd. Order no. SEC/Enforcement/218/2004/523-525.	Click to View
747	June 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
748	June 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	Click to View
749	June 21, 2010	Order to Lanka Bangla Finance (Merchant Banker). Order no. SEC/Enforcement/758/2009/534	Click to View
750	June 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
751	June 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	Click to View
752	June 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.	Click to View
753	June 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.	Click to View
754	June 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	Click to View
755	June 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.	Click to View
756	June 29, 2010	Order to Rose Haven Ball pen Ltd. Order no. SEC/Enforcement/298/2005/542-547	Click to View
757	June 29, 2010	Order to Tulip Dairy & Food Products Ltd. Order no. SEC/Enforcement/194/2003/549-555	Click to View
758	June 29, 2010	Order to Padda Printers & color Ltd. Order no. SEC/Enforcement/740/2008/557 to SEC/Enforcement/740/2008/561	Click to View
759	June 30, 2010	Order to Arafat Securities Ltd. Order no. SEC/Enforcement/829/2010/563
760	June 30, 2010	Order to MAH Securities Ltd. Order no. SEC/Enforcement/804/2010/568

May, 2010

Sl.No	Date	Subject	Commission’s Decision
761	May 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	Click to View
762	May 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	Click to View
763	May 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	Click to View
764	May 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
765	May 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
766	May 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
767	May 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	Click to View
768	May 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	Click to View
769	May 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	Click to View
770	May 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	Click to View
771	May 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	Click to View
772	May 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	Click to View
773	May 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	Click to View
774	May 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	Click to View
775	May 20, 2010	Order to Rashpita data management & telecommunication Ltd. Order No. SEC/Enforcement/371/2005/448-449	Click to View
776	May 26, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws to Lanka Bangle Finance Ltd.	Click to View
777	May 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	Click to View
778	May 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	Click to View
779	May 31, 2010	Order to Patro Synthetic Products Ltd. Order No. SEC/Enforcement/738/2008/467 to SEC/Enforcement/738/2008/471	Click to View
780	May 31, 2010	Order to Bionic See Food Export Ltd. Order No. SEC/Enforcement/641/2007/473 to SEC/Enforcement/641/2007/476	Click to View
781	May 31, 2010	Order to Sreepur Textile Mills Ltd. Order No. SEC/Enforcement/689/2008/478 to SEC/Enforcement/689/2008/481	Click to View

April, 2010

Sl.No	Date	Subject	Commission’s Decision
782	April 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	Click to View
783	April 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	Click to View
784	April 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	Click to View
785	April 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	Click to View
786	April 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	Click to View
787	April 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	Click to View
788	April 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	Click to View
789	April 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)	Click to View
790	April 21, 2010	Ordered to concerned of Bangladesh Zipper industry Ltd.	Click to View
791	April 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)	Click to View
792	April 22, 2010	Show-cause cum hearing notice: Non-compliance of securities related laws (Arafat Securities Ltd)	Click to View
793	April 22, 2010	Order to Bangladesh Luggage Industry Ltd	Click to View
794	April 25, 2010	Order to Bangladesh Leaf Tobacco Co. Ltd	Click to View
795	April 27, 2010	Order to M/s Mowla Mohammad & Co	Click to View
796	April 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

Sl.No	Date	Subject	Commission’s Decision
797	March 25, 2010	Warning to concerned of Jamuna Oil Company Ltd due to non-compliance of securities related laws in connection with auditor’s qualifications and Commission’s observations on audited financial statements for the year ended on June 30, 2008
798	March 31, 2010	Order to concerned of Perfume Chemicals Industries Ltd

February, 2010

Sl.No	Date	Subject
799	February 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)
800	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)
801	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)
802	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Salta Capital Ltd.)
803	February 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)
804	February 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)
805	February 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)
806	February 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)
807	February 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)
808	February 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)
809	February 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)
810	February 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)
811	February 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)
812	February 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)
813	February 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)
814	February 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)
815	February 15, 2010	Disposal of review petition against Penal Order : In connection with non-compliances based on the inspection Report(M.Securities ltd)
816	February 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)
817	February 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)
818	February 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)
819	February 17, 2010	Warning : In connection with the non-compliance of the section 40 of depository regulation 2003 (Meghna Petrolium Limited)
820	February 17, 2010	Order : Sonali Ansh Industries
821	February 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.)
822	February 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.)
823	February 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.)
824	February 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)
825	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection (Mr.Abdur Rahim)
826	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection {Major (Rtd.) Didar Atwar Hossain}
827	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection (DMR Securities Ltd.)
828	February 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
829	February 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}
830	February 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)
831	February 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 )
832	February 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)
833	February 22, 2010	Order : Metalex Corporation
834	February 22, 2010	Order : Fahad Industries Limited
835	February 23, 2010	Order : Pharmaco International Limited
836	February 23, 2010	Order : Chictex Limited
837	February 23, 2010	Order : Rose Heaven Ballpen Limited
838	February 23, 2010	Order : Khawja Mosaic Tiles and Stone Industries Limited
839	February 24, 2010	Order : Raspit Data Management and Telecommunications Limited
840	February 24, 2010	Order : Tulip Dairy and Food Products Limited
841	February 24, 2010	Order : Raspit Inc (BD) Limited
842	February 24, 2010	Order : M.Hossain Garments Washing and Dying Limited
843	February 24, 2010	Order : Jamuna Oil Company Limited
844	February 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)
845	February 25, 2010	Order : Sajib Knitware and Garments Limited
846	February 25, 2010	Order : Meghna Petroleum Limited
847	February 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)
848	February 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)
849	February 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)
850	February 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.No	Date	Subject	Commission’s Decision
851	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Arafat Securities Limited )	Click to View
852	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Expo Traders Ltd. Depository Participants )	Click to View
853	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Al Muntaha Trading Co.Ltd .Depository Participants )	Click to View
854	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Salta Capital Ltd. Depository Participants )	Click to View
855	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Stock & Bond Ltd. Depository Participants)	Click to View
856	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Anchor Securities Ltd. Depository Participants )	Click to View
857	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Dawn Securities Ltd. Depository Participants)	Click to View
858	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( M.Securities Limited. Depository Participants )	Click to View
859	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (ALOCO Securities Ltd. Depository Participants)	Click to View
860	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Island Securities Ltd. Depository Participants)	Click to View
861	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (SAAD Securities Ltd. Depository Participants)	Click to View
862	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Trendset Securities Ltd. Depository Participants )	Click to View
863	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Shahiq Securities Ltd. Depository Participants)	Click to View
864	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Sinha Securities Ltd. Depository Participants)	Click to View
865	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Rashid Investment Ltd. Depository Prticipants)	Click to View
866	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( South Asia Securities Ltd. Depository Participants )	Click to View
867	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Shyamol Equity management Ltd. Depository Participants )	Click to View
868	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Be Rich Limited )	Click to View
869	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (AB & Co. Ltd. (Depository Participants)	Click to View
870	January 4, 2010	Order : Wata Chemicals Limited	Click to View
871	January 4, 2010	Order : Raspit Data management and Telecommunication Ltd.
872	January 4, 2010	Order : Saleh Carpet Mills Ltd.	Click to View
873	January 4, 2010	Order : Raspit Ink (DB) Ltd.
874	January 4, 2010	Order : Chictex ltd.	Click to View
875	January 5, 2010	Order : Sajib Knit ware and Garments Ltd.	Click to View
876	January 5, 2010	Order : Pharmaco International Ltd.	Click to View
877	January 5, 2010	Order : Quasem Silk Mills Ltd.	Click to View
878	January 5, 2010	Order : Quasem Textile Mills Ltd.	Click to View
879	January 5, 2010	Order : Rahman Chemical Ltd.	Click to View
880	January 5, 2010	Order : Sripur Textile Mills Ltd.	Click to View
881	January 5, 2010	Order : Metalex Corporation Ltd.	Click to View
882	January 10, 2010	Warning : Non-compliance of securities Laws ( Al-Haj Securities Ltd.)	Click to View
883	January 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.)	Click to View
884	January 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.)	Click to View
885	January 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)	Click to View
886	January 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)	Click to View
887	January 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)	Click to View
888	January 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.)
889	January 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.)
890	January 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.)
891	January 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.)
892	January 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.)
893	January 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.)
894	January 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.)
895	January 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.)
896	January 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. )
897	January 10, 2010	Warning : Non-compliance of securities laws regarding enquiry (Banco Securities Ltd.)	Click to View
898	January 18, 2010	Order : Arafat Securities , Mr.Mujibur Rahman Sheikh (AR), Mr.Mohammad Abdullah (CEO)	Click to View
899	January 18, 2010	Order : Saad Securities Ltd
900	January 25, 2010	Order : Niloy Cement Industries Ltd	Click to View
901	January 26, 2010	Order : Alfa Tobacco Manufacturing Ltd	Click to View
902	January 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)
903	January 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)
904	January 26, 2010	Warning : Non-compliance of securities Laws : Regarding inspection (Shyamol Equity Management Ltd.)
905	January 26, 2010	Warning : Non-compliance of securities Laws : Regarding inspection (Dhanmondi Securities Ltd.)
906	January 26, 2010	Order : Bionic Seafood Export Ltd.
907	January 26, 2010	Order : Beach Hatchery Ltd.	Click to View
908	January 26, 2010	Order : Sreepur Textile Mills Ltd.	Click to View
909	January 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.)	Click to View
910	January 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.)	Click to View

December, 2009

Sl.No	Date	Subject	Commission’s Decision
911	December 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.)
912	December 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)
913	December 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)
914	December 10, 2009	Order : Bangladesh Electricity Meter Company limited
915	December 14, 2009	Order : Wata Chemicals Limited
916	December 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)
917	December 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.	Click to View
918	December 27, 2009	Warning : Non-compliance of securities laws : Regarding Enquiry Order No.SEC/Surveillance/2003-0046 dated September 27, 2009.(Akij Securities)	Click to View
919	December 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.	Click to View
920	December 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.	Click to View
921	December 29, 2009	Order : Managing Director - Uttara Bank Limited.
922	December 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.
923	December 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
924	December 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
925	December 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
926	December 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
927	December 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
928	December 31, 2009	Order : Rose Heaven Ball pen Ltd

November, 2009

Sl.No	Date	Subject	Commission’s Decision
929	November 1, 2009	Order to Perto Synthetic Products Limited	Click to View
930	November 1, 2009	Order to Al-Muntaha Trading Co.Ltd
931	November 3, 2009	Order to Arafat securities Limited
932	November 3, 2009	Order to Quashem Textile Mills Limited	Click to View
933	November 3, 2009	Order to Quashem Silk Mills Limited	Click to View
934	November 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
935	November 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
936	November 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
937	November 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
938	November 18, 2009	Disposal-Rahman Chemicals Limited : Non-compliance of securities laws in connection with the holding of AGM in the year 2008
939	November 25, 2009	Order: Prime Textile Spinning Mills Limited	Click to View
940	November 25, 2009	Order : Bangladesh Dyeing and Finishing Industries Ltd	Click to View
941	November 26, 2009	Order : Dandy Dyeing Limited.	Click to View

October, 2009

Sl.No	Date	Subject	Commission’s Decision
942	October 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.	Click to View
943	October 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.	Click to View
944	October 12, 2009	Warning to Phoenix Insurance Company Ltd. (Issuer) for :-Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
945	October 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.	Click to View
946	October 12, 2009	Warning to Agrani Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
947	October 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.	Click to View
948	October 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.	Click to View
949	October 15, 2009	Order to Mak paper Industries.	Click to View
950	October 15, 2009	Order to Dandy Dying Limited.	Click to View
951	October 19, 2009	Order to Arafat Securities Limited.
952	October 22, 2009	Order to Mona Food Industries Ltd.	Click to View
953	October 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
954	October 22, 2009	Order to Mr.Ali Zaman & Mr.M.M.Fazlul Kabir .C/O, Mona Food Industries Ltd.	Click to View
955	October 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.
956	October 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.
957	October 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.
958	October 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)	Click to View
959	October 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

Sl.No	Date	Subject	Commission’s Decision
960	September 16, 2009	Warning to concerned of Eminent Securities Ltd. for non-compliance with securities related laws in connection with inspection vide Commission Order No. SEC/SRI/INS/DSE-MEM/14 dated June 23, 2009	Click to View
961	September 27, 2009	Review of imposed penalty against concerned of Maq Enterprise Ltd due to non-submission of audited financial statements for the year ended on June 30, 2007	Click to View
962	September 30, 2009	Order to concerned of Maq Enterprise Ltd	Click to View

August, 2009

Sl.No	Date	Subject	Commission’s Decision
963	August 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.	Click to View
964	August 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.	Click to View
965	August 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.	Click to View
966	August 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.	Click to View
967	August 23, 2009	Order to concerns of Bangladesh Chemical Industries Limited.	Click to View
968	August 23, 2009	Order to concerns of Bangladesh Zipper Industries Limited.	Click to View
969	August 23, 2009	Order to concerns of Bangladesh Luggage Industries Limited.	Click to View
970	August 24, 2009	Order to concerns of Saleh Carpet Mills Limited.	Click to View
971	August 25, 2009	Order to concerns of Sonali Aansh Industries Limited.	Click to View
972	August 27, 2009	Order to concerns of Mona Food Industry Limited.	Click to View
973	August 31, 2009	Order to concerns of M.Hossain Garments Washing and Dying Ltd.	Click to View

July, 2009

Sl.No	Date	Subject	Commission’s Decision
974	July 1, 2009	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View
975	July 5, 2009	Appeal against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 8,2009.
976	July 5, 2009	Review on appeal application of Mr.Belayet Hossain(authorized representative) submitted on 06/05/2009	Click to View
977	July 5, 2009	Review on appeal of Prime Finance & Investment Ltd against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 08,2009
978	July 5, 2009	Review on appeal of Prime Securities and Financial Services Ltd on cancellation of registration certificate.	Click to View
979	July 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.	Click to View
980	July 8, 2009	Order to concerns of Alpha Tobacco Manufacturing Ltd	Click to View
981	July 8, 2009	Order to concerns of Bionic Seafood Exports Ltd	Click to View
982	July 8, 2009	Order to concerns of M. Securities Ltd	Click to View
983	July 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	Click to View
984	July 12, 2012	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd	Click to View
985	July 14, 2009	Order to concerns of Excelsior Shoes Ltd	Click to View
986	July 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.	Click to View
987	July 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.	Click to View
988	July 15, 2009	Order to concerns of Mona Food Industries Ltd	Click to View
989	July 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.	Click to View
990	July 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.
991	July 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.	Click to View
992	July 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	Click to View
993	July 15, 2009	Order to concerns of M Hossain Garments Washing & Dyeing Ltd	Click to View
994	July 16, 2009	Non-compliance of securities laws : In connection with trading of shares of City General Insurance Co.Limited: Warning.	Click to View
995	July 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.	Click to View
996	July 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.
997	July 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.	Click to View
998	July 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.	Click to View
999	July 16, 2009	Order to concerns of Excelsior Shoes Ltd	Click to View
1000	July 19, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1001	July 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.	Click to View
1002	July 21, 2009	Order to concerns of Rose Heaven Ballpen Ltd	Click to View
1003	July 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.	Click to View
1004	July 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.	Click to View

June, 2009

Sl.No	Date	Subject	Commission’s Decision
1005	June 3, 2009	Warning to concerns of Meghna Petrolium Ltd for non-compliance of securities laws in connection with delayed submission of audited financial statements for the year ended on June 30, 2008.	Click to View
1006	June 21, 2009	Warning to concerns of Meghna Petrolium 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.	Click to View
1007	June 23, 2009	Disposal of review petition of Bangladesh Dyeing and Finishing Industries Ltd against penalty order for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1008	June 23, 2009	Warning to concerns of Globe Securities Ltd for non-compliance of securities laws.	Click to View
1009	June 25, 2009	Waiver of penalty imposed on concerns of Investment Corporation of Bangladesh vide penal order No.SEC/Enforcement/371/2005/232 dated March 04, 2009
1010	June 29, 2009	Order to concerns of Sripur Textile Mills Ltd	Click to View
1011	June 29, 2009	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd.

May, 2009

Sl.No	Date	Subject	Commission’s Decision
1012	May 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.	Click to View
1013	May 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.	Click to View
1014	May 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.	Click to View
1015	May 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.	Click to View
1016	May 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.	Click to View
1017	May 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.	Click to View
1018	May 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.	Click to View
1019	May 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.	Click to View
1020	May 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.	Click to View
1021	May 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.	Click to View
1022	May 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.	Click to View
1023	May 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.	Click to View

April, 2009

Sl.No	Date	Subject	Commission’s Decision
1024	April 8, 2009	Order to concerns of Raspit Data Management and Telecommunications Ltd	Click to View
1025	April 8, 2009	Order to concerns of Raspit Inc(BD) Ltd	Click to View
1026	April 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.	Click to View
1027	April 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.	Click to View
1028	April 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.	Click to View
1029	April 16, 2009	Waiver of penalty imposed against Summit Power Ltd through SEC penal order No.SEC/Enforcement/699/2008/71 dated January 20, 2009.	Click to View
1030	April 21, 2009	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd.	Click to View
1031	April 23, 2009	Waiver of penalty on Mr. Abdul Mannan, Shareholder, Fareast Islami Life Insurance Company Ltd.	Click to View
1032	April 26, 2009	Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.	Click to View
1033	April 26, 2009	Order to concerns of Bangladesh Zipper Industries Ltd.	Click to View
1034	April 26, 2009	Order to concerns of Bangladesh Luggage Industries Ltd.	Click to View
1035	April 28, 2009	Order to Mr. Belayet Hossain, Authorized Representative, CSE.	Click to View
1036	April 28, 2009	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd.	Click to View

March, 2009

Sl.No	Date	Subject	Commission’s Decision
1037	March 4, 2009	Disposal of review petition of M/s Marhk & Co, Chartered Accountants, against penalty order	Click to View
1038	March 4, 2009	Disposal of review petition of Maq Paper Industries Ltd(Issuer) against penalty order	Click to View
1039	March 4, 2009	Order to concerns of Wata Chemicals Ltd	Click to View
1040	March 8, 2009	Order to concerns of Rose Heaven Ball Pen Ltd	Click to View
1041	March 8, 2009	Order to concerns of Shajib Neatware & Garments Ltd	Click to View
1042	March 8, 2009	Order to concerns of Chictext Ltd	Click to View
1043	March 8, 2009	Order to concerns of Chictext Ltd
1044	March 24, 2008	Warning to M/s Syful Shamsul Alam & Co, Chartered Accountants for alleged non-compliance with securities related laws	Click to View
1045	March 24, 2009	Warning to People's Leasing and Financial Services Ltd(Issuer) for alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2007	Click to View

February, 2009

Sl.No	Date	Subject	Commission’s Decision
1046	February 4, 2009	Warning to concerns of Fareast Islami Life Insurance Company Ltd(Issuer) for non-compliance of securities related laws.	Click to View
1047	February 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	Click to View
1048	February 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	Click to View
1049	February 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	Click to View
1050	February 9, 2009	Order to concerns of Rose Heaven Ballpen Ltd	Click to View
1051	February 9, 2009	Order to concerns of Maq Enterprises Ltd	Click to View
1052	February 9, 2009	Order to concerns of Metalex Corporation Ltd	Click to View
1053	February 9, 2009	Order to concerns of Raspit Inc(BD) Ltd(Order no. sec/enforcement/665/2008/132-134)	Click to View
1054	February 9, 2009	Order to concerns of Chictex Ltd(Order no. sec/enforcement/665/2008/136-139)	Click to View
1055	February 9, 2009	Order to concerns of Arbi Textiles Ltd	Click to View
1056	February 9, 2009	Order to concerns of Raspit Data Management & Telecommunications Ltd(sec/enforcement/665/2008/129-130)	Click to View
1057	February 9, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1058	February 9, 2009	Order to concerns of Fareast Islami Life Insurance Company Ltd and related shareholders	Click to View
1059	February 18, 2009	Related to petition for payment of remaining penalty through installments by directors of Tamizuddin textile Mills Ltd	Click to View
1060	February 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	Click to View
1061	February 23, 2009	Warning to concerns of vanguard Shares & securities Ltd due to non-compliance of securities laws concerning share trading	Click to View
1062	February 23, 2009	Related to review of cancellation of merchant banker license of First Securities Services Ltd	Click to View
1063	February 24, 2009	Order to Pangaea Partners(Bangladesh) Ltd- cancellation of its merchant banker license	Click to View
1064	February 24, 2009	Order to Prime Securities and Financial Services Ltd- cancellation of its merchant banker license	Click to View

January, 2009

Sl.No	Date	Subject	Commission’s Decision
1065	January 5, 2009	Letter related to cancellation of registration of First Securities Services Limited(Merchant Banker)	Click to View
1066	January 6, 2009	Waiver of additional penalty on concerns of Lexco Limited	Click to View
1067	January 6, 2009	Disposal of review petition of concerns of Maq Paper Industries Ltd(Issuer) against penalty orders	Click to View
1068	January 6, 2009	Disposal of review petition of concerns of Popular Life Insurance Company Limited against penalty orders	Click to View
1069	January 12, 2009	Disposal of review petition of M/s Marhk & Co., Charterd Accountant, against penalty order	Click to View
1070	January 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	Click to View
1071	January 13, 2009	Waiver of imposed penalty on Mr. Kalimullah and Mr. A.k Chakraborty (IDB nominating director) of Sonali Paper and Board Mills Ltd	Click to View
1072	January 13, 2009	Waiver of imposed penalty and withdrawal of certificate cases against concern of Raspit data management and telecommunication Ltd	Click to View
1073	January 13, 2009	Waiver of imposed penalty against SEC penal order to concern of Excelsior Shoes Ltd	Click to View
1074	January 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	Click to View
1075	January 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	Click to View
1076	January 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	Click to View
1077	January 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	Click to View
1078	January 14, 2009	Order to concerns of Shajib Neatware and Garments Ltd	Click to View
1079	January 14, 2009	Order to concerns of Pharmaco International Ltd	Click to View
1080	January 19, 2009	Directive to concerns of Dynamic Textile Industries Ltd	Click to View
1081	January 19, 2009	Directive to concerns of Quasem Silk Mills Ltd	Click to View
1082	January 19, 2009	Directive to concerns of Quasem Textile Mills Ltd	Click to View
1083	January 19, 2009	Directive to concerns of Phoenix Leather Complex Ltd	Click to View
1084	January 19, 2009	Directive to concerns of M. Hossain Garments Washing & Dyeing Ltd	Click to View
1085	January 18, 2009	Order to to concerns of Maq Enterprise Ltd	Click to View
1086	January 25, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1087	January 25, 2009	Order to concerns of Raspit data management and telecommunications Ltd	Click to View
1088	January 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	Click to View
1089	January 27, 2009	Directive to concerns of Pragati Insurance Ltd(trustee), National Credit and Commerce Bank Ltd(Co-trustee), Bangladesh Luggage Industries Ltd	Click to View
1090	January 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	Click to View
1091	January 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	Click to View

December, 2008

Sl.No	Date	Subject	Commission’s Decision
1092	December 1, 2008	Order to Salam & Company Limited, DSE Member-190	Click to View
1093	December 1, 2008	Order to Hedayet Ullah Securities Limited, DSE Member-140	Click to View
1094	December 1, 2008	Order to M.H Chowdhury Securities Limited, DSE member-156	Click to View
1095	December 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.	Click to View
1096	December 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.	Click to View
1097	December 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..	Click to View
1098	December 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.	Click to View
1099	December 28, 2008	Warning to concerns of Salta Capital Ltd, DSE Member-95 in connection with non-compliance of securities related laws.	Click to View
1100	December 28, 2008	Warning to concerns of Al- Muntaha Trading Company Limited, DSE Member-49 in connection with non-compliance of securities related laws.	Click to View

November, 2008

Sl.No	Date	Subject	Commission’s Decision
1101	November 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	Click to View
1102	November 2, 2008	Warning to concerns of Anwar Galvanizing Limited (Issuer) in connection with audited financial statements for the year ended on June 30, 2007	Click to View
1103	November 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	Click to View
1104	November 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.	Click to View
1105	November 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.	Click to View
1106	November 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.	Click to View
1107	November 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.	Click to View
1108	November 25, 2008	Warning to concerns of Rupali Insurance Company Ltd(Issuer) in connection with audited statements for the year ended on December 31, 2006.	Click to View
1109	November 27, 2008	Penalty to concerns of Fareast Islami Life Insurance Company Limited(Issuer).	Click to View
1110	November 30, 2008	Penalty to concerns of Popular Life Insurance Company Limited(Issuer).	Click to View

October, 2008

Sl.No	Date	Subject	Commission’s Decision
1111	October 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	Click to View
1112	October 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.	Click to View
1113	October 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	Click to View
1114	October 5, 2008	Order to Directors of Rupali Insurance Company Limited	Click to View
1115	October 5, 2008	Directive to Rupali Insurance Company Limited	Click to View
1116	October 5, 2008	Order to concerns of Fine Foods Limited	Click to View
1117	October 6, 2008	Order to concerns of Mac Paper Industries Limited	Click to View
1118	October 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)	Click to View
1119	October 6, 2008	Warning to concerns of National Credit & Commerce Bank Limited in connection with Annual Report 2007.	Click to View
1120	October 6, 2008	Warning to concerns of Eastern Insurance Company Limited in connection with audited financial statements for the year ended on December 31, 2007	Click to View
1121	October 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	Click to View
1122	October 12, 2008	About waiver of penalty on concerns of Advanced Chemical Industries Limited	Click to View
1123	October 12, 2008	Warning to concerns of Hefazatur Rahman & Co Limited in connection with non-compliance of securities laws.	Click to View
1124	October 12, 2008	Warning to concerns of Golden Sons Limited(Issuer) for alleged non-compliance of securities laws in connection with utilization of IPO fund.	Click to View
1125	October 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	Click to View
1126	October 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	Click to View
1127	October 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.	Click to View
1128	October 13, 2008	Order to Shyamol Equity Management Limited(Stock Dealer/DP)	Click to View
1129	October 14, 2008	Warning to concerns of International Securities Co. Limited (CSE Membership 096) for alleged non-compliance of securities laws.	Click to View
1130	October 14, 2008	Warning to concerns of SR Capital Limited (CSE Membership 038) for alleged non-compliance of securities laws.	Click to View
1131	October 14, 2008	Warning to concerns of Hillcity Securities Limited (CSE Membership 037) for alleged non-compliance of securities laws.	Click to View
1132	October 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	Click to View
1133	October 23, 2008	Order to First Securities Services Limited(Merchant Banker)	Click to View
1134	October 23, 2008	Order to Raspit Securities and Management Limited(Merchant Banker)	Click to View
1135	October 29, 2008	To CEO, CSE to take steps on securities laws violations.	Click to View
1136	October 29, 2008	Correction of order on Bangladesh Luggage Industries limited	Click to View

September, 2008

Sl.No	Date	Subject	Commission’s Decision
1137	September 3, 2008	Warning to concerns of Rupali Bank Limited(Issuer)i for non-compliance of securities laws.	Click to View
1138	September 3, 2008	Warning to concerns of Al-Muntaha Trading Co.Limited(Stock Broker) for non-compliance of securities laws.	Click to View
1139	September 4, 2008	Warning to concerns of Anwar Securities Limited(DP-92)i for non-compliance of securities laws.	Click to View
1140	September 4, 2008	Warning to concerns of Total Communication Limited(DP-187) for non-compliance of securities laws.	Click to View
1141	September 4, 2008	Warning to concerns of SES Company Limited(DP-34) for non-compliance of securities laws.	Click to View
1142	September 4, 2008	Warning to concerns of LankaBangla Securities Limited(DP-50) for non-compliance of securities laws.	Click to View
1143	September 4, 2008	Warning to concerns of Tariq Ibrahim & Co.(DP-90) for non-compliance of securities laws.	Click to View
1144	September 7, 2008	Order to concerns of Excelsior Shoes Limited	Click to View
1145	September 7, 2008	Order to concerns of M/s Mark & Co. CA Firm	Click to View
1146	September 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.	Click to View
1147	September 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.	Click to View
1148	September 9, 2008	Warning to concerns of Delta Brac Housing Finance Corporation Limited in connection with non-compliance of securities laws.	Click to View
1149	September 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.	Click to View
1150	September 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	Click to View
1151	September 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	Click to View
1152	September 11, 2008	Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1215)	Click to View
1153	September 11, 2008	Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1207)	Click to View
1154	September 15, 2008	Waiver of penalty on concerns of Fareast Islami Life Insurance Company Limited(Issuer)	Click to View
1155	September 15, 2008	Order to concerns of Fareast Islami Life Insurance Company Limited(Issuer)	Click to View
1156	September 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	Click to View
1157	September 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	Click to View
1158	September 22, 2008	Warning to concerns of Popular Life Insurance Company Limited in connection with non-compliance of securities laws	Click to View
1159	September 22, 2008	Order to concerns of Bangladesh Hotels Limited	Click to View
1160	September 24, 2008	Order to concerns of Popular Life Insurance Company Limited	Click to View
1161	September 24, 2008	Order to concerns of Tamizuddin Textile Mills Limited	Click to View

August, 2008

Sl.No	Date	Subject	Commission’s Decision
1162	August 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.	Click to View
1163	August 14, 2008	Waiver of penalty on Ms Hosne Ara Aziz, Sponsor of The City bank Limited	Click to View
1164	August 14, 2008	Waiver of penalty on Mr. Shabib Uddin, Shareholder Director of Merchantile Insurance Company Limited(Issuer)	Click to View
1165	August 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.	Click to View
1166	August 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.	Click to View
1167	August 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.	Click to View
1168	August 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.	Click to View
1169	August 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.
1170	August 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.	Click to View
1171	August 20, 2008	Order to directors of One Bank Limited	Click to View
1172	August 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.
1173	August 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.	Click to View
1174	August 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.	Click to View

July, 2008

Sl.No	Date	Subject	Commission’s Decision
1175	July 1, 2008	Warning to concerns of Sreepur Textile Mills Ltd for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2007 within time.	Click to View
1176	July 1, 2008	Disposal of of alleged non-compliance of securities laws against Lexco Ltd in connection with non-submission of the audited financial statements for the year ended on December 31, 2007	Click to View
1177	July 8, 2008	Warning to concerns of Bionic Sea Food Exports Ltd for non-furnishing of clarification/explanation regarding audited financial statements for the year ended on December 31, 2005 and half-yearly financial statements for the half-year ended on June 30, 2006.	Click to View
1178	July 28, 2008	Order to concerns of Joytun Securities International Ltd	Click to View
1179	July 30, 2008	Directive to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View
1180	July 30, 2008	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View

June, 2008

Sl.No	Date	Subject	Commission’s Decision
1181	June 3, 2008	Warning to concerns of Holy City Securities Ltd for non-compliance of securities laws.	Click to View
1182	June 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.	Click to View
1183	June 11, 2008	Related to application for waiver of penalty by Country Stock (Bangladesh) Ltd	Click to View
1184	June 11, 2008	Related to application for waiver of penalty by ARC Securities Ltd	Click to View
1185	June 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.	Click to View
1186	June 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	Click to View
1187	June 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.	Click to View
1188	June 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.	Click to View
1189	June 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.	Click to View
1190	June 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.	Click to View
1191	June 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.	Click to View
1192	June 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.	Click to View
1193	June 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.	Click to View
1194	June 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.	Click to View
1195	June 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.	Click to View
1196	June 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.	Click to View
1197	June 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.	Click to View
1198	June 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.	Click to View
1199	June 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.	Click to View
1200	June 22, 2008	Order to concerns of Raspit Inc(BD) Ltd	Click to View
1201	June 22, 2008	Order to concerns of Chictex Ltd	Click to View
1202	June 22, 2008	Order to concerns of Raspit Data Management and Telecommunication Ltd	Click to View
1203	June 23, 2008	Warning to concerns of IDLC Finance Ltd for non-compliance of securities laws.	Click to View
1204	June 23, 2008	Warning to concerns of Salta Capital Ltd for non-compliance of securities laws.	Click to View
1205	June 23, 2008	Warning to Mrs. Kawsar Jahan Farida Begum, Sponsor Director of Sandhani Life Insurance Co. Ltd for non-compliance of securities laws.
1206	June 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.	Click to View
1207	June 24, 2008	Order to Mr. Mohammad Shahib Uddin, Shareholder Director of Mercantile Insurance Company Ltd	Click to View
1208	June 24, 2008	Order to Mrs Hosne Ara Aziz, Sponsor of The City Bank Ltd	Click to View
1209	June 26, 2008	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1210	June 26, 2008	Order to concerns of Rose Heaven Ballpen Ltd	Click to View

May, 2008

Sl.No	Date	Subject	Commission’s Decision
1211	May 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.	Click to View
1212	May 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.	Click to View
1213	May 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.	Click to View
1214	June 20, 2008	Order to Dr. Ashraf Salehin, Capital Bangladesh	Click to View
1215	May 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.	Click to View
1216	May 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	Click to View
1217	May 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.	Click to View
1218	May 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.	Click to View
1219	May 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.	Click to View
1220	May 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.	Click to View

April, 2008

Sl.No	Date	Subject	Commission’s Decision
1221	April 8, 2008	Order to concerns of AB Bank Foundation Stock Broker) imposing penalty	Click to View
1222	April 8, 2008	Order to concerns of Hazi Ahammad Brothers securities Ltd(Stock broker) imposing penalty	Click to View
1223	April 8, 2008	Order to concerns of Popular Equities Ltd(Stock Broker) imposing penalty	Click to View
1224	April 8, 2008	Order to concerns of ARC Securities Ltd (Stock Broker) imposing penalty	Click to View
1225	April 8, 2008	Order to concerns of Country Stock(Bangladesh) Ltd ( Stock Broker) imposing penalty	Click to View
1226	April 8, 2008	Order to concerns of L.R.K Securities Ltd( Stock Broker) imposing penalty	Click to View
1227	April 7, 2008	Order to concerns of R.N.I Securities Ltd (Stock Broker) imposing penalty	Click to View
1228	April 23, 2008	Warning to concerns of IFIC Bank Ltd(Issuer)
1229	April 23, 2008	Penalty Order to concerns of Gachihata Acuaculture Farms Ltd(Issuer)	Click to View
1230	April 23, 2007	Penalty Order to concerns of Dynamic Textile Industries Ltd(Issuer)	Click to View
1231	April 28, 2008	Penalty Order to concerns of Rose Heaven BallPen Ltd
1232	April 28, 2008	Penalty Order to concerns of Shampur Sugar Mills Ltd	Click to View
1233	April 28, 2008	Penalty Order to concerns of Shampur Sugar Mills Ltd	Click to View
1234	April 30, 2008	Waiver of penalty and warning to concerns of Wata Chemicals Ltd(Issuer)	Click to View

March, 2008

Sl.No	Date	Subject	Commission’s Decision
1235	March 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	Click to View
1236	March 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	Click to View
1237	March 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	Click to View
1238	March 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	Click to View
1239	March 3, 2008	Order to concerns of M. Hossain Gaerments Washing and Dying Ltd	Click to View
1240	March 3, 2008	Order to concerns of Raspit Inc(BD) Ltd	Click to View
1241	March 3, 2008	Order to concerns of Mercantile Bank Ltd
1242	March 3, 2008	Order to concerns of Advanced Chemical Industries Ltd
1243	March 4, 2008	Order to concerns of Raspit Data Management and Telecommunication Ltd	Click to View
1244	March 4, 2008	Order to concerns of Chictex Ltd	Click to View
1245	March 25, 2008	Warning to concerns of Western Security Investment Management Ltd for non-compliance of securities laws	Click to View
1246	March 25, 2008	Waiver of penalty to concerns of Fareast Islami Life Insurance Company Ltd	Click to View
1247	March 27, 2008	Order to concerns of Pharmaco International Ltd	Click to View
1248	March 31, 2008	Order to concerns of Fareast Islami Life Insuranec Company Ltd	Click to View

February, 2008

Sl.No	Date	Subject	Commission’s Decision
1249	February 5, 2008	Disposal of the proceedings to concerns of Wonderland Toys Ltd	Click to View
1250	February 5, 2008	Waver of penalty imposed to concerns of Sreepur Textile Mills Ltd	Click to View
1251	February 10, 2008	Con-compliance of securities laws: warning to Bangladesh shipping Corporation Ltd	Click to View
1252	February 17, 2008	Order to AB Bank Ltd(Merchant Banker) about penalty of Tk 10 crore	Click to View
1253	February 18, 2008	Order - to concerns of Fareast Islami Life Insurance Company Ltd	Click to View

January, 2008

Sl.No	Date	Subject	Commission’s Decision
1254	January 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)
1255	January 8, 2008	Order - to concerns of Globe Securities Ltd Stock Dealer/DP DSE M#189 (SEC/Enforcement/616/2007/30)	Click to View
1256	January 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)	Click to View
1257	January 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)	Click to View
1258	January 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)	Click to View
1259	January 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)	Click to View
1260	January 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)	Click to View
1261	January 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)	Click to View
1262	January 24, 2008	Waiver of imposed penalty - to concern of Mrs Dina Ahsan Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/59)	Click to View
1263	January 24, 2008	Waiver of imposed penalty - to concern of Mr Md Khalilur Rahman Chowdhury Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/60)	Click to View
1264	January 30, 2008	Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/64-77)	Click to View
1265	January 31, 2008	Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/82-142)	Click to View

December, 2007

Sl.No	Date	Subject	Commission’s Decision
1266	December 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)	Click to View
1267	December 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)	Click to View
1268	December 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)	Click to View
1269	December 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)	Click to View
1270	December 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)	Click to View
1271	December 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)	Click to View
1272	December 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)	Click to View
1273	December 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)	Click to View
1274	December 18, 2007	Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/607/2007/1212-1215)	Click to View
1275	December 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	Click to View
1276	December 18, 2007	Order - to concerns of Wata Chemicals Ltd (SEC/Enforcement/626/2007/1232-1238)	Click to View
1277	December 18, 2007	Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/39/2001/1243-1246)	Click to View
1278	December 31, 2007	Order - to concerns of Fine Foods Ltd (SEC/Enforcement/335/2005/1259-1265)	Click to View

November, 2007

Sl.No	Date	Subject	Commission’s Decision
1279	November 4, 2007	Directive - to concerns of Tripti Industries Limited	Click to View
1280	November 27, 2007	Non-compliance of securities laws concerning share trading: Warning - to concerns of M Securities Ltd Stock Broker DSE Member # 44	Click to View

October, 2007

Sl.No	Date	Subject	Commission’s Decision
1281	October 7, 2007	Payment of penalty through installments: In connection with share trading of Therapeutics (Bangladesh) Limited - to concerns of Ibrahim Securities Ltd	Click to View
1282	October 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	Click to View
1283	October 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	Click to View
1284	October 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	Click to View
1285	October 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	Click to View
1286	October 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	Click to View
1287	October 8, 2007	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Al-Arafah Islami Bank Limited	Click to View
1288	October 9, 2007	Order - to concerns of Bangladesh Chemical Industries Limited
1289	October 11, 2007	Order - to concerns of Raspit Data Management & Telecommunications Limited ((SEC/Enforcement/594/2007/1124-1126))	Click to View
1290	October 11, 2007	Order - to concerns of Raspit Inc (BD) Ltd (SEC/Enforcement/593/2007/1130-1132)	Click to View
1291	October 24, 2007	Order - to concerns of Legacy Footwear Limited
1292	October 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	Click to View
1293	October 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	Click to View
1294	October 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	Click to View
1295	October 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	Click to View

September, 2007

Sl.No	Date	Subject	Commission’s Decision
1296	September 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	Click to View
1297	September 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	Click to View
1298	September 3, 2007	Order - to concerns of Bangladesh Chemical Industries Limited	Click to View
1299	September 3, 2007	Order - to concerns of Bangladesh Dyeing & Finishing Industries Limited	Click to View
1300	September 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)	Click to View
1301	September 6, 2007	Order - to concerns of Gachihata Aqua Culture Farms Limited	Click to View
1302	September 6, 2007	Order - to concerns of Meghna Condensed Milk Industries Limited	Click to View
1303	September 6, 2007	Order - to concerns of Meghna PET Industries Limited	Click to View
1304	September 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	Click to View
1305	September 9, 2007	Order - to concerns of Bangladesh Luggage Industries Limited	Click to View
1306	September 10, 2007	Order - to concerns of Bangladesh Zipper Industries Limited	Click to View
1307	September 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	Click to View
1308	September 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	Click to View
1309	September 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	Click to View
1310	September 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	Click to View
1311	September 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	Click to View

August, 2007

Sl.No	Date	Subject	Commission’s Decision
1312	August 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	Click to View
1313	August 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	Click to View
1314	August 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	Click to View
1315	August 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	Click to View
1316	August 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	Click to View
1317	August 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	Click to View
1318	August 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	Click to View
1319	August 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	Click to View
1320	August 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	Click to View
1321	August 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	Click to View
1322	August 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	Click to View
1323	August 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	Click to View
1324	August 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	Click to View
1325	August 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	Click to View
1326	August 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	Click to View
1327	August 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	Click to View
1328	August 15, 2007	Order - to concerns of M/s Sarwar salamot & Co Chartered Accountants	Click to View
1329	August 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	Click to View
1330	August 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.No	Date	Subject	Commission’s Decision
1331	July 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	Click to View
1332	July 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	Click to View
1333	July 2, 2007	Directive - to oncerns of Sreepur Textile Mills Limited	Click to View
1334	July 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	Click to View
1335	July 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	Click to View
1336	July 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	Click to View
1337	July 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	Click to View
1338	July 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	Click to View
1339	July 5, 2007	Alleged non-compliance of securities law in connection with the IPO: Warning - to concerns of Jamuna Bank Limited	Click to View
1340	July 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	Click to View
1341	July 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	Click to View
1342	July 10, 2007	Order - to concerns of Rose Heaven Ball Pen Limited	Click to View
1343	July 11, 2007	Order - to concerns of Chictex Limited	Click to View
1344	July 11, 2007	Order - to concerns of Quashem Silk Mills Limited	Click to View
1345	July 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	Click to View
1346	July 16, 2007	Order - to concerns of Wonderland Toys Limited	Click to View
1347	July 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)
1348	July 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)
1349	July 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	Click to View
1350	July 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	Click to View
1351	July 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	Click to View
1352	July 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	Click to View
1353	July 26, 2007	Order - concerns of Saleh Carpet Mills Limited	Click to View
1354	July 26, 2007	Order - concerns of Raspit Inc (BD) Limited
1355	July 26, 2007	Order - concerns of Chittagong Vegetable Oil Limited	Click to View
1356	July 26, 2007	Order - concerns of Ibrahim Securities Limited DSE M# 33	Click to View

June, 2007

Sl.No	Date	Subject	Commission’s Decision
1357	June 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	Click to View
1358	June 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	Click to View
1359	June 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	Click to View
1360	June 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	Click to View
1361	June 11, 2007	Non-compliance of securities law concerning payment of declared dividend : Warning - to concerns of Anlima Yarn Dyeing Limited	Click to View
1362	June 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	Click to View
1363	June 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	Click to View
1364	June 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	Click to View
1365	June 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	Click to View
1366	June 24, 2007	Order - to concern of Ms Nasrin Akter Chowdhury	Click to View
1367	June 24, 2007	Order - to concern of Ms Tasnim Akter Chowdhury	Click to View
1368	June 24, 2007	Order - to concern of Alhajj Nur Mohammad	Click to View
1369	June 24, 2007	Order - to concerns of Dhaka Insurance Limited	Click to View
1370	June 24, 2007	Order - to concerns of Standard Group Limited	Click to View
1371	June 24, 2007	Order - to concerns of Standard Stitches Limited	Click to View
1372	June 24, 2007	Order - to concerns of Amotex Limited	Click to View
1373	June 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	Click to View

May 2007

Sl.No	Date	Subject	Commission’s Decision
1374	March 5, 2007	Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/439)	Click to View
1375	March 5, 2007	Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/440)	Click to View
1376	March 5, 2007	Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/441)	Click to View
1377	March 5, 2007	Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/442)	Click to View
1378	March 5, 2007	Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/447)	Click to View
1379	March 5, 2007	Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/448)	Click to View
1380	March 5, 2007	Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/449)	Click to View
1381	March 5, 2007	Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/450)	Click to View
1382	July 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	Click to View
1383	September 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	Click to View
1384	May 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	Click to View
1385	May 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	Click to View
1386	May 17, 2007	Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited	Click to View
1387	May 17, 2007	Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1388	May 17, 2007	Order - to concern of Mr Minhaz Bin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1389	May 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	Click to View
1390	May 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	Click to View
1391	May 20, 2007	Order - to concern of Mr Alhaj Abdul Motin Director Lexco Limited	Click to View
1392	May 20, 2007	Order - to concern of Mr Hamiduddin Ahmed Director Lexco Limited	Click to View
1393	May 20, 2007	Order - to concern of Mr Mustafa Shah Ali Newaz Director Lexco Limited	Click to View
1394	May 20, 2007	Order - to concern of Mr Udoy Kumar Bhakto Director Lexco Limited	Click to View
1395	May 20, 2007	Order - to concern of Mr Fazlur Rahman Director Lexco Limited	Click to View
1396	May 20, 2007	Order - to concern of Mr Md Shahjahan Managing Director Sajib Knitwear & Garments Limited	Click to View
1397	May 20, 2007	Order - to concern of Ms Selina Afroz Director Sajib Knitwear & Garments Limited	Click to View
1398	May 20, 2007	Order - to concern of Ms Shafia Khatun Director Sajib Knitwear & Garments Limited	Click to View
1399	May 20, 2007	Order - to concern of Mr Md Shakhawat Hossain (Sajib) Director Sajib Knitwear & Garments Limited
1400	May 20, 2007	Order - to concern of Mr Abdul Matlub Ahmad Managing Director Niloy Cement Industries Limited	Click to View
1401	May 20, 2007	Order - to concern of Mr Humayun Kabir Khondaker Director Niloy Cement Industries Limited	Click to View
1402	May 21, 2007	Order - to concern of Ms Selina Ahmah Director Niloy Cement Industries Limited
1403	May 21, 2007	Order - to concern of Mr Abdul Musabbir Ahmad Director Niloy Cement Industries Limited
1404	May 21, 2007	Order - to concern of Mr Md Anwar Hossain Director Niloy Cement Industries Limited
1405	May 21, 2007	Order - to concern of Mr Md Altaf Hossain Director Niloy Cement Industries Limited	Click to View
1406	May 21, 2007	Order - to concern of Mr S A Quashem Director Niloy Cement Industries Limited	Click to View
1407	May 22, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/532)	Click to View
1408	May 22, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/533)	Click to View
1409	May 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)	Click to View
1410	May 22, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/538)	Click to View
1411	May 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)	Click to View
1412	May 22, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/539)	Click to View
1413	May 22, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/547)	Click to View
1414	May 22, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/546)	Click to View
1415	May 22, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/545)	Click to View
1416	May 22, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/544)	Click to View
1417	May 22, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/555)	Click to View
1418	May 22, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/554)	Click to View
1419	May 22, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/553)	Click to View
1420	May 22, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/552)	Click to View
1421	May 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	Click to View
1422	May 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	Click to View
1423	May 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)	Click to View
1424	May 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)	Click to View
1425	May 24, 2007	Order - to concern of Mr Dewkinandan Kejriwal Managing Director Bangladesh Luggage Industries Limited	Click to View
1426	May 24, 2007	Order - to concern of Ms Kanchan Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1427	May 24, 2007	Order - to concern of Ms Kanchan Devi Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1428	May 24, 2007	Order - to concern of Ms Vogoboti Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1429	May 24, 2007	Order - to concern of Mr Uttom Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1430	May 24, 2007	Order - to concern of Mr Ashok Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1431	May 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	Click to View
1432	May 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	Click to View
1433	May 28, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/591)	Click to View
1434	May 28, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/592)	Click to View
1435	May 28, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/593)	Click to View
1436	May 28, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/594)	Click to View
1437	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/599)	Click to View
1438	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/600)	Click to View
1439	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/601)	Click to View
1440	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/602)	Click to View
1441	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/607)	Click to View
1442	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/608)	Click to View
1443	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/609)	Click to View
1444	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/610)	Click to View
1445	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/615)	Click to View
1446	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/616)	Click to View
1447	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/617)	Click to View
1448	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/618)	Click to View
1449	May 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	Click to View
1450	May 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	Click to View

April 2007

Sl.No	Date	Subject	Commission’s Decision
1451	April 23, 2007	Order - to concern of Mrs Selina Begum Director Quasem Silk Mills Limited
1452	April 23, 2007	Order - to concern of Mrs Khadiza Shamim Director Quasem Silk Mills Limited
1453	April 23, 2007	Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Silk Mills Limited
1454	April 23, 2007	Order - to concern of Mrs Selina Begum Director Quasem Textile Mills Limited
1455	April 23, 2007	Order - to concern of Mrs Khadiza Shamim Director Quasem Textile Mills Limited
1456	April 23, 2007	Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Textile Mills Limited
1457	April 23, 2007	Order - to concern of Mr Shafiqur Rahman Director Sreepur Textile Mills Limited	Click to View
1458	April 23, 2007	Order - to concern of Mr C H Mahtab Uddin Director Sreepur Textile Mills Limited	Click to View
1459	April 23, 2007	Order - to concern of Mr A R Malik Director Sreepur Textile Mills Limited
1460	April 23, 2007	Order - to concern of Mr A Ahmed Yousuf Chairman & Managing Director Sreepur Textile Mills Limited
1461	April 23, 2007	Order - to concern of Mr Prof Dr Nurul Haque Director Sreepur Textile Mills Limited	Click to View
1462	April 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	Click to View
1463	April 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?	Click to View
1464	April 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	Click to View
1465	November 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)	Click to View
1466	April 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)	Click to View
1467	April 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	Click to View
1468	April 15, 2007	Your petition for payment of remaining penalty through installments - to concern of Mrs Afia Banu Director Rupan Oil & Feeds Limited
1469	April 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	Click to View
1470	October 4, 2007	Waiver of penalty - to concerns of Bangladesh Dyeing & Finishing Industries Limited	Click to View
1471	October 4, 2007	Waiver of penalty - to concerns of Bangladesh Zipper Industries Limited	Click to View
1472	September 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	Click to View
1473	September 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	Click to View
1474	August 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	Click to View
1475	April 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	Click to View
1476	April 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)	Click to View
1477	April 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)	Click to View
1478	April 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)	Click to View
1479	April 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	Click to View
1480	April 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	Click to View
1481	April 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	Click to View
1482	April 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	Click to View
1483	April 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	Click to View
1484	April 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	Click to View
1485	April 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)	Click to View

March, 2007

Sl.No	Date	Subject	Commission’s Decision
1486	March 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	Click to View
1487	March 1, 2007	Order - to concern of Mr AKMA Motin Managing Director Pharmaco International Limited	Click to View
1488	March 5, 2007	Order - to concern of Mr Dewkinandan Kejriwal Managing Director BD Dyeing & Finishing Industries Limited	Click to View
1489	March 5, 2007	Order - to concern of Mrs Kanchan Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1490	March 5, 2007	Order - to concern of Mrs Kanchan Devi Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1491	March 5, 2007	Order - to concern of Mrs Vogoboti Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1492	March 5, 2007	Order - to concern of Mr Uttom Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1493	March 5, 2007	Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1494	March 15, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Director Raspit Inc BD Limited	Click to View
1495	March 15, 2007	Order - to concern of Mr Md Habibul Alom Managing Director Raspit Inc BD Limited	Click to View
1496	March 15, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Inc BD Limited	Click to View
1497	March 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	Click to View
1498	March 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)	Click to View
1499	March 29, 2007	Order - to concern of Mrs Nasima Ahmed Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/326)	Click to View
1500	March 1, 2007	Order - to concern of Mrs Rashida Motin Director Pharmaco International Limited
1501	March 1, 2007	Order - to concern of Mr Zomiruddin Director Pharmaco International Limited
1502	March 1, 2007	Order - to concern of Mr AKMA Batin Director Pharmaco International Limited
1503	March 1, 2007	Order - to concern of Mr AKMA Basit Director Pharmaco International Limited
1504	March 29, 2007	Order - to concern of Mr Nazrul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/324)
1505	March 29, 2007	Order - to concern of Mr Shafiqur Rahman Chowdhury Managing Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/325)
1506	March 29, 2007	Order - to concern of Mrs Maksuda Khatun Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/327)
1507	March 29, 2007	Order - to concern of Mr Motiur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/328)
1508	March 29, 2007	Order - to concern of Mrs Shafina Rahman Rupa Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/329)
1509	March 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.No	Date	Subject	Commission’s Decision
1510	February 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	Click to View
1511	February 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	Click to View
1512	February 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	Click to View
1513	February 4, 2007	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Libra Infusions Limited	Click to View
1514	February 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	Click to View
1515	February 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	Click to View
1516	February 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	Click to View
1517	February 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	Click to View
1518	February 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	Click to View
1519	February 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	Click to View
1520	February 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
1521	February 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
1522	February 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
1523	February 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
1524	February 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.No	Date	Subject	Commission’s Decision
1525	January 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	Click to View
1526	January 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	Click to View
1527	January 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	Click to View
1528	January 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	Click to View
1529	January 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	Click to View
1530	January 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	Click to View
1531	January 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	Click to View
1532	January 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	Click to View
1533	January 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	Click to View
1534	January 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	Click to View
1535	January 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	Click to View

December, 2006

Sl.No	Date	Subject	Commission’s Decision
1536	December 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	Click to View
1537	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Chemical Industries Ltd	Click to View
1538	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Chemical Industries Ltd	Click to View
1539	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Chemical Industries Ltd	Click to View
1540	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Chemical Industries Ltd	Click to View
1541	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Chemical Industries Ltd	Click to View
1542	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Chemical Industries Ltd	Click to View
1543	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Dyeing & Finishing Industries Ltd	Click to View
1544	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1545	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1546	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1547	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1548	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1549	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Zipper Finishing Industries Ltd	Click to View
1550	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Zipper Industries Ltd	Click to View
1551	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Zipper Industries Ltd	Click to View
1552	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Zipper Industries Ltd	Click to View
1553	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Zipper Industries Ltd	Click to View
1554	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Zipper Industries Ltd	Click to View

November, 2006

Sl.No	Date	Subject	Commission’s Decision
1555	November 1, 2006	Regarding application of penalty- to concern of Md Shahidullah (Shyamol) & Co (Stock Dealer) DSE M-03	Click to View
1556	November 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	Click to View
1557	November 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	Click to View
1558	November 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	Click to View
1559	November 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	Click to View
1560	November 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	Click to View
1561	November 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	Click to View
1562	November 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	Click to View
1563	November 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	Click to View

October, 2006

Sl.No	Date	Subject	Commission’s Decision
1564	October 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	Click to View
1565	October 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	Click to View
1566	October 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	Click to View
1567	October 5, 2006	Order - to concern of Mr M A Salam Chairperson/Director Paragon Leather & Footwear Industries Limited	Click to View
1568	October 5, 2006	Order - to concern of Mr A K Azad Director Paragon Leather & Footwear Industries Limited	Click to View
1569	October 5, 2006	Order - to concern of Mr Stephen Fanky Director Paragon Leather & Footwear Industries Limited	Click to View
1570	October 5, 2006	Order - to concern of Mrs Mariom Khatun Director Paragon Leather & Footwear Industries Limited	Click to View
1571	October 5, 2006	Order - to concern of Mrs Hamida Salam Director Paragon Leather & Footwear Industries Limited	Click to View
1572	October 5, 2006	Order - to concern of Mrs Ummay Kulsum Director Paragon Leather & Footwear Industries Limited	Click to View
1573	October 5, 2006	Order - to concern of Mrs Nasima Akter Director (Rupali Bank Nominated) Paragon Leather & Footwear Industries Limited	Click to View
1574	October 8, 2006	Payment of penalty by instalments - to concern of Giausuddin Ahmed & Co (DSE Membership # 186)	Click to View
1575	October 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	Click to View
1576	October 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	Click to View
1577	October 8, 2006	Non-compliance with securities related laws: Warning - to concern of Mr Mujibur Rahman Sponsor/Director Midas Financing Limited	Click to View
1578	October 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	Click to View
1579	October 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	Click to View
1580	October 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	Click to View
1581	October 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	Click to View
1582	October 10, 2006	Order - to concern of Mr Shamsul Alam Shamim Chairman/Director Chittagong Vegetable Oil Industries Ltd	Click to View
1583	October 10, 2006	Order - to concern of Mr AHM Habibullah Managing Director Chittagong Vegetable Oil Industries Ltd	Click to View
1584	October 10, 2006	Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Ltd	Click to View
1585	October 10, 2006	Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Ltd	Click to View
1586	October 10, 2006	Order - to concern of Mr Md Imranul Haque Director Chittagong Vegetable Oil Industries Ltd	Click to View
1587	October 10, 2006	Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Ltd	Click to View
1588	October 10, 2006	Order - to concern of Mr Kaikobad Ahmed Director Chittagong Vegetable Oil Industries Ltd	Click to View
1589	October 10, 2006	Order - to concern of Mr Mainuddin Khan Badol Director Chittagong Vegetable Oil Industries Ltd	Click to View
1590	October 11, 2006	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Delta Life Insurance Co Limited	Click to View
1591	October 11, 2006	Non-compliance of securities laws: Warning - to concerns of BLI Securities Ltd Stock Dealer (DSE Member No 175)	Click to View
1592	October 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	Click to View
1593	October 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	Click to View
1594	October 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)	Click to View
1595	October 16, 2006	Directive - to concerns of Khaza Mosaic Tiles & Stone Industries Limited	Click to View
1596	October 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	Click to View
1597	October 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	Click to View
1598	October 18, 2006	In connection with audited financial statements for the year ended on December 31 2004: Disposal - to concerns of Aziz Pipes Limited	Click to View
1599	October 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)	Click to View
1600	October 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)	Click to View
1601	October 19, 2006	Non-compliance of securities law concerning payment of declared dividend: Warning - to Concerns Social Investment Bank Limited	Click to View
1602	October 31, 2006	Non-compliance with securities laws in connection with raising of paid up capital: Warning - to Concerns Lotus-Kamal Spinning Mills Limited	Click to View
1603	October 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)
1604	October 19, 2006	Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited:Warning - to concern of Managing Director Salta Capital Limited (DSE Member # 030)

September, 2006

Sl.No	Date	Subject	Commission’s Decision
1605	September 5, 2006	Application for review of penalty imposed vide Commission's Order No SEC/Enforcement/440/2006/807-813 dated July 17 2006 - to concerns of Modern Cement Limited	Click to View
1606	September 6, 2006	Revised Order - to concerns of Giasuddin Ahmed & Co	Click to View
1607	September 6, 2006	Revised Order - to concerns of PFI Securities Limited	Click to View
1608	September 7, 2006	Non-compliance with securities laws in connection with the half yearly financial statements for the period ended on February 28, 2006: Warning - to concerns of The Engineers limited	Click to View
1609	September 7, 2006	Order - to concerns of Latif Securities Ltd (Stock Dealer) DSE Member # 80	Click to View
1610	September 7, 2006	Order - to concerns of Equity Valuation Research and Distribution Ltd (Merchant Banker/Issue Manager)	Click to View
1611	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Bangladeh Hotels Limited	Click to View
1612	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: warning - to concerns of Bangladeh Leaf Tobacco Co Limited	Click to View
1613	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Ambee Pharmaceuticals Limited	Click to View
1614	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of GMG Industrial Corporation Limited	Click to View
1615	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of Megna Pet Industries Limited	Click to View
1616	September 11, 2006	Non-compliance of Securities laws in connection with raising of paid up capital: Warning - to concerns of Nor-Pearl Knitwear Ltd	Click to View
1617	September 14, 2006	Order - to concerns of Md Shahidullah (Shyamol) & Co (DSE Member # 3)	Click to View
1618	September 17, 2006	Order - to concern of Mr Masum Ahmed Chowdhury Former Chairman/Director The Oriental Bank Limited	Click to View
1619	September 17, 2006	Order - to concern of Mr Rezaul Karim Former Vice Chairman/Director The Oriental Bank Limited	Click to View
1620	September 17, 2006	Order - to concern of Mr C M Koyes Sami Former Managing Director The Oriental Bank Limited	Click to View
1621	September 17, 2006	Order - to concern of Mr Salman Karim Former Director The Oriental Bank Limited	Click to View
1622	September 17, 2006	Order - to concern of Mr Mehedi Hasan Former Director The Oriental Bank Limited	Click to View
1623	September 17, 2006	Order - to concern of Brigadiar General Md Zakir Hossain PSC(Retd) Former Director The Oriental Bank Limited	Click to View
1624	September 17, 2006	Order - to concern of Mr Nesar uddin Mohammed Oliullah Former Director The Oriental Bank Limited	Click to View
1625	September 17, 2006	Order - to concern of Mr Shahedul Islam Former Director The Oriental Bank Limited	Click to View
1626	September 17, 2006	Order - to concern of Mr Niaz Ahmad Former Director The Oriental Bank Limited	Click to View
1627	September 17, 2006	Order - to concern of Mr Patinson Tempol Former Director The Oriental Bank Limited	Click to View
1628	September 17, 2006	Order - to concern of Mr Peter U Chun Ku Former Director The Oriental Bank Limited	Click to View
1629	September 17, 2006	Order - to concern of Mr Alamgir Kabir Samad Company Secretary The Oriental Bank Limited	Click to View
1630	September 18, 2006	Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited	Click to View
1631	September 18, 2006	Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1632	September 18, 2006	Order - to concern of Mr Minhaz Bin Kamal Khan Director M Hossain Garments Washing & Dyeing Limited	Click to View
1633	September 19, 2006	Order - to concern of Mrs Dilara Begum Chairperson/Director Saleh Carpet Mills Limited	Click to View
1634	September 19, 2006	Order - to concern of Mrs Shamim Ara Begum Managing Director Saleh Carpet Mills Limited	Click to View
1635	September 19, 2006	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited	Click to View
1636	September 19, 2006	Order - to concern of Mr Badrul Haq Director Saleh Carpet Mills Limited	Click to View
1637	September 20, 2006	Order - to concern of Mr Md Iftekharuzzaman Chairman/Director Fine Foods Limited	Click to View
1638	September 20, 2006	Order - to concern of Mr Md Shaheen Quoreshi Managing Director Fine Foods Limited	Click to View
1639	September 20, 2006	Order - to concern of Mr Md Humayun Kabir Director Fine Foods Limited	Click to View
1640	September 20, 2006	Order - to concern of Mr Md Hussain Babu Director Fine Foods Limited	Click to View
1641	September 20, 2006	Order - to concern of Mr Md Mosarrof Hossain Director Fine Foods Limited	Click to View
1642	September 20, 2006	Order - to concern of Mr Md Iqbal Ahmed Director Fine Foods Limited	Click to View
1643	September 20, 2006	Order - to concern of Mrs Hasna Amin Director Fine Foods Limited	Click to View
1644	September 24, 2006	Non-compliance of securities related laws in connection with raising of capital without prior consent of the Commission: Warning - to concerns of Popular Pharmaceuticals Limited	Click to View
1645	September 25, 2006	Order - to concern of Mr Shamsul Alam Shamim Director Chittagong Vegetable Oil Industries Limited	Click to View
1646	September 25, 2006	Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Limited	Click to View
1647	September 25, 2006	Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Limited	Click to View
1648	September 25, 2006	Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Limited	Click to View
1649	September 27, 2006	Order - to concern of Major Mohammed Akhtaruzzaman (Retd) Managing Director Gauchihata Aquaculture Farms Limited	Click to View
1650	September 27, 2006	Order - to concern of Mrs Salma Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1651	September 27, 2006	Order - to concern of Mr Md Shahriar Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1652	September 27, 2006	Order - to concern of Mr Md Sabbir Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1653	September 17, 2006	Order - to concern of Mr Mujibur Rahman Milon Former Director The Oriental Bank Limited
1654	September 17, 2006	Order - to concern of Mr B M M Mozharul Haque NDC Former Director The Oriental Bank Limited
1655	September 17, 2006	Order - to concern of Mr Azian Bin Hajj Ujir Former Director The Oriental Bank Limited
1656	September 25, 2006	Order - to concern of Mr Md Emranul Haq Director Chittagong Vegetable Oil Industries Limited
1657	September 25, 2006	Order - to concern of Mr A H M Habib Ullah Managing Director Chittagong Vegetable Oil Industries Limited

August, 2006

Sl.No	Date	Subject	Commission’s Decision
1658	August 1, 2006	Non-compliance of securities law in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Imam Button Industries Limited	Click to View
1659	August 1, 2006	Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of German Bangla J.V Food Limited	Click to View
1660	August 1, 2006	Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Arbee Textiles Limited	Click to View
1661	August 1, 2006	Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Lexco Limited	Click to View
1662	August 1, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on September 9, 2005- Warning to concerns of Maq Enterprises Limited	Click to View
1663	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Niloy Cement Industries Limited	Click to View
1664	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Bd.Com Online Limited	Click to View
1665	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/860)	Click to View
1666	August 1, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 14, 2005- Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/861)	Click to View
1667	August 1, 2006	Application for waiver of penalty imposed vide Commission's Order No. SEC/Enforcement/163/2003/656, dated June 15, 2006- to concern of Md. Atiqur Rahman Chowdhury	Click to View
1668	August 1, 2006	Payment of penalty by instalments -to concern of Md. Shafiqur Rahman Chowdhury, Chairman & Managing Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/863)	Click to View
1669	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Nasima Ahmed, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/864)	Click to View
1670	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Maksuda Khatun, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/865)	Click to View
1671	August 1, 2006	Payment of penalty by instalments -to concern of Md. Matiur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/866)	Click to View
1672	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Safina Rahman Rupa, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/867)	Click to View
1673	August 1, 2006	Payment of penalty by instalments -to concern of Md. Musfiqur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/868)	Click to View
1674	August 3, 2006	Non-compliance of securities law in connection with non-submission of half yearly financial statements for the half year ended on December 31, 2005 within time-Warning - to concerns of Pharmaco International Limited	Click to View
1675	August 3, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Daffodil Computers Limited	Click to View
1676	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on March 31, 2006 within stipulated time - Warning - to concerns of Excelsior Shoes Limited	Click to View
1677	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Tamijuddin Textiles Mills Limited	Click to View
1678	August 3, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Sreepur Textile Limited	Click to View
1679	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/888)	Click to View
1680	August 3, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 28, 2005- Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/889)	Click to View
1681	August 6, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Meghna Life Insurance Co. Limited	Click to View
1682	August 8, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years-Post-facto approval with warning - to concerns of Miracle Industries Limited (SEC/Enforcement/458/2006/896)	Click to View
1683	August 10, 2006	Order - to concerns of Pharmaco International Limited	Click to View
1684	August 13, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Anlima Yarn Dyeing Limited	Click to View
1685	August 13, 2006	Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Limited	Click to View
1686	August 15, 2006	Non-compliance with securities related laws: In connection with notification concerning adoption of audited financial statements for the year 2003: Disposal - to concerns of Mercantile Bank Limited	Click to View
1687	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Disposal - to concerns of SCL Securities Limited (DSE Member # 121) Attention: The Managing Director	Click to View
1688	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Warning - to concerns of ARC Securities Limited (DSE Member # 100) Attention: The Managing Director	Click to View
1689	August 15, 2006	Non-compliance with securities related laws: In connection with declaration for purchase of Mercantile Bank Limited's shares: Warning - to concern of Mr. Jamsed Reza Khan, Director, Mercantile Bank Limited	Click to View
1690	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Jamsed Reza Khan: Warning - to concerns of Nouvelle Securities Limited (DSE stock-dealer) Attention: The Managing Director	Click to View
1691	August 17, 2006	Non-compliance with securities related laws in connection with the financial statements for the year ended on December 31, 2004: Warning with direction for rectification- to concerns of Rahman Chemicals Limited	Click to View
1692	August 27, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004: Disposal - to concerns of Legacy Footwear Limited	Click to View
1693	August 27, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004 and 2005: Warning - to concerns of Janata Insurance Co Limited	Click to View
1694	August 27, 2006	Non-compliance with securities laws in connection with issue of bonus share: Warning - to concerns of GSP Financing Company Limited	Click to View

July, 2006

Sl.No	Date	Subject	Commission’s Decision
1695	July 4, 2006	Non-compliance of securities laws concerning price sensitive information - Warning - to concerns of Bengal Fine Ceramics Ltd	Click to View
1696	July 4, 2006	Non-compliance with securities laws concerning effecting transfer of shares outside stock exchange without prior permission : Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/748)	Click to View
1697	July 4, 2006	Non-compliance with securities laws concerning declaring transfer of holdings- Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/749)	Click to View
1698	July 4, 2006	Application for review of Commission's Order No. SEC/Enforcement/392/2005/53 & SEC/Enforcement/392/2005/54 both dated January 16, 2006 to concerns of M. Abdul Rashid & Co. (DSE Member No. 35)	Click to View
1699	July 9, 2006	Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning to concern of Proprietor, Mirza Aboo Mohsin & Co. (DP No.138)	Click to View
1700	July 9, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years - Warning - to concerns of Bengal Fine Ceramic Ltd	Click to View
1701	July 9, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years - Warning - to concerns of Eastern Housing Ltd	Click to View
1702	July 13, 2006	Non-compliance of securities law in connection with submission of half yearly financial statements for the half year ended on March 31, 2006 within time : Warning - to concerns of Dynamic Textile Industries Ltd (SEC/Enforcement/413/2006/799)	Click to View
1703	July 13, 2006	Non-compliance of securities law in connection with the submission of half yearly financial statements for the year ended on December 31, 2005 within time - Warning - to concerns of Mona Food Industry Ltd	Click to View
1704	July 13, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time : Warning - to concerns of Meghna Shrimp Culture Ltd	Click to View
1705	July 13, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on September 30, 2005 within time : Warning - to concerns of Dynamic Textile Industries Ltd ((SEC/Enforcement/413/2006/803))	Click to View
1706	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording 7th AGM held on December 14, 2005 - Warning- to concerns of Bangladesh Welding Electrodes Ltd	Click to View
1707	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 20, 2005 - Warning- to concerns of Bd.Com Online Ltd	Click to View
1708	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of 41st AGM held on December 15, 2005 - Warning- to concerns of Bangladesh Hotels Ltd	Click to View
1709	July 17, 2006	Order - to concerns of Modern Cement Ltd	Click to View
1710	July 17, 2006	Order - to concerns of P.F.I Securities Ltd	Click to View
1711	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Synthetics Ltd : Caution -to concerns of Beximco Synthetics Ltd & Investment Corporation of Bangladesh	Click to View
1712	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Denims Ltd : Caution -to concerns of Beximco Denims Ltd & Investment Corporation of Bangladesh	Click to View
1713	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Textile Mills Ltd : Caution -to concerns of Beximco Textile Mills Ltd & Investment Corporation of Bangladesh	Click to View
1714	July 18, 2006	Order - to concerns of Giasuddin Ahmed & Co.	Click to View

June, 2006

Sl.No	Date	Subject	Commission’s Decision
1715	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of Stylecraft Ltd	Click to View
1716	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of J.K. Fabrics Ltd	Click to View
1717	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of Modern Cement Ltd	Click to View
1718	June 5, 2006	Order - to concerns of Saleh Carpet Mills Ltd	Click to View
1719	June 6, 2006	Non-compliance with securities related laws: Warning to concerns of Rangpur Foundry Ltd	Click to View
1720	June 6, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 11, 2005 - Warning - to concerns of Gemini Sea Food Ltd	Click to View
1721	June 6, 2006	Non-compliance of securities laws: In connection with non-furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Ltd	Click to View
1722	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 29, 2005 - Warning - to concerns of Gulf Foods Ltd	Click to View
1723	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Bangas Ltd	Click to View
1724	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 20, 2005 - Warning - to concerns of Rangamati Food Products Ltd	Click to View
1725	June 13, 2006	Non-compliance with securities laws: Warning- to Managing Director of Mercantile Securities Ltd	Click to View
1726	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Purabi General Insurance Co Ltd	Click to View
1727	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Prime Insurance Co Ltd	Click to View
1728	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Pioneer Insurance Company Ltd	Click to View
1729	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of National Tea Company Ltd	Click to View
1730	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Eagle Star Textile Mills Ltd	Click to View
1731	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Atlas Bangladesh Ltd	Click to View
1732	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July 2005 within time: Warning- to concerns of Jago Corporation Ltd	Click to View
1733	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July to August 2005 within time: Warning- to concerns of Chic Tex Ltd	Click to View
1734	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Therapeutics Bangladesh Ltd	Click to View
1735	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Padma Printers & Colour Ltd	Click to View
1736	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Northern Jute Mfg Co Ltd	Click to View
1737	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Dulamia Cotton Mills Ltd	Click to View
1738	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Aftab Automobiles Ltd	Click to View
1739	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Wata Chemicals Ltd	Click to View
1740	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Stylecraft Ltd	Click to View
1741	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1742	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Ansh Industries Ltd	Click to View
1743	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Metalex Corporation Ltd	Click to View
1744	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of German Bangla J.V. Food Ltd	Click to View
1745	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Dynamic Textile Industries Ltd	Click to View
1746	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Confidence Cement Ltd	Click to View
1747	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Azadi Printers Ltd	Click to View
1748	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Amam Sea Food Ltd	Click to View
1749	June 20, 2006	Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Mona Food Industry Ltd	Click to View
1750	June 20, 2006	Non-compliance of securities laws in connection with the holding of AGM in the year 2005-Warning - to concerns of Ashraf Textile Mills Ltd	Click to View
1751	June 21, 2006	Non-compliance of securities laws- In connection with the disseminating price sensitive information regarding AGM held on December 26, 2005 - Warning - to concerns of Fine Foods Ltd	Click to View
1752	June 22, 2006	Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 28, 2005 - Warning - to concerns of Alhaj Textile Mills Ltd	Click to View
1753	June 22, 2006	Non-compliance of securities laws- In connection with the payment of declared dividend in 2002 of a shareholder Mr. Abdur Razzak -Warning - to concerns of Meghna Shrimp Culture Ltd	Click to View
1754	June 22, 2006	Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 12, 2005 - Warning - to concerns of Azadi Printers Ltd	Click to View
1755	June 22, 2006	Non-compliance of securities laws- In connection with furnishing of the audited financial statements for the year ended on September 30, 2005 within time - Warning to concerns of Excelsior Shoes Ltd	Click to View
1756	June 28, 2006	Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Amin Securities & Consultants Ltd (DP No 118)	Click to View
1757	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Md Fakrul Islam & Co (DP No 158)	Click to View
1758	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Equity Resources Ltd (DP No 40)	Click to View
1759	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Shamsul Huda & Co (DP No 115)	Click to View
1760	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Brotherhood Securities Ltd (DP No 183)	Click to View
1761	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Razzak Securities Ltd (DP No 31)	Click to View
1762	June 29, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Bangladesh Leaf Tobacco Co Ltd	Click to View
1763	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Tamizjuddin Textile Mills Ltd
1764	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Standard Ceramic Industries Ltd
1765	June 21, 2006	Non-compliance of securities laws regarding execution of sale order of shares - Warning - to concerns of Engr. M.A. Rashid, Director, Peoples Insurance Co Ltd

May, 2006

Sl.No	Date	Subject	Commission’s Decision
1766	May 3, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2005- to concerns of Chicktex Ltd	Click to View
1767	May 3, 2006	Response to appeal for waiver of imposed penalty due to non-submission of audited financial statements for the year ended on June 30, 2005- to concerns of Chicktex Ltd	Click to View
1768	May 7, 2006	Non-cooperation with the enquiry committee of Securities and Exchange Commission: Disposal of the matter with emprimand- attention to Mr. A.K Poddar, Director, Prime Finance and Investment Ltd & PFI Securities Ltd	Click to View
1769	May 7, 2006	Non-compliance with securities related laws: Warning to S.N.M. Securities Ltd(DSE Membership No-07)	Click to View
1770	May 7, 2006	Non-compliance with securities related laws: Warning to concerns of Tripti Industries Ltd	Click to View
1771	May 9, 2006	Non-compliance with securities related laws: Warning to Kazi Mohidur Rab, Authorized Representative, Hazi Mohammad Ali & Co, DSE Membership-30	Click to View
1772	May 9, 2006	Non-compliance with securities related laws: Warning to Md. Rafiuddin Khandkar, Authorized Representative, Hazi Mohammad Ali & Co, DSE Membership-30	Click to View
1773	May 10, 2006	Non-compliance with securities related laws: Warning- attention to MD ,ARC Securities Ltd, DSE Membership-100.	Click to View
1774	May 15, 2006	Non-compliance with securities related laws: Warning -attention to MD/CEO , JIC Securities Ltd, CSE Membership-30	Click to View
1775	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD/CEO, National Securities and Consultants Ltd, CSE Membership-57.	Click to View
1776	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD, Kabir Ahmed & Co, DSE Membership-68.	Click to View
1777	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD/CEO , D.N. Securities Ltd, CSE Membership-89.	Click to View
1778	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-submission of half yearly financial statements for the year ended on December 31, 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1779	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-submission of audited financial statements for the year ended on June 30, 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1780	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1781	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2003- to concerns of Eagle Box & Cartoon Mfg. Co. Ltd.	Click to View
1782	May 23, 2006	Waiver of penalty- Mr. Khurshed Hossain, Director, Meghna Condensed Milk Industries Ltd.	Click to View
1783	May 23, 2006	Waiver of penalty- Mr. Md. Nazmul Salehin, Director, Meghna Condensed Milk Industries Ltd.	Click to View
1784	May 23, 2006	About waiver of penalty- concerns of Meghna Condensed Milk Industries Ltd.	Click to View
1785	May 23, 2006	Waiver of penalty- MD and Company Secretary, Meghna Shrimp Culture Ltd.	Click to View
1786	May 25, 2006	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1787	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Syed Mahbub Murshed & Co., DP-75	Click to View
1788	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Md. Shahidullah & Co., DP-142	Click to View
1789	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ALOCO, DP-133	Click to View
1790	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Joytun Securities International, DP-145	Click to View
1791	May 28, 2006	Non-compliance of securities laws- Warning to concerns of CMSL Securities Ltd, DP-35	Click to View
1792	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Sylnet Securities Ltd, CSE Member-33	Click to View
1793	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ZATL Securities Ltd, CSE Member-45	Click to View
1794	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ICB Securitie Trading Co. Ltd, DP-15(SEc/Enforcement/383/2005/549)	Click to View
1795	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ICB Securitie Trading Co. Ltd, DP-15(SEc/Enforcement/383/2005/553)	Click to View
1796	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Brotherhood Securities Ltd, DP-183	Click to View
1797	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Moshihor Rahman, DP-32	Click to View
1798	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Imtiaz Hossain & Co. DP-03	Click to View
1799	May 28, 2006	Non-compliance of securities laws- Warning to concerns of SNM Securities Ltd, DP-68	Click to View
1800	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Gateway Equity Resources Ltd. DP-104	Click to View
1801	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Premium Securities Ltd. DP-175	Click to View
1802	May 28, 2006	Non-compliance of securities laws- Warning to concerns of South Asia Securities Ltd. DP-106	Click to View
1803	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Eagle Star Textile Mills Ltd	Click to View
1804	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGMs held on Dec 26, 2005- Warning to concerns of Sonali Aansh Industries Ltd.	Click to View
1805	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 8, 2005- Warning to concerns of Apex Weaving and Finishing Mills Ltd.	Click to View
1806	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 29, 2005- Warning to concerns of Delta Spinners Ltd	Click to View
1807	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Tallu Spinning Mills Ltd.	Click to View
1808	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 31, 2005-Warning to concerns of Bangladesh Electricity Meter Company Ltd.	Click to View
1809	May 30, 2006	Response to appeal for waiver of imposed penalty to concerns of Bangladesh Zipper Industries Ltd.	Click to View
1810	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 26, 2005- Warning to concerns of Yusuf Flour Mills Ltd.	Click to View
1811	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 22, 2005- Warning to concerns of Sajib Knitwear and Garments Industries Ltd.	Click to View
1812	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Al-Amin Chemical Industries Ltd.	Click to View
1813	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Mithun Knitting & Dyeing Ltd.	Click to View

April, 2006

Sl.No	Date	Subject	Commission’s Decision
1814	April 2, 2006	Non-compliance of securities laws in connection with non-submission of half yearly financial statements for the year ended June 30, 2005 within time: Warning to concerns of Bangladesh Thai Aluminum Ltd	Click to View
1815	April 2, 2006	Non-compliance of securities laws in connection with non-submission of audio/visual recording of AGMs in the years 2001,2002,2003 and 2004- Warning to concerns of Eagle Star Textiles Mills Ltd	Click to View
1816	April 3, 2006	Non-compliance of securities laws- Warning to concerns of Eastern Housing Ltd(Issuer)	Click to View
1817	April 9, 2006	Non-compliance of securities laws-In connection with non-holding of AGM in the year 2003 within time-disposal of alleged matter- to concerns of Sreepur Textile Mills Ltd	Click to View
1818	April 9, 2006	Non-compliance with the provisions of Securities and Exchange Rules 1987 and the Securities and Exchange ordinance, 1969: Warning to concerns of Sreepur Textile Mills Ltd(Issuer)	Click to View
1819	April 9, 2006	Non-compliance of securities laws-Warning to MD, Tamijuddin Textile Mills Ltd(Issuer)	Click to View
1820	April 9, 2006	Response to Appeal for revision of directive sent by Mr. Amanullah, Director, Mercantile Bank Ltd	Click to View
1821	April 10, 2006	Waiver from alleged charge to concern of Raspit Securities and Management Ltd(Merchant Banker)	Click to View
1822	April 10, 2006	Non-compliance of securities laws: Warning to concerns of concern of L.R.K. Securities Ltd(Stock Dealer)	Click to View
1823	April 12, 2006	Order to concerns of Meghna Condensed Milk Industries Ltd	Click to View
1824	April 12, 2006	Order to concerns of Sonali Paper and Board Mills Ltd	Click to View
1825	April 26, 2006	Non-compliance of securities laws-warning to concerns of Mercantile Bank Ltd	Click to View
1826	April 26, 2006	Non-compliance of securities laws in connection with non-submission of half yearly financial statements for the year ended December 31, 2005 within time: Warning to concerns of Bangla Process Industries Ltd	Click to View
1827	April 3, 2006	Non-compliance of securities laws- Warning to concerns of Lanka Bangla Securities Ltd(Stock Dealer)
1828	April 9, 2006	Letter to concerns of M. Hossain Garments Washing and Dyeing Ltd about appel for waiver of imposed penalty

March, 2006

Sl.No	Date	Subject	Commission’s Decision
1829	March 8, 2006	Directive to concerns of One Bank Limited and CDBL	Click to View
1830	March 8, 2006	Directive to concerns of Wonderland Toys Limited	Click to View
1831	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concerns of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/226)	Click to View
1832	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/227)	Click to View
1833	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/228)	Click to View
1834	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/229)	Click to View
1835	March 9, 2006	Directive to concerns of Mercantile Bank Limited and CDBL	Click to View
1836	March 14, 2006	Order to concerns of Country Stock(Bangladesh) Ltd(DSE Member No. 099) and DSE	Click to View
1837	March 14, 2006	Order to concerns of Salam and Company Ltd (DSE Member No. 190) and DSE	Click to View
1838	March 14, 2006	Letter of exemption of penalty and warning to Managing Director, Directors and Company Secretary of Social Investment Bank Ltd	Click to View
1839	March 29, 2006	Non-compliance of securities laws in connection with non-submission of audited financial statements for the year ended June 30, 2005 within time: Warning to concerns of Meghna Condensed Milk Industries Ltd	Click to View
1840	March 29, 2006	Non-compliance of securities laws in connection with non-submission of audited financial statements for the year ended June 30, 2005 within time: Warning to concerns of Meghna PET Industries Ltd	Click to View
1841	March 29, 2006	Non-compliance of securities laws-In connection with non-furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning to concerns of Eastern Lubricants Blenders Ltd	Click to View
1842	March 29, 2006	Non-compliance of securities laws-In connection with non-holding of AGM in the years 2002 and 2003: Warning to concerns of Tulip Dairy & Food Products Ltd	Click to View
1843	March 29, 2006	Non-compliance of securities laws-warning to M/s Md. Shadullah & Co. DP Participant No. 142, DSE Member No. 91	Click to View
1844	March 29, 2006	Non-compliance of securities laws-warning to concerns of Bangladesh General Insurance Company Ltd	Click to View
1845	March 29, 2006	Non-compliance of securities laws-warning to concerns of Bangladesh Autocars Ltd	Click to View
1846	March 29, 2006	Non-compliance of securities laws-warning to concerns of Karnaphuli Insurance Company Ltd	Click to View
1847	March 30, 2006	Non-compliance of securities laws-warning to Salam & Company Ltd (DSE Member No. 190)	Click to View
1848	March 30, 2006	Non-compliance of securities laws-warning to MD of Al-Amin Chemical Industries Ltd(Issuer)	Click to View
1849	March 30, 2006	Non-compliance of securities laws-warning to MD of Beach Hatchery Ltd (Issuer)	Click to View
1850	March 30, 2006	Non-compliance of securities laws-warning to concerns of Himadri Ltd (Issuer)	Click to View
1851	March 29, 2006	Non-compliance of securities laws-warning to Excelsior Shoes Ltd(Issuer)
1852	March 29, 2006	Non-compliance of securities laws-warning to concerns of Chittagong Vegetable Oil Industries Ltd(Issuer)
1853	March 30, 2006	Non-compliance of securities laws-warning to Arc Securities Ltd (DSE Member No. 100)
1854	March 30, 2006	Non-compliance of securities laws-warning to Premium Securities Ltd(DSE Member No. 181)

February, 2006

Sl.No	Date	Subject	Commission’s Decision
1855	February 2, 2006	Order to Managing Director, all Directors and Company Secretary of Social Investment Bank Ltd.	Click to View
1856	February 9, 2006	Order to concerns of Bangladesh Zipper Industries Ltd.	Click to View
1857	February 14, 2006	Non-compliance of securities law in connection with non-submission of half yearly financial statements for the half year ended on December 31, 2004 within time: Warning to Concerns of Pharmaco International Ltd.	Click to View
1858	February 19, 2006	Order to Managing Director, all Directors and Company Secretary of M. Hossain Garments Washing and Dyeing Ltd.	Click to View
1859	February 19, 2006	Order to M. Shamsur Rahman & Co., DP Participant.	Click to View
1860	February 20, 2006	Order to Square Securities and Management Ltd.	Click to View
1861	February 22, 2006	Order to concerns of Dynamic Textile Industries Ltd.	Click to View
1862	February 23, 2006	Order to concerns of Meghna Shrimp Culture Ltd.	Click to View
1863	February 28, 2006	Order to all directors including managing director of Chictex Ltd. Ref. No. SEC/Enforcement/37/2001/210	Click to View
1864	February 28, 2006	Order to all directors including managing director of Chictex Ltd. Ref. No. SEC/Enforcement/37/2001/215	Click to View
1865	February 28, 2006	Order to all directors including managing director (except selected BSRS director) of Saleh Carpet Mills Ltd. Ref. No. SEC/Enforcement/39/2001/202	Click to View
1866	February 28, 2006	Order to all directors including managing director (except selected BSRS director) of Saleh Carpet Mills Ltd. Ref. No. SEC/Enforcement/39/2001/205	Click to View

January, 2006

Sl.No	Date	Subject	Commission’s Decision
1867	January 3, 2006	Directive to Eagle Box & Carton Manufacturing Ltd Ref: No SEC/Enforcement/215/2004/10	Click to View
1868	January 3, 2006	Directive to Eagle Box & Carton Manufacturing Ltd Ref: No SEC/Enforcement/215/2004/111	Click to View
1869	January 5, 2006	Order to Meghna Shrimp Culture Ltd Ref: No SEC/Enforcement/114/2002/16	Click to View
1870	January 16, 2006	Order to M/s M. Abdul Rashid & Co. (DSE Member No. 35) Ref: No SEC/Enforcement/392/2005/53	Click to View
1871	January 16, 2006	Order to M/s M. Abdul Rashid & Co. (DSE Member No. 35) Ref: No SEC/Enforcement/392/2005/54	Click to View
1872	January 23, 2006	Letter to Registrar of Joint Stock Companies and Farms about dismissal of companies for violating company law 1994	Click to View

December, 2005

Sl.No	Date	Subject	Commission’s Decision
1873	December 7, 2005	Non-compliance of securities laws- warning to concerns of Modern Industries Ltd	Click to View
1874	December 7, 2005	Non-compliance of securities laws- warning to concerns of Eagle Star Textile Mills Ltd	Click to View
1875	December 7, 2005	Non-compliance of securities laws in connection with non-submission of half yearly statements for the half year ended on June 30, 2005 within time: - Warning to concerns of Bangladesh Hotels Ltd	Click to View
1876	December 12, 2005	Non-compliance of securities laws- warning to concerns of Pharmaco International Ltd	Click to View
1877	December 12, 2005	Non-compliance of securities laws- warning to concerns of Meghna Shrimp Culture Ltd	Click to View
1878	December 14, 2005	Non-compliance of securities laws- warning to M/s Haji Mohammad Ali & Co, DSE Membership No-30	Click to View
1879	December 14, 2005	Non-compliance of securities laws- warning to Mr. Asaduzzaman, Director, Uttara Bank Ltd	Click to View
1880	December 15, 2005	Non-compliance of securities laws in connection with non-furnishing of audited financial statements for the year ended on December 31, 2004 within time: - Warning to concerns of Bangladesh Thai Aluminium Ltd	Click to View
1881	December 18, 2005	Order to concerns of J.H. Chemicals Ltd	Click to View
1882	December 19, 2005	Non-compliance of securities laws- warning to concerns of Giasuddinn Ahmed & Co., Depository Participant(DP), DSE Member No-186	Click to View
1883	December 19, 2005	Non-compliance of securities laws- warning to concerns of Dynamic Securities Consultants Ltd., Depository Participant(DP), DSE Member No-126	Click to View
1884	December 19, 2005	Non-compliance of securities laws- warning to concerns of Kazi Feroz Rashid & Co., Depository Participant(DP), DSE Member No-29	Click to View
1885	December 19, 2005	Non-compliance of securities laws- warning to concerns of PFI Securities Ltd., Depository Participant(DP), DSE Member No-79 & CSE Member No-95	Click to View
1886	December 19, 2005	Non-compliance of securities laws- warning to concerns of Saad Securities Ltd., Depository Participant(DP), DSE Member No-118	Click to View
1887	December 19, 2005	Non-compliance of securities laws- warning to concerns of LRK Securities Ltd, Depository Participant(DP), DSE Member No-26	Click to View
1888	December 19, 2005	Non-compliance of securities laws- warning to concerns of AB & CO., Depository Participant(DP), DSE Member No-43	Click to View
1889	December 19, 2005	Non-compliance of securities laws- warning to concerns of Jobair & Co.., Depository Participant(DP), DSE Member No-93	Click to View
1890	December 19, 2005	Non-compliance of securities laws- warning to concerns of Jamal Ahmed & Co., Depository Participant(DP), DSE Member No-97	Click to View
1891	December 19, 2005	Non-compliance of securities laws- warning to concerns of N R Islam & Co., Depository Participant(DP), DSE Member No-128	Click to View
1892	December 19, 2005	Non-compliance of securities laws- warning to concerns of Arafat Securities., Depository Participant(DP), DSE Member No-94	Click to View
1893	December 19, 2005	Non-compliance of securities laws- warning to concerns of Shamsul Huda & Co.., Depository Participant(DP), DSE Member No-117	Click to View
1894	December 19, 2005	Non-compliance of securities laws- warning to concerns of Western Securities Investment Management Ltd., Depository Participant(DP), CSE Member No-120	Click to View
1895	December 19, 2005	Non-compliance of securities laws- warning to concerns of SNM Securities Ltd., Depository Participant(DP), DSE Member No-07	Click to View
1896	December 19, 2005	Non-compliance of securities laws- warning to concerns of Kazi Feroz Rashid & Co.., Depository Participant(DP), DSE Member No-29	Click to View
1897	December 19, 2005	Non-compliance of securities laws- warning to concerns of Hedayetullah securities Ltd., Depository Participant(DP), DSE Member No-140	Click to View
1898	December 19, 2005	Non-compliance of securities laws- warning to concerns of Chittagong Ltd., Depository Participant(DP)	Click to View
1899	December 29, 2005	Directive to concern of United Commercial Bank Ltd(Ref SEC/Enforcement/108/2002/705)	Click to View
1900	December 29, 2005	Directive to concern of United Commercial Bank Ltd (Ref SEC/Enforcement/108/2002/706)	Click to View

November, 2005

Sl.No	Date	Subject	Commission’s Decision
1901	November 28, 2005	Waiver of penalty imposed upon the individual directors in connection with the non-holding of AGM in the years 2001, 2002 and 2003 against penal order No. SEC/Enforcement/191/2003/246 dated 23/25 May 2005-Warning of Dhaka Vegetable Oil Industries Ltd	Click to View
1902	November 28, 2005	Your request letter dated 26/9/2005 for waiver of penalty imposed upon the individual directors in connection with non-submission of audited financial statement for the year ended on 30/6/2004 against Commission’s penal Order No.SEC/Enforcement/169/2003/473 dated 11/9/2005 to concerns of Khaza Mosaic Tiles and Stone Industries Limited	Click to View

October, 2005

Sl.No	Date	Subject	Commission’s Decision
1903	October 9, 2005	Directive to concerns of Metalex Corporation Ltd	Click to View
1904	October 12, 2005	Order to concerns of Karim Pipe Mills Ltd (Ref: sec/Enforcement/141/2002/561)	Click to View
1905	October 12, 2005	Order to concerns of Dynamic Textile Industries Ltd	Click to View
1906	October 20, 2005	Directive to concerns of Farhad Securities Ltd	Click to View
1907	October 20, 2005	Order to concerns of Capital Market Services Ltd (Merchant Bank)	Click to View
1908	October 23, 2005	Order to concerns of Md. Ali Hossen and Co.	Click to View
1909	October 24, 2005	Non-compliance of securities related laws - Warning to A. B. Ispahani & Co (DSE Membership No. 001).	Click to View
1910	October 24, 2005	Order to concerns of M. Securities Ltd	Click to View
1911	October 6, 2005	Non-compliance of securities related laws in connection with furnishing of the audited financial statements for year ended on June 30, 2001, 2002, 2003 and 2004- warning to concerns of Tulip Dairy and Food products Ltd
1912	October 12, 2005	Order to concerns of Karim Pipe Mills Ltd (Ref: sec/Enforcement/141/2002/563)
1913	October 18, 2005	Non-compliance of securities related laws in connection with holding of AGMs in the year 2003 and 2004 - Warning to Eagle Star Textile Mills Ltd
1914	October 24, 2005	Non-compliance of securities related laws in connection with holding of AGMs in the year 2003 - Warning to Maq Enterprises Ltd

September, 2005

Sl.No	Date	Subject	Commission’s Decision
1915	September 4, 2005	Directive to concerns of M/s Khaza Mosaic Tiles & Stone Industries Ltd	Click to View
1916	September 4, 2005	Directive to concerns of M/s Meghna Vegetable Oil Industries Ltd	Click to View
1917	September 4, 2005	Directive to concerns of M/s GEM Knitwear and Fabrics Ltd	Click to View
1918	September 4, 2005	Directive to concerns of M/s United Commercial Bank Ltd	Click to View
1919	September 4, 2005	Directive to concerns of M/s J.H. Chemical Industries Ltd	Click to View
1920	September 4, 2005	Directive to concerns of M/s Saleh Carpet Mills Ltd	Click to View
1921	September 4, 2005	Directive to concerns of M/s Rupan Oil & Feeds Ltd	Click to View
1922	September 4, 2005	Directive to concerns of M/s AB Biscuit Co. Ltd	Click to View
1923	September 4, 2005	Directive to concerns of M/s Raspit Inc.(Bangladesh) Ltd	Click to View
1924	September 11, 2005	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd	Click to View
1925	September 11, 2005	Order to concerns of J.H. Chemical Industries Ltd	Click to View
1926	September 15, 2005	Non-compliance of securities laws in connection with furnishing of half yearly financial statements for half years ended December 31, 2004 - Warning to the concerns of M. Hossain Garments Washing & Dyeing Ltd (SEC/Enforcement/223/2004/498)	Click to View
1927	September 22, 2005	Order to concerns of AB Biscuit Company Ltd	Click to View
1928	September 3, 2005	Non-compliance of securities Laws: Warning to Md. Shohrawardi, Sponsor/Director of Alhaj Taxtile Mills Ltd, 19 Dilkusha C/A, Dhaka-1000
1929	September 28, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003- Warning to the concerns of Meghna Shrimp Culture Ltd (SEC/Enforcement/196/2003/549)

August, 2005

Sl.No	Date	Subject	Commission’s Decision
1930	August 23, 2005	Order to concerns of Rupan Oil and Feeds Ltd (SEC/Enforcement/71/2001/428)	Click to View
1931	August 23, 2005	Order to concerns of Rupan Oil and Feeds Ltd (SEC/Enforcement/71/2001/430)	Click to View
1932	August 28, 2005	Non-compliance of securities Laws in connection with holding of AGM in the year 2003-Warning to concerns of Pharmaco International Ltd (SEC/Enforcement/86/2002/438)	Click to View
1933	August 29, 2005	Delayed payment of dividend: Warning to concerns of Rose Heaven Ball Pen Ltd (SEC/Enforcement/232/2004/442	Click to View
1934	August 31, 2005	Non-compliance of securities law in connection with holding of AGM in the year 2003-Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/451)	Click to View
1935	August 31, 2005	Retension of statutory auditor for the year 2004: Warning to concerns of Peoples Insurance company Ltd (SEC/Enforcement/331/2005/447)	Click to View
1936	August 31, 2005	Non-compliance of securities laws in connection with furnishing of half yearly financial statements for half years ended December 31, 2003 and 2004- Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/449)	Click to View
1937	August 31, 2005	Non-compliance of securities laws in connection with furnishing of audited financial statements for year ended June 30, 2004- Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/450)	Click to View

July, 2005

Sl.No	Date	Subject	Commission’s Decision
1938	July 5, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2000, 2001,2002, and 2003-WARNING to Bangladesh Shipping Corporation	Click to View
1939	July 5, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2004 -WARNING to Quasem Textile Mills Ltd	Click to View
1940	July 10, 2005	Order to EXIM Bank of Bangladesh Ltd, Syed Mohammad Anowar Hossain and Syed Md Anowar Hossen of “Bastobaion” Green Taj Centre, 3^rd floor, , H-81, R-8/A, Dhanmondi, Dhaka	Click to View
1941	July 11, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2004 -WARNING to Quasem Silk Mills Ltd	Click to View
1942	July 13, 2005	Order to Saleh Carpet Mills Ltd	Click to View
1943	July 17, 2005	Non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on Dec 31, 2003-Warning to Meghna Pet Industries Ltd	Click to View
1944	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2001- 2003 -WARNING to Meghna Pet Industries Ltd	Click to View
1945	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Chic Tex Ltd	Click to View
1946	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Bangladesh Electricity Meter Company Ltd	Click to View
1947	July 17, 2005	Non-compliance of securities laws in connection with submission of FS for the year ended June 30, 2003 -WARNING to Perfume Chemical Industries Ltd	Click to View
1948	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Perfume Chemicals Industries Ltd	Click to View
1949	July 23, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2001- 2003 -WARNING to Meghna Condensed Milk Industries Ltd	Click to View
1950	July 23, 2005	Non-compliance of securities laws in connection with submission of FS for the year ended Dec 31, 2003 -WARNING to Meghna Condensed Milk Industries Ltd	Click to View
1951	July 27, 2005	Order to Karim Pipe Mills Ltd	Click to View
1952	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended June 30, 2004 -WARNING to Fine Foods Ltd	Click to View
1953	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended Dec 31, 2004 -WARNING to Federal Insurance Co. Ltd	Click to View
1954	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended June 30, 2004 -WARNING to Sonali Paper & Board Mills Ltd	Click to View
1955	July 30, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Gachihata Aquaculture Farms Ltd	Click to View
1956	July 30, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Excelsior Skoes Ltd	Click to View
1957	July 11, 2005	Non-compliance of securities laws-Warning to Country Stock (Bangladesh) Ltd
1958	July 13, 2005	Non-compliance of securities laws-Warning to Jahangir Kabir Chowdhury & Co.( Stock Dealer), DSE

June, 2005

Sl.No	Date	Subject	Commission’s Decision
1959	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-submission of FS for year ended June 30, 2003)	Click to View
1960	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-submission of FS for year ended Dec 31, 2003	Click to View
1961	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-holding of AGM for 2003)	Click to View
1962	June 25, 2005	Order to Dhaka Bank Ltd (DSC & CSE Stock Dealer)	Click to View
1963	June 30, 2005	Non-compliance of Securities Laws- WARNING to Chittagong Vegetable Oil Industries (Non-submission of FS for year ended June 30, 2004)	Click to View
1964	June 30, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Dyeing and Finishing Industries Ltd (Non-holding of AGM for 2003)	Click to View
1965	June 30, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Dyeing and Finishing Industries Ltd for non-submission of FS for the year ended Dec 31, 2003)	Click to View
1966	June 30, 2005	Non-compliance of Securities Laws- WARNING to Mona Food Industries Ltd (Non-holding of AGM for 2004)	Click to View
1967	June 26, 2005	Contravention of Commission’s Order No. এসইসি/এসআরএমআইডি/২০০০-৯৮৫/২২৪৮/প্র-০২/১ তারিখঃ ১৯ ডিসেম্বর, ২০০০ ইং, gazetted on 25.02.2001- WARNING to Karnafuli Insurance Ltd	Click to View
1968	June 30, 2005	Exemption from penalty imposed upon the BSRS nominee director Saleh Carpet Mills Ltd for non-holding of AGM in the year 2003
1969	June 30, 2005	Exemption from penalty imposed upon the BSRS nominee director Saleh Carpet Mills Ltd for non-submission of FS for the year ended Dec 31, 2003

May, 2005

Sl.No	Date	Subject	Commission’s Decision
1970	May 4, 2005	Order to Ashraf Textile Mills Ltd	Click to View
1971	May 15, 2005	Order to Mona Food Industries Ltd	Click to View
1972	May 15, 2005	Order to Eagle Box Carton and Manufacturing Ltd	Click to View
1973	May 23, 2005	Non-compliance of Securities Laws- WARNING ZEM Knitwear Fabrics Co. Ltd	Click to View
1974	May 23, 2005	Order to Dhaka Vegetable Oil Industries Ltd	Click to View
1975	May 26, 2005	Order to Saleh Carpet Mills Ltd.	Click to View
1976	May 28, 2005	Order to Eagle Box Carton and Manufacturing Ltd	Click to View

April, 2005

Sl.No	Date	Subject	Commission’s Decision
1977	April 5, 2005	Non-compliance of Securities Laws-WARNING to Prime Insurance Company Ltd.	Click to View
1978	April 5, 2005	Non-compliance of Securities Laws-WARNING to Texpic Industries Ltd	Click to View
1979	April 5, 2005	Non-compliance of Securities Laws-WARNING to Excelsior Shoes Ltd	Click to View
1980	April 5, 2005	Order to Saleh Carpet Mills Ltd.	Click to View
1981	April 10, 2005	Show Cause to Meghna Shrimp Culture Ltd relating to penalty	Click to View
1982	April 12, 2005	Order to Mr. A.R. Khan, Bangladesh Welding Electrodes Ltd	Click to View
1983	April 12, 2005	Order to Mr. Aminur Reza Khan, Bangladesh Welding Electrodes Ltd	Click to View
1984	April 12, 2005	Order to Mrs. Hosneara Khan, Bangladesh Welding Electrodes Ltd	Click to View
1985	April 12, 2005	Order to Mr. S.M. Nurul Islam, Bangladesh Welding Electrodes Ltd	Click to View
1986	April 26, 2005	Order to Saleh Carpet Mills Ltd.	Click to View

March, 2005

Sl.No	Date	Subject	Commission’s Decision
1987	March 16, 2005	SHOW CAUSE to Wata Chemicals Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1988	March 16, 2005	SHOW CAUSE to Quasem Textile Mills Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1989	March 16, 2005	SHOW CAUSE to Quasem Silk Mills Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1990	March 16, 2005	SHOW CAUSE to Mona Food Industries Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1991	March 16, 2005	SHOW CAUSE to Mita Textiles Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1992	March 19, 2005	Non-compliance of Securities Laws-(cancellation of irrevocable declaration for buy of shares)- WARNING to Mr. Jhahedul Alam, Sponsor of Standard Bank Ltd	Click to View
1993	March 19, 2005	Non-compliance of Securities Laws-(cancellation of irrevocable buy orders)- WARNING to Mr. Md. Shahedul Alam, Sponsor of Standard Bank Ltd	Click to View
1994	March 20, 2005	Commission’s Directive to Rose Heaven Ball Pen Ltd for non-holding of AGM in 2004	Click to View
1995	March 21, 2005	Non-compliance of Securities Laws- -(cancellation of irrevocable declaration for sel of shares) -WARNING to Mr. Md. Shah Alam, Director, Prime Insurance Company Ltd.	Click to View
1996	March 21, 2005	Non-compliance with the Depositories Act, 1999, and the Central Depository Bangladesh Ltd By Law 9.1.6- WARNING to Quasem Drycells	Click to View
1997	March 28, 2005	Order to Md. Shahidullah & Co(DSE member-3)	Click to View
1998	March 31, 2005	Order to Raspit Inc(BD) Ltd related to AGM	Click to View
1999	March 31, 2005	Order to Raspit Inc(BD) Ltd related to half yearly FS	Click to View
2000	March 31, 2005	Order to Pharmaco International Ltd	Click to View
2001	March 31, 2005	Order to BD Dyeing and Finishing Industries Ltd related to AGM	Click to View
2002	March 31, 2005	Order to BD Dyeing and Finishing Industries Ltd related to FS	Click to View
2003	March 31, 2005	Order to J.H. Chemical Industries Ltd	Click to View

February, 2005

Sl.No	Date	Subject	Commission’s Decision
2004	February 26, 2005	Non-compliance of securities laws (Price sensitive information and change of record date)- WARNING to Green Delta Insurance Company Limited	Click to View

January, 2005

Sl.No	Date	Subject	Commission’s Decision
2005	January 3, 2005	Non-compliance of securities laws (change of book closure date)- WARNING to MIDAS Financing Limited	Click to View
2006	January 16, 2005	Contravention/violation of provision of the Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April, 2001-Warning	Click to View

November, 2004

Sl.No	Date	Subject	Commission’s Decision
2007	November 10, 2004	Order to Meghna Condensed Milk Ltd	Click to View
2008	November 10, 2004	Order to Meghna Pet Industries Ltd	Click to View

September, 2004

Sl.No	Date	Subject	Commission’s Decision
2009	September 9, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No. SEC/Enforcement/248/2004/311 (submission of the audited financial statements for the year(s) 1999 and 2000)	Click to View
2010	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/309 (submission of the audited financial statements for the year(s) 1999 and 2000) to Dhaka Vegitable Industries Ltd	Click to View
2011	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/305 (submission of the audited financial statements for the year(s) 2002 and 2003) to Orion Infusion Ltd	Click to View
2012	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/311 (submission of the audited financial statements for the year(s) 2002 and 2003) to Sonali Paper and board Mills Ltd	Click to View
2013	September 22, 2004	Order to L.R.K Securities Ltd	Click to View

August, 2004

Sl.No	Date	Subject	Commission’s Decision
2014	August 3, 2004	Directive for Non-compliance of securities laws – WARNING to Mr. Perwaizuddin Director , Mr. Mahtabuddin, Director Perfume Chemical Industries Limited	Click to View
2015	August 3, 2004	Directive for Submission of audited financial statements for the years ended December 31, 2001 and 2002 to Maq Paper Industries Limited	Click to View
2016	August 22, 2004	Directive to The City Bank Limited for furnishing of audited financial statements of 2002-2003 to Stock Exchanges	Click to View
2017	August 22, 2004	Directive to United Commercial Bank Limited for furnishing of audited financial statements of 1997-2003 to the Stock Exchanges	Click to View
2018	August 22, 2004	Directive to Saleh Carpet Mills Ltd. for furnishing of audited financial statements of 2002 to the Stock Exchanges	Click to View
2019	August 22, 2004	Directive to Orion Infusion Limited. for furnishing of audited financial statements of 2002 to the Stock Exchanges	Click to View
2020	August 22, 2004	Directive to Bangladesh Services Ltd. for furnishing of audited financial statements of 2000-2002 to the Stock Exchanges	Click to View
2021	August 22, 2004	Directive to Dhaka Vegetable Oil Industries Ltd. for furnishing of audited financial statements of 1999-2000 to the Stock Exchanges	Click to View
2022	August 22, 2004	Directive to Sonali Paper & Board Mills Ltd. for furnishing of audited financial statements of 1999-2000 to the Stock Exchanges	Click to View
2023	August 22, 2004	Directive to Pubali Bank Limited. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
2024	August 22, 2004	Directive to Bangladesh Electricity Meter Company Limited for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
2025	August 22, 2004	Directive to Sreepur Textile Mills Limited. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
2026	August 22, 2004	Directive to Eagle Box & Carton Mfg. Co. Ltd. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
2027	August 22, 2004	Directive to Texpick Industries Ltd. for furnishing of audited financial statements of 2000-2003 to the Stock Exchanges	Click to View
2028	August 22, 2004	Directive to Meghna Vegetable Oil Industries Ltd. for furnishing of audited financial statements of 2000-01, 2001-02 and 2002-03 to the Stock Exchanges	Click to View
2029	August 25, 2004	Directive to Dynamic Textile Industries Limited in order to take necessary measures for rectification in annual report and in financial statements	Click to View

July, 2004

Sl.No	Date	Subject	Commission’s Decision
2030	July 14, 2004	Failure to pay off the dividend declared by Anlima Yarn Dyeing Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
2031	July 14, 2004	Failure to pay off the dividend declared by Bangas Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
2032	July 14, 2004	Failure to pay off the dividend declared by Tallu Spinning Mills Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
2033	July 14, 2004	Failure to pay off the dividend declared by Mithun Knitting & Dyeing (CEPZ) Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View

June, 2004

Sl.No	Date	Subject	Commission’s Decision
2034	June 17, 2004	Failure to pay off the dividend declared by Central Insurance Company Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
2035	June 26, 2004	Non payment of client’s money and non delivery of share by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali and Company (DSE Member No. 49)	Click to View

May, 2004

Sl.No	Date	Subject	Commission’s Decision
2036	May 2, 2004	Non holding of annual general meeting by Karim Pipe Mills Ltd.	Click to View
2037	May 23, 2004	Appeal against Commission’s order dated 22/03/2004 imposing panalty of Taka 1.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after the date of the order) on Mr. Khan Mohammad Iqbal, Chairman & Managing Director of Sonali Paper & Board Mills Ltd. for non holding of annual general meeting.	Click to View
2038	May 24, 2004	Alleged trading of Uttara Bank shares by one of the directors of the bank through M/s. Haji Mohammad Ali & Co., DSE membership No. 165 without depositing money etc.	Click to View
2039	May 29, 2004	Non holding of annual general meeting by A. B. Biscuit Company Limited.	Click to View

April, 2004

Sl.No	Date	Subject	Commission’s Decision
2040	April 13, 2004	Monthly Report of April 2004	Click to View

March, 2004

Sl.No	Date	Subject	Commission’s Decision
2041	March 22, 2004	Non holding of annual general meeting by Paragon Leather & Footwear Industries Ltd.	Click to View
2042	March 22, 2004	Non holding of annual general meeting by Sonali Paper & Board Mills Ltd.	Click to View

February, 2004

Sl.No	Date	Subject	Commission’s Decision
2043	February 18, 2004	Alleged contravention of the provisions of regulation 13 of the Settlement of Stock Exchange Transactions Regulations, 1998 of Dhaka Stock Exchange Limited, rule 4 and rule 8 of the Securities and Exchange Rules, 1987, rule 3 (2) of the Margin Rules, 1999, আচরণ বিধি ২ (১) ও ৭ [সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুেমাদিত প্রতিনিধি) বিধিমালা, ২০০০ এর দ্বিতীয় তফসিল এ বিধতৃ ষ্টক ডিলার, ষ্টক ব্রোকারদের আচরণ বিধি] of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ by Vanik Bangladesh Securities Ltd., [DSE Member No. 132].	Click to View

January, 2004

Sl.No	Date	Subject	Commission’s Decision
2044	January 1, 2004	Review petition against Commission’s order No. SEC/Enforcement/187/2003-233 dated 20 November 2003 canceling registration certificate of Merchant Bank Prime Securities and Financial Services Limited.	Click to View
2045	January 1, 2004	Non holding of annual general meeting by Rupan Oil & Feeds Ltd.	Click to View
2046	January 22, 2004	Violation of rule 12, Sub-rule (3A), rule 13 of the Securities and Exchange Rules, 1987 (not submitting financial statement for 2000-2001 and half-yearly financial statements for the half-year ended 31 December 2001) by Mona Food Industries Ltd.	Click to View

November, 2003

Sl.No	Date	Subject	Commission’s Decision
2047	November 20, 2003	Non-payment of yearly fee by Merchant Bank Prime Securities and Financial Services Limited.	Click to View

October, 2003

Sl.No	Date	Subject	Commission’s Decision
2048	October 26, 2003	Failure to comply with the condition of the prospectus regarding payment of 15% dividend to the preference shareholders as well as the provision of securities laws regarding payment of dividend by Beach Hatchery Ltd.	Click to View
2049	October 26, 2003	Contravention of the provision of wewa 10 (1) and (2) and wewa 33(1) (O) of the বিধি ৩৩(১) (ঙ) ড় of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (মার্চেন্ট ব্যাংকার ও পোর্টফোলিও ম্যানেজমেন্ট) বিধিমালা, ১৯৯৬ [failure to deposit annual fees in due time] as well as failure to comply with the condition 2, 8 and 13 of the Commission’s letter নিবন্ধন- ১.০৮৮/৯৯-৫২৯ তারিখ ৩১/৮/১৯৯৯ by Merchant Banker Mercantile Securities Ltd.	Click to View
2050	October 26, 2003	Contravention of the provisions of rule 4, sub-rule 1; rule 8, sub-rules, clause (cc) and (CCC) of Securities and Exchange Rules, 1987 and regulation 13 of Settlement of Stock Exchange Transactions Regulation, 1998 by stock dealer Surma Securities Holding Co. Ltd. (DSE Member No. 111).	Click to View
2051	October 28, 2003	It appears from the Commission’s appointed auditor’s [auditor appointed by the Commission under rule 12, sub-rule 3, as amended, of the Securities and Exchange Rules, 1987, to re-audit the financial statements of Bangladesh Dyeing & Finishing Industries Ltd. for the year ending on 31 December 2001] report that the issuer, among others, failed to keep proper books of accounts as per law, preserve appropriate and documentary evidence in support of transactions etc.	Click to View
2052	October 28, 2003	It appears from the Commission’s appointed auditor’s [auditor appointed by the Commission under rule 12, sub-rule 3, as amended, of the Securities and Exchange Rules, 1987, to re-audit the financial statements of Bangladesh Zipper Industries Ltd. for the year ending on 30 June 2001] report, among others, that the issuer - (i) did not maintain proper books of accounts required to reflect its state of affairs and to substantiate its expenditures; (ii) did not produce sufficient and appropriate audit evidence to the auditor for audit; (iii) has suffered huge financial loss due to unexplained bank transactions with its sister concerns and huge quantity of sales to sister concerns etc.	Click to View
2053	October 28, 2003	Alleged contravention of the condition (a) of the Commission’s Notification No. SEC/SRMI/2000-953/1950 dated 24^th October 2000, gazette on 7^th November 2000.	Click to View

September, 2003

Sl.No	Date	Subject	Commission’s Decision
2054	September 1, 2003	Non-rectification of books of accounts of 1998-99 in line with audit report submitted by SEC appointed auditor by M. Hossain Garments Washing and Dying Ltd.	Click to View
2055	September 17, 2003	Violation of Commission’s order No. SEC/Sec-7/99-140 dated 28 April 1999 (non-transfer of lodged share within stipulated time) by United Commercial Bank Ltd.	Click to View
2056	September 17, 2003	Violation of wewa 13 (4) of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিতি প্রতিনিধি) বিধিমালা, 2000 & condition 10 of the Stock Dealer Registration Certificate (non submission of financial statement) and Section 6(3) of the Securities and Exchange Ordinance, 1969 (Non-response to commission letter) by Chittagong Stock Exchange broker/dealer Raja Securities Ltd. (CSE Member No. 074).	Click to View
2057	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. Siraj Uddin Haider of Usmania Glass sheet Factory Ltd.	Click to View
2058	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. Mohammad Sadek of Usmania Glass sheet Factory Ltd.	Click to View
2059	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. M. R. Raskin of Usmania Glass sheet Factory Ltd.	Click to View

August, 2003

Sl.No	Date	Subject	Commission’s Decision
2060	August 4, 2013	Non co-operation with SEC appointed auditor by Bangladesh Luggage Industries Ltd.	Click to View
2061	August 4, 2013	Non-payment of audit bill by M. Hossain Garments Washing and Dying Ltd.	Click to View
2062	August 17, 2013	Violation of license condition No. 11 (for non participation of trading activities during 2001-2002) by Chittagong Stock Exchange broker Unity Shares Trade Ltd. (CSE Member No. 77).	Click to View

July, 2003

Sl.No	Date	Subject	Commission’s Decision
2063	July 1, 2003	Non payment of declared dividend of 2001-2002 by Gachihata Acquaculture Farms Limited within stipulated time.	Click to View
2064	July 1, 2003	Non payment of declared dividend of 2001-2002 by Raspit Data Management & Telecommunication Limited within stipulated time.
2065	July 1, 2003	Appeal against Commission’s order No. SEC/Enforcement/158/2003-75 dated 28 April 2003 (for non-disclosure of Price Sensitive information) imposing Taka one lac penalty on Mr. Md. Rahmatullah, Managing Director of Apex Tannery Ltd.	Click to View
2066	July 3, 2003	Appeal against Commission’s order No. SEC/Enforcement/158/2003-75 dated 28 April 2003 (for non-disclosure of Price Sensitive information) imposing Taka one lac penalty on Mr. Md. Rahmatullah, Managing Director of Apex Tannery Ltd.	Click to View
2067	July 22, 2003	Sale of bonus share of shareholder by Pubali Bank Ltd. violating advise of SEC.	Click to View
2068	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Ekram Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
2069	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Rahat Saleha, Sponsor of Ashraf Textile Mills Limited.	Click to View
2070	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Shamsun Nessa Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
2071	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. M. Ataullah, Sponsor of Ashraf Textile Mills Limited.	Click to View
2072	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Salima Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
2073	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Haider Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
2074	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Asgar Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
2075	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Asgar Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
2076	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Ferdousi Begum, Sponsor of Ashraf Textile Mills Limited.
2077	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Rabeya Akhter, Sponsor of Ashraf Textile Mills Limited.	Click to View
2078	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Umme Homaira, Sponsor of Ashraf Textile Mills Limited.	Click to View
2079	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by theSponsor/Director without prior notification) by Mr. Shafiul Alam, Sponsor of Ashraf Textile Mills Limited.	Click to View
2080	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Hamida Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
2081	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Sabrina Akhter, Sponsor of Ashraf Textile Mills Limited	Click to View
2082	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Al-Haj Mohd. Salah Uddin Ahmed, Sponsor of Ashraf Textile Mills Limited.	Click to View

June, 2003

Sl.No	Date	Subject	Commission’s Decision
2083	June 7, 2003	Request to allow two months to comply with Commission’s directive (to deliver shares and to make due payments) dated 24 May 2003 by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali & Co. (DSE Member No. 49).	Click to View
2084	June 18, 2003	Complaints against past & present Management of German Bangla J. V. Food Ltd. for misusing IPO fund.	Click to View

May 2003

Sl.No	Date	Subject	Commission’s Decision
2085	May 12, 2003	Non payment of client’s money and non delivery of share by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali and Company (DSE Member No. 49)	Click to View
2086	May 24, 2003	Violation of Commission’s Notification No. SEC/SRMI/2000-953/1950 dated 24 October 2000 and gezetted on 07/11/2000 and Notification No.GmBwm/ GmAviGgAvBwW/2000-985/2248/cÖ-02/1 ZvwiL 19 wW‡m¤^i 2000Bs gezetted on 25/02/2001 (non-disclosure of price sensitive information) by Padma Cement Ltd	Click to View
2087	May 24, 2003	Violation of rule 11 of the Securities and Exchange Commission (Stock Dealer, Stock Broker & Authorized Representative) Rule, 2000 (violation of code of conduct) by Dhaka Stock Exchange dealer Maitrayee Biswas & Co. (DSE Member No. 14)	Click to View
2088	May 24, 2003	Complaints from the customer for non delivery of shares and non payment of money by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali & Co. (DSE Member No. 49).	Click to View

April 2003

Sl.No	Date	Subject
2089	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to buy shares of Highspeed) by Mr. K.M. Mahmudur Rahman, Managing Director Highspeed Shipbuilding & Heavy Engineering Co. Ltd. Letter issued with warning to comply with all securities laws in future.
2090	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to by shares of Samorita Hospital) by Sondhani Credit Co-operative Society Ltd.. Letter issued with warning to comply with all securities laws in future.
2091	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to by shares of Niloy Cement Industries Ltd.) by Mr. Abdul Matlub Ahmed, Managing Director Niloy Cement Industries Ltd. Letter issued with warning to comply with all securities laws in future.
2092	April 23, 2004	Violation of rule 4 and 8 of the Securities and Exchange Rules, 1987 (submitting sell offers of ten clients using same client code) by Dhaka Stock Exchange dealer Globe Securities Ltd. (DSE Member No. 189). Letter issued with warning to comply with all securities laws in future.
2093	April 27, 2003	Violation of rule 12, Sub-rule (3A), Sub-rule 4, Sub-rule 6 of the Securities and Exchange Rules, 1987 (not submitting financial statement for 30^th June 2001 in time) by Tamijuddin Textile Mills Ltd. Letter issued with warning to comply with all securities laws in future.
2094	April 28, 2003	Appeal against Commission’s order dated 17^th June, 2002 imposing penalty of Taka 2.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 60 days) on Mr. Md. Nurul Alam, Ex Director, J. H. Chemical Industries Ltd. Appeal allowed and penalty withdrawn.
2095	April 28, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/1950 dated 24^th October, 2000, Gazetted on 7^th November, 2000 and Notification No, SEC/SRMID/2000-985/2248/Pro-02/1 dated 19^th December 2000, Gazetted on 25^th February 2001 (non disclosure of price sensitive information) by Apex Tannery Limited. Penalty of Taka 1.00 lac imposed on Mr. A. K. M. Rahmatullah, Managing Director of Apex Tannery Ltd.

February 2003

Sl.No

Date

Subject

Commission’s Decision

2096

February 26, 2003

Violation of rule 16 of the Securities and Exchange Commission (Stock Dealer/Stock Broker & Authorized Representative) Rules, 2000 (for non co-operation with Commission’s officer during inspection) by Dhaka Stock Exchange dealer Dhaka Bank Limited (DSE Member No. 193)

Letter issued with warning to comply with all securities laws in future.

2097

February 26, 2003

Violation of rule 12, sub-rule 3 of the Securities and Exchange Rules, 1987 (for appointing Company’s auditor as Company’s valuer and financial advisor) by Chittagong Cement Clinker Grinding Co. Ltd.

Letter issued with warning to comply with all securities laws in future.

January 2003

Sl.No	Date	Subject
2098	January 5, 2003	Appeal against Commission’s order dated 23/10/2002 imposing panalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Md. Shariful Islam, Managing Director of Meghna Shrimp Culture Ltd. for non payment of declared dividend. Appeal rejected
2099	January 6, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Estern Insurance Co. Ltd. (CSE Member No. 098). Letter issued with warning to comply with all securities laws in future.
2100	January 8, 2003	Violation of rule 13 of the Securities and Exchange Rules, 1987 (for delayed submission of Half Yearly Accounts) by M. Hossain Garments Washing & Dyeing Ltd. Letter issued with warning to comply with all securities laws in future.
2101	January 8, 2008	Violation of condition (c) of the Commission’s order No. SEC/CFD –71/2001/Admin/02/05 dated 3^rd January 2002 (for non submission of audio visual tape of AGM to the Commission) by Arbee Textiles Ltd. Letter issued with warning to comply with all securities laws in future.
2102	January 8, 2008	Violation of condition (b) of the Commission’s order No. SEC/ SRMID/2000-953/Admin/02/04 dated 10^th October 2002 (appointment of same Auditor for more then three years) by Saleh Carpet Mills Ltd. Letter issued with warning to comply with all securities laws in future.
2103	January 29, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Trendset Securities Ltd. (CSE Member No. 77) Letter issued with warning to comply with all securities laws in future.
2104	January 29, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Legend Capital Management Ltd. (CSE Member No.109) Letter issued with warning to comply with all securities laws in future.

December 2002

Sl.No

Date

Subject

Commission’s Decision

2105

December 23, 2002

Violation of Regulation 13 of the Settlement of Stock Exchange Regulations of Chittagong Stock Exchange Limited by National Securities and Consultants Limited (CSE Member No.057)

Letter issued with warning to comply with all securities laws in future.

November 2002

Sl.No

Date

Subject

Commission’s Decision

2106

November 16, 2002

Violation of license condition no.11 by Chittagong Stock Exchange dealer T K Shares and Securities Limited (CSE Member No. 69)

Letter issued with warning to comply with all securities laws in future.

2107

November 21, 2002

Violation of regulation 17 of Dhaka Stock Exchange Automated Trading Regulations, 1999 by Dhaka Stock Exchange dealer Mona Financial Consultancy and Securities Limited (DSE Member No. 164)

Letter issued with warning to comply with all securities laws in future.

2108

November 21, 2002

Revision petition under section 26 of the Securities and Exchange Ordinance, 1969 against Commission’s order dated 14/07/2002 imposing penalty of Taka 10.00 lacs on Dhaka Stock Exchange dealer Khurshid Alam & Company (DSE Member No. 167).

October 2002

Sl.No	Date	Subject
2109	October 10, 2002	Violation of Securities and Exchange Rules, 1987 by Dhaka Stock Exchange dealer Doha Securities (DSE Member No. 127)
2110	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Kanchan Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2111	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Kanchan Devi Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2112	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Vagabati Devi Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2113	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Uttam Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2114	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 15.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Ashok Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2115	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. D.N. Kejriwal, Managing Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
2116	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
2117	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
2118	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
2119	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
2120	October 23, 2002	Non payment of declared dividend of 2001 by Meghna Shrimp Culture Ltd.
2121	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
2122	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
2123	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
2124	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
2125	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd.
2126	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd.
2127	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd. Commission’s Decision Penalty of Taka 1.00 lac on Mrs. Rukhsana Sultana, Director, if the company fails to submit audited financial statements to the Commission within next 30 days from the order dated 23/10/2002.
2128	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd. Penalty of Taka 1.00 lac on Mrs. Rashida Matin, Director, if the company fails to submit audited financial statements to the Commission within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
2129	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 15.00 lacs on Mr. Md. Obaidul Karim, Chairman & Managing Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
2130	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mrs. Arzuda Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
2131	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mr. Salman O. Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
2132	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mrs. Zarin Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.

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