Enforcement Action
December, 2015

November, 2015

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

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

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13October 4, 2015

Order against Chic Tex Limited.

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14October 7, 2015

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

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15October 8, 2015

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

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16October 8, 2015

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

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17October 8, 2015

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

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18October 13, 2015

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

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19October 19, 2015

Order against Alltex Industries Limited.

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20October 19, 2015

Order against Alpha Securities Limited.

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21October 19, 2015

Order against Globe Industries Limited.

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22October 19, 2015

Order against Island Securities Limited.

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23October 19, 2015

Order against Western Security Investment Management Ltd.

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24October 25, 2015

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

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25October 25, 2015

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

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26October 28, 2015

Order against The Dhaka Dying & Manufacturing Co. Ltd.

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September, 2015

August, 2015

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

Penalty Order against GQ ball Pen Industries Ltd.

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38July 1, 2015

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

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39July 7, 2015

Penalty Order against Shahjibazar Power Co. Ltd.

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40July 9, 2015

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

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41July 12, 2015

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

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42July 12, 2015

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

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43July 12, 2015

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

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44July 12, 2015

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

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45July 12, 2015

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

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46July 12, 2015

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

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47July 13, 2015

Order against AIBL Capital Market Services Ltd.

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48July 13, 2015

Order against BLI Capital Ltd.

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49July 13, 2015

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

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50July 13, 2015

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

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51July 13, 2015

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

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52July 13, 2015

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

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53July 13, 2015

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

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54July 13, 2015

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

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55July 13, 2015

Order against PFI Securities Ltd.

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56July 13, 2015

Order against Prime Finance Capital Management Ltd.

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57July 13, 2015

Order against Prime Islami Securities Ltd.

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58July 13, 2015

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

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59July 13, 2015

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

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60July 13, 2015

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

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61July 13, 2015

Order against Sharp Securities Ltd.

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62July 16, 2015

Extension of Time to Deposit against Shahjibazar Power Company Ltd.

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63July 23, 2015

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

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64July 28, 2015

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

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65July 29, 2015

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

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June, 2015

May, 2015

April, 2015

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

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

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85March 11, 2015

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

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86March 12, 2015

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

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87March 18, 2015

Order against Joytun Securities International Limited.

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88March 19, 2015

Order against Bangladesh General Insurance Company Limited.

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89March 19, 2015

Order against LR Global Asset Management Company Limited.

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90March 19, 2015

Order against Hoda Vasi Chowdhury & Co.

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91March 19, 2015

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

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92March 19, 2015

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

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93March 19, 2015

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

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94March 22, 2015

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

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95March 23, 2015

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

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February, 2015

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

Order against Minher Securities Limited.

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104January 28, 2015

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

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105January 28, 2015

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

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106January 20, 2015

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

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107January 20, 2015

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

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108January 18, 2015

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

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109January 18, 2015

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

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110January 18, 2015

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

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111January 13, 2015

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

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112January 7, 2015

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

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113January 7, 2015

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

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114January 5, 2015

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

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December, 2014

November, 2014
Sl.NoDateSubjectCommission’s Decision
125November 5, 2014

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

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126November 5, 2014

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

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127November 5, 2014

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

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128November 10, 2014

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

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129November 10, 2014

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

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130November 10, 2014

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

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131November 10, 2014

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

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132November 10, 2014

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

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133November 10, 2014

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

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134November 10, 2014

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

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135November 10, 2014

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

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136November 10, 2014

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

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137November 10, 2014

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

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138November 16, 2014

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

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139November 17, 2014

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

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140November 18, 2014

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

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October, 2014

September, 2014

August, 2014
Sl.NoDateSubjectCommission’s Decision
152August 5, 2014

Warning: Non-compliance of Securities Laws.

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153August 5, 2014

Warning: Non-compliance of securities related laws.

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154August 18, 2014

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

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155August 24, 2014

Non-compliance of securities laws.-Warning.

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156August 24, 2014

Non-compliance of securities laws.-Warning.

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157August 24, 2014

Non-compliance of securities laws.-Warning.

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158August 24, 2014

Non-compliance of securities laws.-Warning.

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159August 24, 2014

Non-compliance of securities laws.-Warning.

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160August 24, 2014

Non-compliance of securities laws.-Warning.

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161August 24, 2014

Non-compliance of securities laws.-Warning.

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162August 24, 2014

Non-compliance of securities laws.-Warning.

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163August 24, 2014

Non-compliance of securities laws.-Warning.

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164August 24, 2014

Non-compliance of securities laws.-Warning.

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165August 24, 2014

Non-compliance of securities laws.-Warning.

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166August 24, 2014

Non-compliance of securities laws.-Warning.

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167August 25, 2014

Non-compliance of securities laws.-Warning.

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168August 25, 2014

Non-compliance of securities laws.-Warning.

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169August 25, 2014

Non-compliance of securities laws.-Warning.

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170August 31, 2014

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

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171August 31, 2014

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

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July, 2014

June, 2014

May, 2014

April, 2014
Sl.NoDateSubjectCommission’s Decision
195April 1, 2014

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

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196April 6, 2014

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

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197April 6, 2014

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

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198April 6, 2014

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

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199April 13, 2014

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

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200April 13, 2014

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

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201April 13, 2014

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

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202April 15, 2014

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

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203April 15, 2014

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

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204April 15, 2014

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

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205April 17, 2014

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

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206April 17, 2014

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

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207April 17, 2014

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

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208April 21, 2014

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

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209April 27, 2014

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

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210April 27, 2014

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

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211April 27, 2014

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

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212April 27, 2014

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

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213April 27, 2014

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

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214April 27, 2014

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

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215April 27, 2014

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

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216April 27, 2014

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

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217April 27, 2014

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

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218April 27, 2014

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

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219April 30, 2014

Reject of prayer for waiver of penalty

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220April 30, 2014

Reject of prayer for waiver of penalty

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221April 30, 2014

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

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222April 30, 2014

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

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223April 30, 2014

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

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224April 30, 2014

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

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225April 30, 2014

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

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226April 30, 2014

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

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March, 2014
Sl.NoDateSubjectCommission’s Decision
227March 4, 2014

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

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228March 5, 2014

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

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229March 10, 2014

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

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230March 10, 2014

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

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231March 13, 2014

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

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232March 13, 2014

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

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233March 13, 2014

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

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234March 13, 2014

Non-compliance of securities related laws. WARNING

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235March 18, 2014

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

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236March 18, 2014

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

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237March 23, 2014

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

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238March 23, 2014

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

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239March 23, 2014

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

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240March 23, 2014

Non-compliance of securities laws: Warning.

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241March 23, 2014

Non-compliance of securities laws: Warning.

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242March 27, 2014

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

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243March 27, 2014

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

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244March 27, 2014

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

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245March 27, 2014

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

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February, 2014

January, 2014
Sl.NoDateSubjectCommission’s Decision
251January 1, 2014

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

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252January 9, 2014

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

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253January 9, 2014

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

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254January 9, 2014

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

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255January 9, 2014

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

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256January 9, 2014

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

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257January 9, 2014

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

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258January 9, 2014

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

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259January 9, 2014

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

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260January 9, 2014

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

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261January 9, 2014

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

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262January 9, 2014

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

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263January 9, 2014

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

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264January 9, 2014

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

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265January 23, 2014

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

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266January 23, 2014

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

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267January 23, 2014

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

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268January 23, 2014

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

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269January 23, 2014

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

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270January 23, 2014

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

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271January 30, 2014

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

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272January 30, 2014

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

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273January 30, 2014

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

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December, 2013
Sl.NoDateSubjectCommission’s Decision
274December 1, 2013

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

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275December 2, 2013

Reject of prayer for penalty waiver: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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276December 2, 2013

Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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277December 2, 2013

Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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278December 2, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited

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279December 3, 2013

Reject of prayer for penalty waiver: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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280December 3, 2013

Reject of prayer: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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281December 8, 2013

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning.. Social Islami Bank Limited

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282December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Eastern Cables Ltd,

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283December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Atlas Bangladesh Ltd

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284December 17, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Ashraf Textile Mills Ltd

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285December 23, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.. Monno Ceramic Industries Ltd

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286December 23, 2013

Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Bengal Fine Ceramics Ltd

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287December 31, 2013

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

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288December 31, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Yusuf Flour Mills Limited

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November, 2013

October, 2013

September, 2013
Sl.NoDateSubjectCommission’s Decision
296September 1, 2013

Tamha Securities Ltd.Waiver of  penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013. Warning.

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297September 1, 2013

BDBL Securities Limited. Warning: Non-compliance of আচরনবিধি  ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , and প্রবিধি ৩২ (৫) of  ডিপোজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩.

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298September 1, 2013

Shyamol Equity Management Ltd. Warning: Non-compliance of আচরনবিধি  ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006.

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299September 1, 2013

Hedayetullah  Securities Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .

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300September 1, 2013

ICB Securities Trading Company Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .

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301September 4, 2013

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

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302September 16, 2013

Tamijuddin Textile Mills Limited. Waiver of  penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013.

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303September 16, 2013

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

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304September 16, 2013

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

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305September 30, 2013

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

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August, 2013
Sl.NoDateSubjectCommission’s Decision
306August 13, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning. Against Beach Hatchery ltd

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307August 13, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning.against Golden Son Limited

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308August 13, 2013

Non-compliance of the SEC Notification No.SEC/CMRRCD/ 2009-193/50/Admin/02-24 dated July 14, 2010. WARNING against BRAC Bank Ltd.

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309August 13, 2013

Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-229/2010/859 dated December 05, 2011. WARNING against Information Technology Consultants Limited.

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310August 20, 2013

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

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311August 25, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACHHATCH. Against Mr. Asif Sadeque

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312August 25, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACONPHAR against Mr. Fokhrul Islam Chowdhury

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313August 29, 2013

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

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314August 29, 2013

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

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315August 29, 2013

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

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316August 29, 2013

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

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July, 2013
Sl.NoDateSubjectCommission’s Decision
317July 7, 2013

Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-308/2011/802 dated November 13, 2011. WARNING Against  IEL Consortium & Associates Limited

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318July 16, 2013

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

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319July 16, 2013

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

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320July 16, 2013

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

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321July 18, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31,2013 : Warning. BD Thai Aluminium Ltd

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322July 18, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. National Tea Company Ltd

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323July 21, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and rule 3 (1) and 3 (2) of the Margin Rules 1999 in connection with trading in shares of Paramount Insurance Company Limited. against Mona Financial Consultancy and Securities Limited

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324July 21, 2013

Rejection of Review Petition: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Safko Spinning Mills Limited.  against Mirpur Securities Limited

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325July 21, 2013

Warning: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC Directive No. SEC/CMRRCD/2009-193/63 against Mona Financial Consultancy and Securities Limited

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326July 21, 2013

Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited  against Mr. Abu Sadat Md.Sayem

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327July 21, 2013

Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited.against Mr.Abdul Mobin Molla

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328July 21, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against  Dream Holdings Limited,

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329July 21, 2013

Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited against Mrs.Mahmuda Yasmin

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330July 23, 2013

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

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331July 23, 2013

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

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332July 24, 2013

Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter  ended on March 31, 2013 : Warning. Orion Pharma Ltd

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333July 24, 2013

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

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334July 24, 2013

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

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335July 25, 2013

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

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336July 24, 2013

Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2012 : Warning. Alltex Industries Ltd

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337July 31, 2013

Waiver of penalty imposed pinal orders No. SEC/Enforcement/194/2003/256 to 262 all dated 23 February, 2010 of Tulip Dairy & Food Ltd.

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June, 2013

May, 2013
Sl.NoDateSubjectCommission’s Decision
347May 2, 2013

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

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348May 2, 2013

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

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349May 22, 2013

Rejection of Review petition:  Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alltex Industries Limited

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350May 22, 2013

Rejection of Review petition:  Non-compliance of the Margin Rules, 1999 as per Clause 1 of the   Commission’s Directive No. SEC/CMRRCD/ 2001-43/169 dated October 01, 2009 in connection with trading in shares of Anwar Galvanizing Limited

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351May 28, 2013

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

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352May 28, 2013

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

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353May 30, 2013

Review reject: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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354May 30, 2013

Review reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.

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355May 30, 2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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356May 30, 2013

Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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357May 30, 2013

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

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358May 30, 2013

Review Reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited

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359May 30, 2013

Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited

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360May 30, 2013

Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited.

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361May 30, 2013

Review reject: Non-compliance of বিধি ১১ , আচরনবিধি ১, ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Beach Hatchery Limited

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362May 30, 2013

Penalty Order: Non compliance of Notification SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 and বিধি ৪(২) of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যাবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with share sale.

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April, 2013
Sl.NoDateSubjectCommission’s Decision
363April 4, 2013

Warning: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with  non submission of sale declaration.. Md Abdul Hannan.

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364April 7, 2013

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

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365April 9, 2013

Disposal:  Non-compliance of Section 17 (e)(ii) and 17(e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of One Bank Limited. Md A.K.M Arifur  Rahman.

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366April 9, 2013

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

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367April 18, 2013

Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2012. Warning.Jago corporation Ltd.

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368April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited

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369April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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370April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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371April 18, 2013

Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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372April 18, 2013

Rejection of Review petition:  Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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373April 18, 2013

Rejection of Review petition:  : Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited

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374April 22, 2013

Non-compliance of securities laws: In connection with the delayed submission of Audited Financial Statements for the year ended on June 30, 2012: Warning.

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375April 22, 2013

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2012: Warning.

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376April 23, 2013

Warning: Non-compliance of SEC Order No. SEC/CMRRCD/2000-985/248/Admin/02/1 dated Dec19,2000. UCBL.

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377April 23, 2013

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

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378April 23, 2013

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

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379April 23, 2013

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

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March, 2013
Sl.NoDateSubjectCommission’s Decision
380March 7, 2013

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

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381March 7, 2013

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

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382March 7, 2013

Penelty Order for Violation of আচরণবিধি ১ and  ৬ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Mr S M Faruque

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383March 12, 2013

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

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384March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against SINHA Securities Limited.

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385March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against M.Securities Limited.

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386March 12, 2013

Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against ICB Securities trading Company Limited.

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387March 12, 2013

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

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388March 12, 2013

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

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389March 12, 2013

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

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390March 12, 2013

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

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391March 12, 2013

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

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392March 12, 2013

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

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393March 12, 2015

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

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394March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Beach Hatchery Limited"against Sylhet Metro City Securities Limited.

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395March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Shyamol Equtiy Management Limited.

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396March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Oshadi Securities Limited.

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397March 12, 2013

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Sinha Securities Limited.

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398March 12, 2015

Penelty Order : Non-compliance of  Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Global Securities Limited.

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399March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Mahbubur Rahman.

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400March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Razzaqul Haider Bhuiyan.

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401March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Md Habibur Rahman.

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402March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Ms Nusrat Jahan.

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403March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Uttara Finance and Investment Limited.

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404March 14, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of GQBALPEN against Md Abdul Khayer.

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405March 14, 2013

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

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406March 28, 2013

Payment of Penalty on the installment basis Ms.Shipra Paul

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407March 28, 2013

Payment of Penalty on the installment basis Ms.Sheuli Saha

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408March 28, 2013

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

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February, 2013
Sl.NoDateSubjectCommission’s Decision
409February 4, 2013

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

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410February 7, 2013

Warnivg: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with  trading in shares of Dutchbangla. Md Shahadat Hossain

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411February 7, 2013

Warning: Non-compliance of আচরণবিধি ৭ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Hac Securities Limited.

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412February 14, 2013

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

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413February 14, 2013

Warning: violation of বিধি ৪(১)  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫. এ এন্ড এ ইনভেষ্টমেন্ট লিঃ

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414February 26, 2013

Non-compliance of securities laws: in connection with the delayed submission of first quarter(Q1) financial statements Agni Systems Limited:Warning

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415February 27, 2013

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

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416February 27, 2013

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

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417February 27, 2013

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

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418February 27, 2013

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

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419February 27, 2013

Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with  trading in shares of All Tex Industries Limited. Md Nizam Uddin.

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420February 28, 2013

Penelty Order for Violation of Securities related Laws against Mercantile Bank Securities Limited.

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January, 2013
Sl.NoDateSubjectCommission’s Decision
421January 17, 2013

Disposal of Review Petition in connection with the non-submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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422January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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423January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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424January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited.

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425January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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426January 22, 2013

Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.

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427January 21, 2013

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

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428January 27, 2013

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

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429January 27, 2013

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

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430January 27, 2013

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

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431January 27, 2013

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

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432January 27, 2013

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

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433January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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434January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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435January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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436January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of  FU-WANG Foods Limited

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437January 27, 2013

Penalty Order: Non-compliance of আচরণবিধি ৮ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of Libra Infusion Limited.

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438January 27, 2013

Warning: Non-compliance of Section 17 (e) (ii) and 17 (e) (iv) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of Libra Infusion Limited.

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439January 27, 2013

Penalty Order : Non-compliance of section 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations,2006  and   আচরনবিধি ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with unusual trading in shares of listed securities by PHP Stocks & Securities Limited.

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440January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of R.N Spinning Mills Limited

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441January 27, 2013

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

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442January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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443January 27, 2013

Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited

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444January 28, 2013

Alleged non-compliance with the securities related laws in connection with the submission of un-audited 4th quarter financial statements:Warning

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445January 27, 2013

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

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446January 27, 2013

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

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447January 28, 2013

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

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448January 30, 2013

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

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449January 31, 2013

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

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450January 31, 2013

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

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451January 31, 2013

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

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452January 31, 2013

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

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453January 31, 2013

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

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454January 31, 2013

Penalty Order for Violation of Securities related Laws against Amam Se Food Ind.Ltd.

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December, 2012
Sl.NoDateSubjectCommission’s Decision
455December 24, 2012

Review: Violation of বিধি ৩(১) and  বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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456December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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457December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) of the Securities and Exchange Ordinance, 1969 (XVII of 1969) in connection with trading in shares of Fine Foods Limited.

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458December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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459December 24, 2012

Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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460December 24, 2012

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

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461December 26, 2012

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

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November, 2012
Sl.NoDateSubjectCommission’s Decision
462November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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463November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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464November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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465November 15, 2012

WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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October, 2012

July, 2012

June, 2012
Sl.NoDateSubjectCommission’s Decision
473June 10, 2012

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

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474June 10, 2012

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

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475June 10, 2012

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

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476June 10, 2012

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

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477June 10, 2012

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

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478June 10, 2012

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

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479June 10, 2012

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

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480June 10, 2012

Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on June 30, 2011: Warning

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481June 10, 2012

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

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482June 10, 2012

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

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483June 10, 2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on September 30, 2011: Warning

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484June 10, 2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning

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485June 10, 2012

Reduction of Penalty

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486June 10, 2012

Payment of Penalty amount on installment basis

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487June 12, 2012

Reduction of Penalty

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488June 12, 2012

Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited

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489June 14, 2012

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

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490June 14, 2012

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

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491June 14, 2012

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

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492June 14, 2012

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

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493June 17, 2012

Warning: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection of shares sale by the placement holder of Grameen Phone Limited

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494June 17, 2012

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

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495June 27, 2012

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

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496June 28, 2012

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

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May, 2012
Sl.NoDateSubjectCommission’s Decision
497May 9, 2012

Disposal f review petition against SEC Orders No. SEC/Enforcement/447/ 2006/664-670 all dated September 29, 2011.

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498May 17, 2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.

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499May 17, 2012

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.

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500May 21, 2012

Rejection of Review Petition: Violations of  বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in  shares of BIFCL.

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501May 22, 2012

WARNING: Non-compliance of ৭ of দ্বিতীয় তফসিল and বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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502May 28, 2012

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

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503May 28, 2012

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

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504May 28, 2012

Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended of December 31,2010 against penal Orders No. SEC/Enforcement/ 749/2009/758-762 all dated December 05, 2011.

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April, 2012
Sl.NoDateSubjectCommission’s Decision
505April 3, 2012

Warning: Non-compliance of  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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506April 3, 2012

Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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507April 3, 2012

Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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508April 10, 2012

Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.

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509April 10, 2012

Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/2009-193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (Short-Sale) Regulations, 2005  in connection with unusual trading in shares of Eastern Housing Limited.

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510April 10, 2012

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

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511April 10, 2012

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

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512April 10, 2012

WARNING: Non-compliance of Rule 18(9) of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.

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513April 10, 2012

Reduction of penalty: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Ocean Container Limited.

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514April 10, 2012

Reduction of penalty: Non-compliance of condition no. 7 under Part-B of SEC's letter No. SEC/CI/IPO-113/09-414 dated March 28, 2010.

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515April 12, 2012

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

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516April 12, 2012

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

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517April 12, 2012

Rejection of Review Petition: Non -compliance of  শর্ত নং-২  of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭  of দ্বিতীয় তফসিল and  বিধি-১১  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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518April 12, 2012

Penal Order: Violation of বিধি-১১ and দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার, স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরণ বিধি ১ and ৬ of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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519April 12, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.

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520April 15, 2012

Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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521April 15, 2012

Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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522April 15, 2012

Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫

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523April 15, 2012

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

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524April 15, 2012

Penal Order: Violation of বিধি-৪(১)  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.

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525April 15, 2012

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

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526April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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527April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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528April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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529April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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530April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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531April 15, 2012

WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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532April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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533April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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534April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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535April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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536April 15, 2012

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.

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537April 15, 2012

Disposal: Violation of  বিধিধ  ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.

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538April 22, 2012

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

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539April 22, 2012

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

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540April 22, 2012

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

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541April 22, 2012

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

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542April 22, 2012

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

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543April 22, 2012

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

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544April 24, 2012

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

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545April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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546April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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547April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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548April 25, 2012

PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.

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549April 25, 2012

Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009 in connection with conducting board meeting during the trading hours.

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550April 25, 2012

Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009.

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March, 2012
Sl.NoDateSubjectCommission’s Decision
551March 4, 2012

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

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552March 12, 2012

Warning: Non-compliance of Rule 3(1) and 3(2) of the Margin Rules, in connection with trading in shares of National Tea Company Ltd.

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553March 12, 2012

WARNING: Violation of বিধি ৪(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ and Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated February 26, 2012 submitted to the Commission.

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554March 12, 2012

WARNING: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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555March 12, 2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with declaration of share sale by the placement holder of Grameen Phone Limited (GP).

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556March 15, 2012

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

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557March 19, 2012

Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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558March 19, 2012

Reduction of penalty: Non-compliance of  শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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559March 19, 2012

Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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560March 19, 2012

Reduction of penalty: Non-compliance of  শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and  আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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561March 19, 2012

WARNING: Non-compliance of Commission’s Order No. এসইসি/এসআরএমআইডি/২০০০-১৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং Gazetted on February 25, 2001 in connection with price sensitive information.

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562March 29, 2012

WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.

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February, 2012

January, 2012

December, 2011
Sl.NoDateSubjectCommission’s Decision
578December 1, 2011

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

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579December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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580December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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581December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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582December 1, 2011

WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of  দ্বিতয়ি তফসিল of  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.

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583December 1, 2011

Reduction of Penalty.

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584December 1, 2011

Rejection of review petition.

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585December 1, 2011

Rejection of review petition.

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586December 1, 2011

Disposal: Violation of বিধি ৩(১),  সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধর্কণ) বিধিমালা, ১৯৯৫ in connection with shares of Chittagong Vegetable Oil Industries Limited

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587December 5, 2011

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

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588December 5, 2011

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

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589December 5, 2011

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

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590December 5, 2011

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

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591December 5, 2011

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

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592December 8, 2011

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

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593December 8, 2011

WARNING: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Sonargaon Textiles Limited.

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594December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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595December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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596December 8, 2011

WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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597December 8, 2011

WARNING: Non-compliance of ডপজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩ এর তফসিল-৫ এ বর্ণিত ডিপজিটরির অংশগ্রহণকারীর ক্ষেত্রে আচরনবিধি-১, ২(১) এবং SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.

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598December 8, 2011

Reduction of Penalty.

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599December 8, 2011

Reduction of Penalty.

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600December 8, 2011

Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/569/ dated September 06, 2011.

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601December 8, 2011

Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/571/ dated September 06, 2011.

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602December 8, 2011

WARNING: Non-compliance of the Rules 8(1) of Securities and Exchange Rules, 1987, সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ এর দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার ও স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরন বিধি, ষ্টক ডিলার/ষ্টক ব্রোকার/অনুমোদিত প্রতিনিধি এর নিবন্ধন সনদের শর্তাবলী নং-৭ in connection with unusual trading in shares of Sonargaon Textiles Limited.

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603December 8, 2011

Reduction of Penalty.

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604December 8, 2011

Reduction of Penalty.

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605December 8, 2011

Reduction of Penalty.

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606December 19, 2011

Disposal of review petition against SEC Order No. SEC/Enforcement/300/2005/821-823 all dated November 02, 2009

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607December 19, 2011

Waiver of penalty imposed upon the individual director in connection with the non submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Order No. SEC/Enforcement/751/2009/545-553 all dated September 06, 2011: Warning.

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608December 19, 2011

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

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609December 19, 2011

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

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610December 19, 2011

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

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611December 19, 2011

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

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612December 20, 2011

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

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613December 21, 2011

Disposal of review petition against SEC Order No. SEC/Enforcement/447/2006/664-670 all dated September 29, 2011

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614December 21, 2011

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

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615December 21, 2011

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

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616December 22, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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617December 22, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.

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618December 27, 2011

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

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619December 28, 2011

Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Orders No. SEC/Enforcement/752/2009/534-341 all dated August 24, 2011: Warning.

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620December 28, 2011

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

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621December 28, 2011

Penal Order: In connection with non-submission of audited financial statements for the year ended on December 31, 2009.

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622December 28, 2011

Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2011-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.

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623December 28, 2011

Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/ 2009/193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (short-Sale) Regulations, 2005 in connection with unusual trading in shares of Eastern Housing Limited.

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624December 28, 2011

Penal Order: Non-compliance of Section 17(e)(iii)(v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Eastern Housing Limited.

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625December 29, 2011

Non-compliance with the securities related laws in connection with non-submission of audited financial statements for the year ended on June 30, 2010: Warning.

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November, 2011

October, 2011

September, 2011
Sl.NoDateSubjectCommission’s Decision
638September 6, 2011

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

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639September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, Directive No. SEC/CMRRECD/2001-43/31 dated March 23, 2010 in connection with unusual trading in shares of Safko Spinning Mills Limited

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640September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Safko Spinning Mills Limited

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641September 6, 2011

Penal Order: Non-compliance of securities laws in connection with unusual trading in shares of Safko Spinning Mills Limited

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642September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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643September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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644September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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645September 6, 2011

Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited

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646September 6, 2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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647September 6, 2011

PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.

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648September 6, 2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.

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649September 13, 2011

Non-compliance with securities related laws in connection with third quarter (Q3) financial statements for the third quarter ended on September, 2010: Warning

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650September 13, 2011

Non-compliance with securities laws:  In connection with the delayed submission of half yearly  financial statements for the half year ended on December 31, 2010: Warning

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651September 15, 2011

PENAL ORDER: Regarding Violation of Securities related laws.

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652September 16, 2011

WARNING: Non-compliance of the Rule 8(1) of Securities and Exchange Rules, 1987 in connection with unusual trading in shares of Beach Hatchery Limited.

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653September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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654September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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655September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.

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656September 16, 2011

WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010 and Commission’s letter No. SEC/SRMID/94-231/472 dated February 13, 205, in connection with unusual trading in shares of Beach Hatchery Limited.

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657September 18, 2011

Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011: Warning

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658September 18, 2011

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

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659September 18, 2011

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

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660September 18, 2011

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

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661September 18, 2011

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

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662September 20, 2011

PENAL ORDER: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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663September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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664September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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665September 20, 2011

Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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666September 20, 2011

Non-compliance of securities laws: Warning.

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667September 21, 2011

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

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668September 21, 2011

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

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669September 21, 2011

WARNING: Non-compliance of Section 17 (e)(iii) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.

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670September 21, 2011

WARNING: Non-compliance of the Commission’s Directive No. SEC/ CMRRCD/2001-43/48 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.

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671September 25, 2011

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

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672September 25, 2011

PENAL ORDER: Non-compliance of Rule 18(9)  of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.

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673September 26, 2011

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

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674September 29, 2011

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

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August, 2011
Sl.NoDateSubjectCommission’s Decision
675August 2, 2011

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

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676August 10, 2011

WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, in connection with unusual trading in shares of Pharma Aids Limited.

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677August 10, 2011

WARNING: Violation of  উপ-বিধি (২) ড়ভ বিধি (৪) of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of Pharma Aids Limited.

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678August 11, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2010: Warning

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679August 16, 2011

PENAL ORDER: Violation of  বিধি ৪(১) ড়ভ  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of BIFCL.

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680August 16, 2011

PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Dhaka Fisheries Limited.

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681August 16, 2011

Penal Order: Non-compliance of condition No. 4 of SEC's approval letter No. SEC/CI/RI.43/2010/223 dated July 20, 2010 for issuance of Rights Shares.

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682August 16, 2011

PENAL ORDER: Non-compliance of the SEC's Order No. SEC/CRMID/94-231/1640 dated January 31, 2008, in connection with trading in shares of Z Category Company.

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683August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of  সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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684August 16, 2011

PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009.

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685August 16, 2011

PENAL ORDER: Non-compliance of  Margin Rules, 1999 and Securities and Exchange Commission's Letter No. SEC/CRMID/94-231/472 dated February 13, 2005

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686August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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687August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and  বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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688August 16, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and  বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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689August 16, 2011

PENAL ORDER: Non-compliance of the Commission's  Order No. এসইসি/এসআরএমআইডি/২০০০-৯৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং   Gazetted on Februay 25, 2001.

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690August 16, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning

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691August 16, 2011

Non-compliance of securities laws: Warning

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692August 16, 2011

Non-compliance of securities laws: Warning

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693August 18, 2011

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning

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694August 21, 2011

PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০

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695August 24, 2011

সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য যমুনা অয়েল কোম্পানী লিমিটেড এর চেয়ারম্যান এবং অন্যান্য পরিচালক এর উপর জরিমানা ধার্যের ‘‘আদেশ”

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July, 2011

June, 2011
Sl.NoDateSubjectCommission’s Decision
701June 14, 2011

Penal Order for Non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Aramit Cement Ltd.

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702June 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.

703June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/1641 dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.

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704June 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.

705June 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.

706June 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.

707June 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.

708June 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.

709June 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.

710June 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.

711June 14, 2011

Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.

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712June 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.

713June 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.

714June 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.

715June 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.

716June 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.

717June 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.

718June 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.

719June 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.

720June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of CMC kamal textile mills ltd.

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721June 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.

722June 14, 2011

Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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723June 26, 2011

Penal Order for non-compliance of the SEC's Directive No. SEC/CMRRCD/2009-193/63 dated September06, 2010 in connection with trading in shares of United Airways (Bangladesh) ltd.

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724June 27, 2011

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

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725June 27, 2011

Penal Order: Non-compliance of the SEC's Order No. SEC/SRMID/94-231/1640 dated Januraly 31, 2008 in connection with trading in shares of Chittagong vegetable oil industries ltd.

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726June 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.

727June 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.

728June 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.

729June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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730June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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731June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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732June 27, 2011

Show-cause cum hearing notice: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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733June 27, 2011

Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.

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734June 28, 2011

Penal Order: In connection with the matter of non submission of the Capital & Shareholding Position for the month of February 2010, March 2010 and April 2010.


April, 2011

March, 2011

February, 2011
Sl.NoDateSubjectCommission’s Decision
745February 7, 2011

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

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746February 8, 2011

Disposal of review against Penalty Order: in connection with Repeat Public offerings (RPO) of Golden Son Ltd to ICB Capital Management Ltd.

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747February 9, 2011

Order to Bionic See Food Export Ltd. Order No: SEC/ENFORCEMENT/641/2007/80 TO SEC/ENFORCEMENT/641/2007/83

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748February 10, 2011

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

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749February 10, 2011

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

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750February 10, 2011

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

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751February 24, 2011

Warning. Non-compliance with securities laws in connection with retention of auditor for a consecutive period exceeding three years to Anlima Yarn Dyeing Ltd

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752February 27, 2011

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

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753February 28, 2011

Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Silk Mills Ltd.

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754February 28, 2011

Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Textile Mills Ltd.

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755February 28, 2011

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

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756February 28, 2011

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

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757February 28, 2011

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

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January, 2011
Sl.NoDateSubjectCommission’s Decision
758January 2, 2011

Waiver of penalty imposed penal Orders No. SEC/Enforcement/194/2003/549 to 555 all dated 28 June 2010 to Tulip dairy & Food Products Ltd

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759January 12, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/432/2006/653-659 all dated August 23, 2010 to Sajib knitwear and Garments Ltd

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760January 12, 2011

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

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761January 16, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/721/2008/707 dated October 04, 2010 to National Credit and Commerce Bank Ltd.

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762January 16, 2011

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

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763January 17, 2011

Warning: Non-compliance with securities related laws in connection with Issue of Capital by C.P. Bangladesh Co. Ltd

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764January 23, 2011

Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Phoenix Insurance Com Ltd. (Issuer)

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765January 26, 2011

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

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766January 30, 2011

Disposal of review petition against SEC Orders No. SEC/Enforcement/160/2003/ 69-72  all dated January  5, 2010 to Sreepur Textile Mills Limited

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767January 31, 2011

Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Peoples Leasing and financial Services Ltd. (Issuer)


December, 2010
Sl.NoDateSubjectCommission’s Decision
768December 5, 2010

Warning: alleged non compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2009 to Sonali Paper & Board Mills Ltd

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769December 7, 2010

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

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770December 8, 2010

Warning: non compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2010 to Wata Chemicals Ltd

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771December 15, 2010

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

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772December 19, 2010

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

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773December 19, 2010

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

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774December 19, 2010

Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/197/2003/584-589 all dated July 15, 2010 to Maq Enterprise Ltd.

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775December 21, 2010

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

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776December 21, 2010

Warning: Show cause cum hearing notice: non compliance of securities related laws in connection with issue of Capital by Sea Tex Ltd

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777December 23, 2010

Disposal of review petition against Penal Orders in connection with auditor's qualifications on the audited financial statements of Alpha Tobacco Mfg. Ltd for the year ended on Sep-30, 2006 & sep 30, 2008

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778December 23, 2010

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

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779December 23, 2010

Disposal of review petition against SEC Orders No. SEC/Enforcement/194/2003/ 256-262 all dated February 23, 2010 to Tulip Dairy & Food Products Ltd.

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November, 2010

October, 2010
Sl.NoDateSubjectCommission’s Decision
787October 3, 2010

Disposal of review petition against penalty order: In connection with the audited financial statements for the year ended on June 30, 2003 of Fine Foods Ltd

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788October 4, 2010

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

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789October 4, 2010

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

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790October 7, 2010

Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/602/2007/25-30 all dated January 03, 2010 for Wata Chemicals Ltd.

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791October 11, 2010

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

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792October 11, 2010

Disposal of the alleged matter:  Non-compliance of securities laws: in connection with Non-dissemination of price sensitive information and non submission of half yearly financial statements for the half ended on June 30, 2009 for German Bangla J.V.Food Ltd

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793October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Yaakub Ali Khandaker

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794October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tariqal Islam Bhuiyan

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795October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tayeb Ali Khan

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796October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kair Uddin Ahmed

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797October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kazi Zunnun Boshre

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798October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Shafiul Islam Bipul

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799October 21, 2010

Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Syed Siraj Ud Dawla

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800October 21, 2010

Warning: non compliance of securities laws to IIDFC capital Ltd

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801October 21, 2010

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

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802October 21, 2010

Warning: non compliance of securities laws in connection with the matter of non-compliance of conditions imposed 2CC of Securities And Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (Pvt)-186/2009-262 dated November 25, 2009 to Ever Smart Bangladesh Ltd.

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803October 24, 2010

Disposal of the alleged matter: Non-compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kabir Uddin Ahmed

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804October 25, 2010

Warning: non compliance with the securities related laws in connection with audited financial statements of Anwar Galvanaizing Ltd for the year ended on June 30,2009 to M/S Rahman Mustafiz Haq & Co

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805October 27, 2010

Order to PFI Securities Ltd. Order No: SEC/ENFORCEMENT/GP/2010/835/773

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September, 2010
Sl.NoDateSubjectCommission’s Decision
806September 6, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007

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807September 6, 2010

Disposal of review petition against penalty order: for non-compliance with  securities related laws In connection with execution of trade to Chittagong Stock Exchange Ltd (CSE)

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808September 6, 2010

Disposal of review petition against penalty order: for non-compliance with  securities related laws In connection with execution of trade and calculating of index to Dhaka Stock Exchange (DSE)

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809September 6, 2010

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

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810September 13, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Sreepur Textile Mills Ltd. for the year ended on December 31, 2007

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811September 14, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Petro Synthetic Products Ltd for the year ended on December 31, 2007

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812September 14, 2010

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

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813September 19, 2010

Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007

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814September 20, 2010

Waiver of penalty imposed videpenal orders No. SEC/Enforcement/779/2009/63-67 dated January 05, 2010 to rahman Chemicals Ltd

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815September 21, 2010

Disposal of review petition against SEC Orders No. SEC/Enforcement/52/2001/911 dated December 10, 2009 to Bangladesh Electricity Meter Com. Ltd

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816September 21, 2010

Order to Salah Carpets mills Ltd. Order No: SEC/ENFORCEMENT/277 /2008/696-699

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August, 2010
Sl.NoDateSubjectCommission’s Decision
817August 2, 2010

Disposal of review petition against penalty order: In connection with audited financial statements for the year ended on December 31, 2007 & December 31, 2008 for Bangladesh Leaf Tobacco Co. Ltd

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818August 2, 2010

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

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819August 2, 2010

Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008

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820August 8, 2010

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

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821August 9, 2010

Your letter dated July 14, 2010 against Commission’s penalty Order No. SEC/Enforcement/829/2010/563 dated June 30, 2010 to Arafat Securities Ltd

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822August 12, 2010

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

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823August 23, 2010

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

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824August 23, 2010

non-compliance of securities laws: in connection with Non-submission of audited financial statements for the year ended on Dec 31, 2008 to German Bangla J.V.Food Ltd.

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825August 25, 2010

Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008

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826August 29, 2010

Warning : non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2009  to Perfume Chemical Industry Ltd.

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July, 2010
Sl.NoDateSubjectCommission’s Decision
827July 1, 2010

Warning to concern of Non-compliance with securities related laws in connection with issue of right share to Beach Hatchery Ltd.

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828June 4, 2010

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

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829July 7, 2010

Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Petro Systhetic Products Ltd for the year ended on Dec 31, 2008

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830July 8, 2010

Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd for the year ended on Dec 31, 2008

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831July 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

832July 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

833July 12, 2010

Waiver of penalty imposed penal Orders No.SEC/Enforcement/751/2009/285 to 291 all dated 24 Feb 2010 to Meghna Petroleum Ltd

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834July 12, 2010

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

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835July 15, 2010

Disposal of review petition against penalty order: in connection with audited financial statements for the year ended on Dec 31, 2006 to Maq Paper Industries Ltd

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836July 15, 2010

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

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837July 18, 2010

Warning to concern of Non-compliance of securities laws in connection with the matter of non-submission of the capital & shareholding position for the month of FEB 2010, March 2010 and April 2010 to Pharma Aids Limited

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838July 22, 2010

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

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839July 22, 2010

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

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840July 25, 2010

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

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841July 26, 2010

Disposal of review petition against penalty order: in connection with commission’s observations on the audited financial statements for the year ended on Sept 30, 2008 for alpha Tobacco Mfg Ltd

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842July 26, 2010

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

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843July 27, 2010

Disposal of review petition against penalty order: in connection with auditor’s qualification on the audited financial statements of Beach Hatchery Ltd for the year ended on Dec 31, 2007

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June, 2010
Sl.NoDateSubjectCommission’s Decision
844June 1, 2010

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

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845June 2, 2010

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

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846June 2, 2010

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

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847June 3, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (Lanka Bangla Securities Ltd.)

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848June 3, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (The City Bank Ltd)

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849June 6, 2010

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

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850June 7, 2010

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

851June 7, 2010

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

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852June 8, 2010

Warning to Concern of Jamuna Oil Company Ltd due to Non-submission of audited financial statements for the year ended on June 30, 2009 against penal Orders No SEC/Enforcement/752/2009/275-283 all dated February 24, 2010

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853June 9, 2010

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

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854June 14, 2010

Non-compliance of securities related laws. Disposal of alleged matter of Trendset Securities Ltd. CSE Membership No 077 (Broker)

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855June 14, 2010

Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Meghna PET Industries Ltd vide Comm ission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to Azam Securities Ltd.

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856June 14, 2010

Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Al-Amin Chemicals Ltd vide Commission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to JKC Securities Ltd.

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857June 14, 2010

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

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858June 15, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of ICBIBANK to Haji Ahmad Brothers Securities Ltd.

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859June 17, 2010

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

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860June 17, 2010

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

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861June 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

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862June 20, 2010

Show cause cum notice for hearing: Non-compliance of securities related laws in connection with audited financial statements of Anwar Galvanizing Ltd (issuer) for the year ended on June 30, 2009 to M/s. Rahman Mustafiz haq & Co

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863June 21, 2010

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

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864June 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

865June 23, 2010

Warning to Concern of H.R. Textile Mills Ltd Alleged Non-compliance with the securities related laws in connection with the information regarding EPS for the year ended on Sep 30, 2009

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866June 23, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Premier Bank Ltd.

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867June 24, 2010

Warning to concern of Non-compliance of securities laws, In connection with the delayed submission of half yearly financial statements for the half year on Dec 31, 2009 to Meghna Petroleum Ltd.

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868June 28, 2010

Disposal of review petition against Penalty Orders In connection with Commission’s observations on the audited financial statements of Prime Textile Spinning Mills Ltd (Issuer) for the year ended on June 30, 2007

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869June 29, 2010

Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Lanka Bangla Finance Ltd.

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870June 29, 2010

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

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871June 29, 2010

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

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872June 29, 2010

Order to Padda Printers & color Ltd. Order no. SEC/Enforcement/740/2008/557 to SEC/Enforcement/740/2008/561

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873June 30, 2010

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

874June 30, 2010

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


May, 2010
Sl.NoDateSubjectCommission’s Decision
875May 4, 2010

Warning to Concern of PFI Securities Ltd due to Non-compliance of SEC Directive No. SEC/CMRRCD/2001-43/15 dated February 03, 2010, under the margin ruals, 1999

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876May 5, 2010

Reschedule of hearing to Khaza Mosaic Tiles & stone Industries Ltd. In connection with non-submission of half yearly financial statement for the period ended on Dec 31, 2009

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877May 9, 2010

Warning to Concern of Power Grid Company Of Bangladesh Ltd due to Non-compliance with the securities laws in connection with auditor's qualifications on the audited financial statement for the year ended on June 30, 2009

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878May 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

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879May 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

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880May 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

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881May 10, 2010

Warning to Concern of Mithun knitting and Dyeing (CEPZ) Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

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882May 10, 2010

Show cause cum hearing notice: To JKC Securities Ltd. due to Non-compliance with securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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883May 10, 2010

Show cause cum notice for hearing: To Arafat Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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884May 10, 2010

Show cause cum notice for hearing: To Azam Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009

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885May 13, 2010

Warning to Concern of Eagle Star Textile Mills Ltd due to Non-compliance of securities laws in connection with non-submission of half yearly financial statement for the half year ended on Dec 31, 2009

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886May 17, 2010

Warning to Concern of Alpha Tobacco Ltd due to Non-compliance of SEC Notification No. SEC/CMRRCD/2009-193/Admin/ 03, 31 dated June 01,1999

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887May 17, 2010

Warning to Concern of Grameenphone Ltd due to Non-compliance with securities related laws in connection with the un-audited (forth quarter) financial statements for the year ended on Dec 31, 2009

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888May 20, 2010

Warning to Concern of Perfume Chemical Industry Ltd due to Non-compliance of securities laws in connection with non-submission of capital shareholding position for the month of December 2009 and January 2010

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889May 20, 2010

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

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890May 26, 2010

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

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891May 30, 2010

Show-cause cum notice for hearing: to Ever Smart Bangladesh Ltd. In connection with the matter of non-compliance of conditions imposed under 2CC of Securities & Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (pvt.)-186/2009-262 dated November 25,2009

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892May 30, 2010

Show cause cum hearing notice: To Beach Hatchery Ltd. In connection with Non-compliance with securities related laws in connection with issue of right share

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893May 31, 2010

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

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894May 31, 2010

Order to Bionic See Food Export Ltd. Order No. SEC/Enforcement/641/2007/473 to SEC/Enforcement/641/2007/476

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895May 31, 2010

Order to Sreepur Textile Mills Ltd. Order No. SEC/Enforcement/689/2008/478 to SEC/Enforcement/689/2008/481

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April, 2010
Sl.NoDateSubjectCommission’s Decision
896April 20, 2010

Warning to concerned of Thea Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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897April 20, 2010

Warning to concerned of Kazi Shoeb Rashid Capital Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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898April 20, 2010

Warning to concerned of Hedayetullah Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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899April 20, 2010

Warning to concerned of Securities Broking & Management Services Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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900April 20, 2010

Warning to concerned of Shyamol Equity Management Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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901April 20, 2010

Warning to concerned of Al-Muntaha Trading Co. Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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902April 20, 2010

Warning to concerned of Sharp Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006

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903April 20, 2010

Review of imposed penalty against SEC penalty Orders No.SEC/Enforcement/723/2004/218-221 all dated February 23, 2010 in connection with the non-submission of audited financial statements for the year ended on June 30, 2009 (Khaza Mosaic Tiles & Stone Industries Ltd)

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904April 21, 2010

Ordered to concerned of Bangladesh Zipper industry Ltd. 

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905April 22, 2010

Show-cause cum hearing notice: Non-compliance of the SEC Notification No. SEC / CMRRCD / 2009-193 / Admin / 03-31 dated June 01, 2009 (Alpha Tobacco Ltd)

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906April 22, 2010

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

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907April 22, 2010

Order to Bangladesh Luggage Industry Ltd

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908April 25, 2010

Order to Bangladesh Leaf Tobacco Co. Ltd

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909April 27, 2010

Order to M/s Mowla Mohammad & Co

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910April 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

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March, 2010

February, 2010
Sl.NoDateSubjectCommission’s Decision
913February 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)

914February 9, 2010

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

915February 9, 2010

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

916February 9, 2010

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

917February 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)

918February 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)

919February 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)

920February 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)

921February 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)

922February 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)

923February 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)

924February 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)

925February 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)

926February 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)

927February 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)

928February 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)

929February 15, 2010

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

930February 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)

931February 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)

932February 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)

933February 17, 2010

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

934February 17, 2010

Order : Sonali Ansh Industries

935February 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.)

936February 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.)

937February 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.)

938February 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)

939February 23, 2010

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

940February 23, 2010

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

941February 23, 2010

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

942February 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

943February 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}

944February 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)

945February 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 )

946February 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)

947February 22, 2010

Order : Metalex Corporation

948February 22, 2010

Order : Fahad Industries Limited

949February 23, 2010

Order : Pharmaco International Limited

950February 23, 2010

Order : Chictex Limited

951February 23, 2010

Order : Rose Heaven Ballpen Limited

952February 23, 2010

Order : Khawja Mosaic Tiles and Stone Industries Limited

953February 24, 2010

Order : Raspit Data Management and Telecommunications Limited

954February 24, 2010

Order : Tulip Dairy and Food Products Limited

955February 24, 2010

Order : Raspit Inc (BD) Limited

956February 24, 2010

Order : M.Hossain Garments Washing and Dying Limited

957February 24, 2010

Order : Jamuna Oil Company Limited

958February 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)

959February 25, 2010

Order : Sajib Knitware and Garments Limited

960February 25, 2010

Order : Meghna Petroleum Limited

961February 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)

962February 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)

963February 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)

964February 28, 2010

Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/909-911 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)


January, 2010
Sl.NoDateSubjectCommission’s Decision
965January 3, 2010

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

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966January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Expo Traders Ltd. Depository Participants )

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967January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Al Muntaha Trading Co.Ltd .Depository Participants )

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968January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Salta Capital Ltd. Depository Participants )

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969January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Stock & Bond Ltd. Depository Participants)

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970January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Anchor Securities Ltd. Depository Participants )

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971January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Dawn Securities Ltd. Depository Participants)

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972January 3, 2010

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

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973January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (ALOCO Securities Ltd. Depository Participants)

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974January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Island Securities Ltd. Depository Participants)

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975January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (SAAD Securities Ltd. Depository Participants)

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976January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Trendset Securities Ltd. Depository Participants )

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977January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Shahiq Securities Ltd. Depository Participants)

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978January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Sinha Securities Ltd. Depository Participants)

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979January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Rashid Investment Ltd. Depository Prticipants)

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980January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( South Asia Securities Ltd. Depository Participants )

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981January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Shyamol Equity management Ltd. Depository Participants )

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982January 3, 2010

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

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983January 3, 2010

Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (AB & Co. Ltd. (Depository Participants)

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984January 4, 2010

Order : Wata Chemicals Limited

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985January 4, 2010

Order : Raspit Data management and Telecommunication Ltd.

986January 4, 2010

Order : Saleh Carpet Mills Ltd.

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987January 4, 2010

Order : Raspit Ink (DB) Ltd.

988January 4, 2010

Order : Chictex ltd.

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989January 5, 2010

Order : Sajib Knit ware and Garments Ltd

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990January 5, 2010

Order : Pharmaco International Ltd.

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991January 5, 2010

Order : Quasem Silk Mills Ltd.

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992January 5, 2010

Order : Quasem Textile Mills Ltd.

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993January 5, 2010

Order : Rahman Chemical Ltd.

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994January 5, 2010

Order : Sripur Textile Mills Ltd.

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995January 5, 2010

Order : Metalex Corporation Ltd.

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996January 10, 2010

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

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997January 10, 2010

Warning : Show cause cum hearing notice : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.(Ashraf Textile Mills Ltd.)

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998January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.        ( Janata Insurance Co.Ltd.)

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999January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.(Bangladesh Thai Aluminium ltd. - Issuer) 

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1000January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008. (Modern Industries (Bangladesh) Ltd.- Issuer)

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1001January 10, 2010

Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.. (Progati Life Insurance Ltd.-Issuer)

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1002January 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.)

1003January 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.)

1004January 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.)

1005January 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.)

1006January 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.)

1007January 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.)

1008January 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.)

1009January 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.)

1010January 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. )

1011January 10, 2010

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

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1012January 18, 2010

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

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1013January 18, 2010

Order : Saad Securities Ltd

1014January 25, 2010

Order : Niloy Cement Industries Ltd

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1015January 26, 2010

Order : Alfa Tobacco Manufacturing Ltd

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1016January 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)

1017January 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)

1018January 26, 2010

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

1019January 26, 2010

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

1020January 26, 2010

Order : Bionic Seafood Export Ltd.

1021January 26, 2010

Order : Beach Hatchery Ltd.

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1022January 26, 2010

Order : Sreepur Textile Mills Ltd.

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1023January 31, 2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Life Insurance Co.Ltd.)

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1024January 31, 2010

Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Federal Insurance Co.Ltd.)

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December, 2009
Sl.NoDateSubjectCommission’s Decision
1025December 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.)

1026December 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)

1027December 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)

1028December 10, 2009

Order : Bangladesh Electricity Meter Company limited

1029December 14, 2009

Order : Wata Chemicals Limited

1030December 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)

1031December 27, 2009

Warning : Non-compliance of securities laws: Regarding inspection vide Commission Order no.SEC/Surveillance/2003-0559/145 dated 27th september 2009 regarding shares trading of Meghna Condensed Milk Limited.

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1032December 27, 2009

Warning : Non-compliance of securities laws : Regarding Enquiry Order No.SEC/Surveillance/2003-0046 dated September 27, 2009.(Akij Securities)

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1033December 27, 2009

Warning : Non-compliance of securities laws : Regarding violation of Notification No.SEC/SRMID/2000-953/Admin-06 dated March 25, 2001 by not selling 45000 shares of Sonar Bangla Insurance Co.Limited within the stipulated time.

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1034December 27, 2009

Warning : Non-compliance of securities laws : Regarding sell of 45000 shares of Sonar bangla Insurance Co. Limited hold by Mr.Md.Motaleb Hossain (Sponsor Director) within the stipulated time. 

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1035December 29, 2009

Order : Managing Director - Uttara Bank Limited.

1036December 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.

1037December 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

1038December 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

1039December 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

1040December 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

1041December 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

1042December 31, 2009

Order : Rose Heaven Ball pen Ltd


November, 2009
Sl.NoDateSubjectCommission’s Decision
1043November 1, 2009

Order to Perto Synthetic Products Limited

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1044November 1, 2009

Order to Al-Muntaha Trading Co.Ltd

1045November 3, 2009

Order to Arafat securities Limited

1046November 3, 2009

Order to Quashem Textile Mills Limited

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1047November 3, 2009

Order to Quashem Silk Mills Limited 

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1048November 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

1049November 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

1050November 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

1051November 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

1052November 18, 2009

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

1053November 25, 2009

Order: Prime Textile Spinning Mills Limited

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1054November 25, 2009

Order : Bangladesh Dyeing and Finishing Industries Ltd

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1055November 26, 2009

Order : Dandy Dyeing Limited.

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October, 2009
Sl.NoDateSubjectCommission’s Decision
1056October 12, 2009

Warning to Central Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1057October 12, 2009

Warning to Prime Insurance Company Limited. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1058October 12, 2009

Warning to Phoenix Insurance Company Ltd. (Issuer) for :-Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1059October 12, 2009

Warning to Karnaphuli Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1060October 12, 2009

Warning to Agrani Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1061October 12, 2009

Warning to Global Insurance Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.

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1062October 12, 2009

Warning to Mona Food Industry Limited for :- Waiver of penalty imposed upon the individual directors in connection with the non-submission of half year period ended on December 31,2008against penal Order No.SEC/Enforcement/303/2005/535-538 all dated July 14,2009.

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1063October 15, 2009

Order to Mak paper Industries.

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1064October 15, 2009

Order to Dandy Dying Limited.

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1065October 19, 2009

Order to Arafat Securities Limited.

1066October 22, 2009

Order to Mona Food Industries Ltd.

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1067October 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

1068October 22, 2009

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

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1069October 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.

1070October 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.

1071October 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.

1072October 29, 2009

Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009.(Arbee Textile Limited)

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1073October 29, 2009

Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009. (Maq Enterprise  Limited  Limited)


September, 2009

August, 2009
Sl.NoDateSubjectCommission’s Decision
1077August 11, 2009

Warning to concerns of United Insurance Company Ltd. for non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.

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1078August 11, 2009

Warning to concerns of Fine Foods Limited for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008.

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1079August 16, 2009

Warning  to M/s Zahir Ahmed & Co. C.A firm, for non-compliance of securities related laws in connection with audited financial statements of Prime Textile Spinning Mills Ltd. (Issuer) for the year ended on June 30, 2007.

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1080August 18, 2009

Order to concerns of Bangladesh Monospool  Paper Manufacturing Co.Ltd. - Waiver of penalty imposed vide penal Orders No.SEC/Enforcement/698/2008/309-313/ dated April 23 ,2009. 

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1081August 23, 2009

Order to concerns of  Bangladesh Chemical Industries Limited.

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1082August 23, 2009

Order to concerns of Bangladesh Zipper Industries Limited.

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1083August 23, 2009

Order to concerns of Bangladesh Luggage Industries Limited.

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1084August 24, 2009

Order to concerns of Saleh Carpet Mills Limited.

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1085August 25, 2009

Order to concerns of Sonali Aansh Industries Limited.

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1086August 27, 2009

Order to concerns of  Mona Food Industry Limited.

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1087August 31, 2009

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

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July, 2009
Sl.NoDateSubjectCommission’s Decision
1088July 1, 2009

Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd

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1089July 5, 2009

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

1090July 5, 2009

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

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1091July 5, 2009

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

1092July 5, 2009

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

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1093July 5, 2009

Disposal of review petition of Legacy Footwear Ltd against penalty order: non-compliance with securities related laws in connection with the audited financial statement for the year ended on December 31,2005.

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1094July 8, 2009

Order to concerns of Alpha Tobacco Manufacturing Ltd

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1095July 8, 2009

Order to concerns of Bionic Seafood Exports Ltd

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1096July 8, 2009

Order to concerns of M. Securities Ltd

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1097July 8, 2009

Warning to concerns of Quasem Textile Mills Ltd for non-compliance of securities laws in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines

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1098July 12, 2012

Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd

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1099July 14, 2009

Order to concerns of Excelsior Shoes Ltd

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1100July 14, 2009

Warning to concerns of Meghna Condensed Milk Ltd  non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.

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1101July 14, 2009

Warning to concerns of M/S Mahfel Huq & Co.  for non-compliance with securities related laws in connection with audited financial statements of Bangladesh Dyeing and Finishing Industries Ltd(Issuer)  for the year ended on June 30, 2007.

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1102July 15, 2009

Order to concerns of Mona Food Industries Ltd

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1103July 15, 2009

Warning to concerns of Meghna PET Industries Ltd(Issuer) for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.

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1104July 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.

1105July 15, 2009

Warning to concerns of Aman Sea Food Industries Ltd(Issuer) for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30, 2008. 

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1106July 15, 2009

Warning to concerns of M/S Ahmed Zakir & Co for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30,2008

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1107July 15, 2009

Order to concerns of M Hossain Garments Washing & Dyeing Ltd

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1108July 16, 2009

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

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1109July 16, 2009

Warning to concerns Akila Khatun(Client code # 28063) for non-compliance of securities laws iIn connection with trading of shares of City General Insurance Co. Limited.

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1110July 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.

1111July 16, 2009

Warning to concerns of Tulip Dairy and Food Products Ltd for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007.

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1112July 16, 2009

Warning to concerns of  Mir Mamunur Rahim(Client code no: 34009) for non-compliance of securities laws in connection with trading of shares of City General Insurance Co.Limited.

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1113July 16, 2009

Order to concerns of Excelsior Shoes Ltd

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1114July 19, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1115July 20, 2009

Warning to concerns of Phoenix Leather Complex Ltd for non-compliance of securities laws  in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines.

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1116July 21, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1117July 27, 2009

Non-compliance with securities related laws in connection with sale of share without any declaration by Petrobangla, the corporate sponsor/director of Tital Gas Transmission and Distribution Company Ltd.

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1118July 27, 2009

Warning to concerns of Sonali Paper and Board Mills Ltd for non-compliance with securities related laws in connection with non-disseminating the price sensitive information regarding BMRE of your company.

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June, 2009

May, 2009
Sl.NoDateSubjectCommission’s Decision
1126May 12, 2009

Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the half yearly financial statements for the year ended on December 31, 2008.

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1127May 12, 2009

Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on December 31, 2008.

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1128May 17, 2009

Warning to concerns of Bangladesh shipping Corporation Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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1129May 18, 2009

Warning to concerns of Jamuna Oil Company Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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1130May 20, 2009

Warning to concerns of Arbee Tetiles Ltd for non-compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2008.

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1131May 21, 2009

Warning to concerns of Quasem Silk Mills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.

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1132May 21, 2009

Warning to concerns of Quasem TextileMills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.

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1133May 21, 2009

Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of half yearly  financial statements for the half year ended on December 31, 2008.

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1134May 21, 2009

Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.

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1135May 24, 2009

Warning to concerns of Aziz Pipes Ltd(Issuer) for non-compliance of securities laws in connection with the audited financial statements for the  year ended on December 31, 2007.

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1136May 24, 2009

Warning to concerns of Dhaka Bank Ltd for non-compliance of securities laws in connection with non-submission of  deficiency letter related to Repeat Public Offer of subordinate convertible bonds of Dhaka Bank Ltd.

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1137May 26, 2009

Warning to concerns of Fareast Islami Life Insuranec Co. Ltd  for non-compliance of securities laws in connection with price sensitive information regarding increase of authorized and paid-up capital.

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April, 2009
Sl.NoDateSubjectCommission’s Decision
1138April 8, 2009

Order to concerns of Raspit Data Management and Telecommunications Ltd

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1139April 8, 2009

Order to concerns of Raspit Inc(BD) Ltd

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1140April 15, 2009

Warning  to concerns of Usmania Glass Sheet Factory Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years i.e. for  the year ended on June30, 2008.

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1141April 15, 2009

Warning  to concerns of Padma Printers and Color Ltd  for non-compliance of securities laws in connection with audited financial statements  for the year ended on June 30, 2007.

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1142April 15, 2009

Warning  to concerns of Bangladesh Thai Aluminium Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2007.

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1143April 16, 2009

Waiver of penalty imposed against Summit Power Ltd through SEC penal order No.SEC/Enforcement/699/2008/71 dated January 20, 2009.

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1144April 21, 2009

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

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1145April 23, 2009

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

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1146April 26, 2009

Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.

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1147April 26, 2009

Order to concerns of Bangladesh Zipper Industries Ltd.

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1148April 26, 2009

Order to concerns of Bangladesh Luggage  Industries Ltd.

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1149April 28, 2009

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

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1150April 28, 2009

Order to concerns of Bangladesh Dyeing and Finishing  Industries Ltd.

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March, 2009

February, 2009
Sl.NoDateSubjectCommission’s Decision
1160February 4, 2009

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

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1161February 9, 2009

Order to concerns of Raspit Data Management and Telecommunication Ltd (order no. sec/enforcement/698/2008/171-172) related to price sensitive information involving  business with M/s Pull World

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1162February 9, 2009

Order to concerns of Raspit Inc(BD) Ltd (order no. sec/enforcement/698/2008/174-176) related to price sensitive information regarding sale of  its factory by Janata Bank, Pubna Branch

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1163February 9, 2009

Order to concerns of Chictex Ltd (order no. sec/enforcement/698/2008/178-181) related to price sensitive information regarding sale of its factory by IFIC Bank for loan  adjustment

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1164February 9, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1165February 9, 2009

Order to concerns of Maq Enterprises Ltd  

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1166February 9, 2009

Order to concerns of Metalex Corporation Ltd  

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1167February 9, 2009

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

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1168February 9, 2009

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

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1169February 9, 2009

Order to concerns of Arbi Textiles Ltd

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1170February 9, 2009

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

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1171February 9, 2009

Order to concerns of Saleh Carpet Mills Ltd  

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1172February 9, 2009

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

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1173February 18, 2009

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

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1174February 18, 2009

Warning  to concerns of  Key & Keu(Bangladesh) Ltd(Issuer) for alleged non-compliance of securities related laws  in connection with  audited financial statements for the year ended on December 31, 2007

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1175February 23, 2009

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

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1176February 23, 2009

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

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1177February 24, 2009

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

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1178February 24, 2009

Order to Prime Securities and Financial Services Ltd- cancellation of its merchant banker license

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January, 2009
Sl.NoDateSubjectCommission’s Decision
1179January 5, 2009

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

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1180January 6, 2009

Waiver of additional penalty on concerns of Lexco Limited

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1181January 6, 2009

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

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1182January 6, 2009

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

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1183January 12, 2009

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

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1184January 13, 2009

Warning  to concerns of  Mercantile Insurance Company Limited for non-compliance of securities related laws  in connection with  submission of audio visual recording of AGM held on June 29, 2006

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1185January 13, 2009

Waiver of imposed penalty on Mr. Kalimullah and Mr. A.k Chakraborty (IDB nominating director) of Sonali Paper and Board Mills Ltd

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1186January 13, 2009

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

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1187January 13, 2009

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

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1188January 13, 2009

Waiver of imposed penalty in connection with non-submission of audited financial statement  on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the year ended on June 30, 2007

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1189January 13, 2009

Waiver of imposed penalty in connection with non-compliance of BAS-34 regarding half yearly  financial statements  on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the half-year ended on December 31, 2006

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1190January 13, 2009

Upholding the imposed penalty on concerns of Bangladesh Hotels Ltd  for non-submission of audited financial statements for the year ended on December 31, 2007 against review petition

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1191January 13, 2009

Upholding the imposed penalty on concerns of Tamizuddin Textile Mills Ltd  for non-submission of audited financial statements for the year ended on June 30, 2007 against review petition

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1192January 14, 2009

Order to concerns of Shajib Neatware and Garments Ltd

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1193January 14, 2009

Order to concerns of Pharmaco International Ltd

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1194January 19, 2009

Directive  to concerns of Dynamic Textile Industries Ltd

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1195January 19, 2009

Directive to concerns of Quasem Silk Mills Ltd

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1196January 19, 2009

Directive to concerns of Quasem Textile Mills Ltd

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1197January 19, 2009

Directive to concerns of Phoenix Leather Complex Ltd

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1198January 19, 2009

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

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1199January 18, 2009

Order to  to concerns of Maq Enterprise  Ltd

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1200January 25, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1201January 25, 2009

Order to concerns of Raspit data management and telecommunications Ltd

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1202January 27, 2009

Warning  to concerns of  Mona Food Industry Limited for non-compliance of securities related laws  in connection with  price sensitive information regarding renting factory to Tonny Food

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1203January 27, 2009

Directive  to concerns of Pragati Insurance Ltd(trustee), National Credit and Commerce Bank Ltd(Co-trustee), Bangladesh Luggage Industries Ltd

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1204January 27, 2009

Warning  to concerns of  Islami Bank Bangladesh Ltd(Issuer) for non-compliance of securities related laws  in connection with  audited financial statements for the year ended on December 31, 2007

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1205January 27, 2009

Warning  to M/s Howladar Yunus & Co., and M/s Aziz Halim Khair Choudhury, Chartard Accountants for non-compliance of securities related laws  in connection with  audited financial statements Islami Bank Bangladesh Ltd  for the year ended on December 31, 2007

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December, 2008
Sl.NoDateSubjectCommission’s Decision
1206December 1, 2008

Order to Salam & Company Limited, DSE Member-190

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1207December 1, 2008

Order to Hedayet Ullah Securities Limited, DSE Member-140

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1208December 1, 2008

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

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1209December 1, 2008

Warning  to concerns of M/s. M.J Abedin & Co, Chartered Accountants  in connection with audited financial statements of Beximco Pharmaceuticals Ltd for the  year ended on December 31, 2005 & 20006.

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1210December 1, 2008

Warning  to concerns of Beximco Pharmaceuticals Limited(Issuer)  in connection with audited financial statements for the  year ended on December 31, 2005 & 20006.

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1211December 23, 2008

Warning  to concerns of  Usmania Glass Sheet Factory Limited(Issuer) in connection with  non-compliance of securities related laws regarding pretension of auditor for a consecutive period exceeding three years..

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1212December 28, 2008

Warning  to concerns of M/s. M. Ahmed & Co, Chartered Accountants  in connection with audited financial statements of Pharmaco International Limited(Issuer) for the  year ended on June 30, 20007.

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1213December 28, 2008

Warning  to concerns of Salta Capital Ltd, DSE Member-95  in connection with  non-compliance of securities related laws.

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1214December 28, 2008

Warning  to concerns of Al- Muntaha Trading Company Limited, DSE Member-49  in connection with  non-compliance of securities related laws.

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November, 2008
Sl.NoDateSubjectCommission’s Decision
1215November 2, 2008

Warning  to concerns of H.R Textile Mills Ltd(Issuer) in connection with  audited financial statements for the year ended on September 30, 2007

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1216November 2, 2008

Warning  to concerns of Anwar Galvanizing Limited (Issuer) in connection with  audited financial statements for the year ended on June 30, 2007

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1217November 2, 2008

Warning  to M/s Habib Sarwar & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of Dandy Dyeing  Limited(Issuer) for the year ended on December 31, 2007

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1218November 3, 2008

Warning  to concerns of Peoples Leasing and Financial Services Ltd  in connection with calculation of EPS in the half yearly financial statements for the half year ended on June 30, 2008.

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1219November 3, 2008

Warning  to concerns of  Modern Dyeing and Screen Printing  Ltd  in connection with  audited financial statements for the year ended on June 30, 2007.

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1220November 3, 2008

Warning  to concerns of Padma Printers and Color Ltd  in connection with  submission of half yearly financial statements for the half year ended on June 30, 2007.

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1221November 3, 2008

Warning  to concerns of Karnafully Insurance Company  Ltd  in connection with  submission of half yearly financial statements for the half year ended on June 30, 2007.

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1222November 25, 2008

Warning  to concerns of Rupali Insurance Company Ltd(Issuer)  in connection with audited statements for the year ended on December 31, 2006.

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1223November 27, 2008

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

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1224November 30, 2008

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

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October, 2008
Sl.NoDateSubjectCommission’s Decision
1225October 5, 2008

Order to Managing Director of Apex Adelchi Footware Limited, Order to concerns of S.N.M Securities Limited, and Order to Mr. Nurul Islam, Shareholder, Apex Adelchi Footware Limited

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1226October 5, 2008

Warning  to concerns of Bangladesh Welding and Electrodes Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.

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1227October 5, 2008

Warning  to concerns of Bangladesh Welding and Electrodes  Limited in connection with delayed submission of audited financial statements for the year ended on December 31, 2007

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1228October 5, 2008

Order to Directors of Rupali Insurance Company Limited

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1229October 5, 2008

Directive to Rupali Insurance Company Limited

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1230October 5, 2008

Order to  concerns of Fine Foods Limited

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1231October 6, 2008

Order to concerns of Mac Paper Industries Limited

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1232October 6, 2008

Waiver of penalty imposed penal orders No,SEC/Enforcement/404/2006/996  to 1010 all dated 17 September 2006 to ICB Islamic Bank Limited (former Oriental Bank Limited)

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1233October 6, 2008

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

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1234October 6, 2008

Warning  to concerns of Eastern Insurance Company  Limited in connection with  audited financial statements for the year ended on December 31, 2007

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1235October 6, 2008

Warning  to M/s A. Qasem & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of Eastern Insurance Company Limited for the year ended on December 31, 2007

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1236October 12, 2008

About waiver of penalty on concerns of Advanced Chemical Industries Limited

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1237October 12, 2008

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

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1238October 12, 2008

Warning  to concerns of Golden Sons Limited(Issuer) for alleged non-compliance of securities laws in connection with utilization of IPO fund.

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1239October 12, 2008

Warning  to concerns of GMG Industrial Corporation Limited (Issuer) in connection with  audited financial statements for the year ended on June 31, 2007

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1240October 12, 2008

Warning  to M/s A. Matin & Co, Charted Accountants for non-compliance of securities related laws in connection with   audited financial statements of GMG Industrial Corporation Limited for the year ended on June  30, 2007

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1241October 12, 2008

Warning  to CEO, DSE Limited in connection with non-compliance of securities laws relating to enquiry on activities of DSE regarding approval for gift of securities.

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1242October 13, 2008

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

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1243October 14, 2008

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

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1244October 14, 2008

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

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1245October 14, 2008

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

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1246October 14, 2008

Warning  to concerns of Bangladesh Electricity Meter Company Limited (Issuer) in connection with non-compliance of securities laws relating to non-submission of half yearly financial statements for the half year ended on June 30, 2008

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1247October 23, 2008

Order to First Securities Services Limited(Merchant Banker)

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1248October 23, 2008

Order to Raspit Securities and Management Limited(Merchant Banker)

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1249October 29, 2008

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

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1250October 29, 2008

Correction of order on Bangladesh Luggage Industries limited

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September, 2008
Sl.NoDateSubjectCommission’s Decision
1251September 3, 2008

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

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1252September 3, 2008

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

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1253September 4, 2008

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

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1254September 4, 2008

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

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1255September 4, 2008

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

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1256September 4, 2008

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

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1257September 4, 2008

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

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1258September 7, 2008

Order to concerns of Excelsior Shoes Limited

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1259September 7, 2008

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

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1260September 7, 2008

Warning  to concerns of Jago Corporation Limited for non-compliance of securities laws in connection with  delayed submission of annual report for the year, 2007.

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1261September 8, 2008

Warning  to concerns of Golden Sons Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.

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1262September 9, 2008

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

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1263September 11, 2008

Warning  to concerns of Pubali Bank  Limited in connection with non-compliance of securities laws relating to fixing AGM date, time and venue, declaring dividend in the same board meeting.

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1264September 11, 2008

Warning  to concerns of Shyampur Sugar Mill  Limited in connection with non-compliance of securities laws relating to audited financial statements for the year ended on June 30, 2006

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1265September 11, 2008

Warning  to concerns of Shyampur Sugar Mill  Limited in connection with non-compliance of securities laws relating to half yearly financial statements for the half  year ended on December 31, 2006

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1266September 11, 2008

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

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1267September 11, 2008

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

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1268September 15, 2008

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

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1269September 15, 2008

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

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1270September 16, 2008

Warning  to concerns of M/s A. Wahab & Co. C.A Firm in connection with non-compliance of securities laws relating to audited financial statements of Pragati Insurance  Limited for the year ended on December 31, 2007

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1271September 16, 2008

Warning  to concerns of Pragati Insurance Limited(Issuer) in connection with non-compliance of securities laws relating to audited financial statements for the year ended on December 31, 2007

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1272September 22, 2008

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

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1273September 22, 2008

Order to concerns of Bangladesh Hotels Limited

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1274September 24, 2008

Order to concerns of Popular Life Insurance Company Limited

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1275September 24, 2008

Order to concerns of Tamizuddin Textile Mills Limited

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August, 2008
Sl.NoDateSubjectCommission’s Decision
1276August 11, 2008

Warning  to concerns of Purabi for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.

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1277August 14, 2008

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

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1278August 14, 2008

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

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1279August 13, 2008

Warning  to concerns of Reliance Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2007.

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1280August 13, 2008

Warning  to concerns of M/s. Chowdhury Hossain Rashid & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Reliance Insurance Limited for the year ended on December 31, 2006.

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1281August 13, 2008

Warning  to concerns of Agrani Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.

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1282August 19, 2008

Warning  to concerns of CMC-Kamal Textile Mills Limited in connection with delayed submission of  audited financial statements for the year ended on December 31, 2007.

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1283August 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.

1284August 20, 2008

Warning  to concerns of ACNABIB Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of AL-Amin Chemical Industries Limited for the year ended on December 31, 2006.

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1285August 20, 2008

Order to directors of One Bank Limited

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1286August 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.

1287August 25, 2008

Warning  to concerns of M/s. Syful Shamsul Alam & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Meghna Cement Mills Limited for the year ended on December 31, 2006.

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1288August 21, 2008

Warning  to concerns of Janata Insurance Company  Limited in connection with submission of  half yearly financial statements for the half year ended on December 31, 2007.

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July, 2008

June, 2008
Sl.NoDateSubjectCommission’s Decision
1295June 3, 2008

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

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1296June 11, 2008

Warning  to concerns of daffodil Computers Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years.

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1297June 11, 2008

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

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1298June 11, 2008

Related to application for waiver of penalty by ARC Securities Ltd

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1299June 12, 2008

Warning  to concerns of M/S K.M. Alam & Co., Chartered accountant, for non-compliance of securities laws in connection with audited financial statements of Bionic Sea Food Exports Ltd (Issuer) for the year ended on December 31, 2006.

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1300June 12, 2008

Warning  to concerns of Beximco Fisheries Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006

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1301June 12, 2008

Warning  to concerns of M/s M.J. Abedin & Co., Chartered Accountants,  for non-compliance of securities laws in connection with audited financial statements of Beximco Fisheries Ltd (issuer) for the year ended on December 31, 2006.

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1302June 12, 2008

Warning  to concerns of M/s G. Kibria & Co, Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Legacy Footwear Ltd(Issuer)  for the year ended on December 31, 2006.

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1303June 12, 2008

Warning  to concerns of M/s Basu Banarjee Nath  & Co, Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Power Grid Company of Bangladesh Ltd  for the year ended on Juner 30, 2005. and June 30, 2006.

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1304June 12, 2008

Warning  to concerns of Legacy Footwear Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1305June 16, 2008

Warning  to concerns of Mona Food Industries Ltd(Issuer) for non-furnishing of clarification/explanation regarding audited financial statements for the year ended on June 30, 2006.

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1306June 18, 2008

Warning  to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1307June 18, 2008

Warning  to concerns of Quasem Textile Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1308June 18, 2008

Warning  to concerns of Quasem Silk Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.

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1309June 22, 2008

Warning  to concerns of IDLC Finance Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1310June 22, 2008

Warning  to concerns of AB Bank Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1311June 22, 2008

Warning  to concerns of Prime Finance and Investment Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1312June 22, 2008

Warning  to concerns of Prime Bank Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1313June 22, 2008

Warning  to concerns of Lanka Bangla Finance Ltd  for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.

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1314June 22, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1315June 22, 2008

Order to concerns of Chictex Ltd

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1316June 22, 2008

Order to concerns of Raspit Data Management and Telecommunication Ltd

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1317June 23, 2008

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

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1318June 23, 2008

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

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1319June 23, 2008

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

1320June 24, 2008

Warning  to concerns of Power Grid Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June 30, 2005 as well as Information documents published for offloading/direct listing of shares.

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1321June 24, 2008

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

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1322June 24, 2008

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

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1323June 26, 2008

Order to concerns of Saleh Carpet Mills Ltd

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1324June 26, 2008

Order to concerns of Rose Heaven Ballpen Ltd

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May, 2008
Sl.NoDateSubjectCommission’s Decision
1325May 18, 2008

Warning  to concerns of People's Insurance Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1326May 20, 2008

Warning  to concerns of Rupali Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1327May 20, 2008

Warning  to concerns of Sonali Paper & Board Mills Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June30, 2006.

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1328June 20, 2008

Order to Dr. Ashraf Salehin, Capital Bangladesh

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1329May 21, 2008

Warning  to concerns of Bangladesh Leaf Tobacco Co. Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1330May 21, 2008

Warning  to concerns of The City Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006 and Annual Report-2006

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1331May 25, 2008

Warning  to concerns of Prime Insurance Company Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1332May 28, 2008

Warning  to concerns of M/S Howladar Yunus & Co Chartered Accountants  for non-compliance of securities laws in connection with audited financial statements of Janata Insurance Co. Ltd(Issuer)  for the year ended on December 31, 2006.

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1333May 28, 2008

Warning  to concerns of Lexico Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.

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1334May 28, 2008

Warning  to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on September 30, 2006.

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April, 2008

March, 2008
Sl.NoDateSubjectCommission’s Decision
1349March 3, 2008

Warning to concerns of Mona Food Industries Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007

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1350March 3, 2008

Warning to concerns of Rupali Bank Ltd for non-compliance of securities laws in connection with fixing AGM date, time and venue and declaring dividend in the board of directors meeting

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1351March 3, 2008

Warning to concerns of Dynamic Textile Industries Ltd for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2007

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1352March 3, 2008

Warning to concerns of Eastern Cables Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007

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1353March 3, 2008

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

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1354March 3, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1355March 3, 2008

Order to concerns of Mercantile Bank Ltd

1356March 3, 2008

Order to concerns of Advanced Chemical Industries Ltd

1357March 4, 2008

Order to concerns of Raspit Data Management and Telecommunication  Ltd

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1358March 4, 2008

Order to concerns of Chictex Ltd

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1359March 25, 2008

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

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1360March 25, 2008

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

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1361March 27, 2008

Order to concerns of Pharmaco International Ltd

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1362March 31, 2008

Order to concerns of Fareast Islami Life Insuranec Company Ltd

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February, 2008

January, 2008
Sl.NoDateSubjectCommission’s Decision
1368January 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)

1369January 8, 2008

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

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1370January 21, 2008

Non-compliance of securities laws: In connection with half yearly financial statements for the half year ended on December 31 2006:Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/47)

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1371January 22, 2008

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Ashraf Textile Mills Limited (SEC/Enforcement/145/2002/52) 

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1372January 22, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Power Grid Company of Bangladesh Limited (SEC/Enforcement/654/2007/51) 

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1373January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Eastern Lubricants Blenders Limited (SEC/Enforcement/407/2006/55) 

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1374January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Padma Oil Company Limited (SEC/Enforcement/407/2006/56) 

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1375January 23, 2008

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Fareast Islami Life Insurance Company Limited (SEC/Enforcement/601/2007/57) 

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1376January 24, 2008

Waiver of imposed penalty - to concern of Mrs Dina Ahsan Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/59)

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1377January 24, 2008

Waiver of imposed penalty - to concern of Mr Md Khalilur Rahman Chowdhury Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/60)

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1378January 30, 2008

Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/64-77)

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1379January 31, 2008

Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/82-142)

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December, 2007
Sl.NoDateSubjectCommission’s Decision
1380December 9, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006:Warning - to concerns of Himadri Limited (SEC/Enforcement/617/2007/1200)

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1381December 17, 2007

Waiver of additional penalty and withdraw certificate cases against Commission's penalty Orders - to concerns of Sreepur Textile Mills Limited (SEC/Enforcement/160/2003/1201)

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1382December 17, 2007

Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of The Oriental Bank Limited (SEC/Enforcement/254/2004/1202) 

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1383December 17, 2007

Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Arbee Textile Mills Limited (SEC/Enforcement/491/2005/1203)

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1384December 17, 2007

Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Progressive Life Insurance Co Limited (SEC/Enforcement/629/2007/1204) 

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1385December 17, 2007

Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Paper Processing and Packaging Limited (SEC/Enforcement/628/2007/1205) 

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1386December 17, 2007

Non-compliance of securities law: Warning - to concerns of Holy City Securities Ltd Stock Broker CSE Member # 093 (SEC/Enforcement/618/2007/1206)

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1387December 17, 2007

Regarding Holy City Securities Ltd (Stock Broker) Member No 093: Warning - to concerns of Chittagong Stock Exchange Ltd (SEC/Enforcement/618/2007/1207)

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1388December 18, 2007

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

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1389December 18, 2007

Alleged non-compliance with securities related laws in connection with the half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Meghna Condensed Milk Industries Ltd 

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1390December 18, 2007

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

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1391December 18, 2007

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

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1392December 31, 2007

Order - to concerns of Fine Foods Ltd (SEC/Enforcement/335/2005/1259-1265)

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November, 2007

October, 2007
Sl.NoDateSubjectCommission’s Decision
1395October 7, 2007

Payment of penalty through installments: In connection with share trading of Therapeutics (Bangladesh) Limited - to concerns of Ibrahim Securities Ltd

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1396October 7, 2007

Penalty Order: In connection with audited financial statements of Chittagong Vegetable Oil Industries Ltd for the years ended on  June 30, 2003 and June 30 2004 - to concerns of Sarwar Salamat & Co CA

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1397October 8, 2007

Waiver of penalty imposed vide penal Orders No SEC/Enforcement/299/2005/418-420 Dated April 23 2007- to concerns of Quasem Textile Mills Limited

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1398October 8, 2007

Waiver of penalty imposed vide penal Orders No SEC/Enforcement/300/2005/424-426 Dated April 23 2007- to concerns of Quasem Silk Mills Limited

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1399October 8, 2007

Payment of penalty through installments: In connection with SEC penal orders all dated July 16 2007 regarding submission of incomplete audio-visual recording of proceedings of AGM held on December 24 2006 - to concerns of Wonderland Toys Ltd

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1400October 8, 2007

Non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years: Warning - to concerns of JMI Bangla Co Limited

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1401October 8, 2007

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

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1402October 9, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

1403October 11, 2007

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

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1404October 11, 2007

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

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1405October 24, 2007

Order - to concerns of Legacy Footwear Limited

1406October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1407October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Chemical Industries Limited

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1408October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Zipper Industries Limited

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1409October 28, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Luggage Industries Limited

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September, 2007
Sl.NoDateSubjectCommission’s Decision
1410September 3, 2007

Waiver of imposed penalty: In connection with non-disseminating price sensitive information regarding sale of fixed assets- to concerns of Quasem Silk Mills Limited

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1411September 3, 2007

Waiver of imposed penalty: In connection with the submission of incomplete audio-visual recording of proceedings of AGM held on  December 24, 2006 - to concerns of Wondeland Toys Limited

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1412September 3, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

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1413September 3, 2007

Order - to concerns of Bangladesh Dyeing & Finishing Industries Limited

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1414September 6, 2007

Waiver of imposed penalty: In connection with share trading of Therapeutics (Bangladesh) Ltd - to concerns of Ibrahim Securities Limited (DSE Member No 33)

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1415September 6, 2007

Order - to concerns of Gachihata Aqua Culture Farms Limited

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1416September 6, 2007

Order - to concerns of Meghna Condensed Milk Industries Limited

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1417September 6, 2007

Order - to concerns of Meghna PET Industries Limited

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1418September 6, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Al-Arafah Islami Bank Limited

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1419September 9, 2007

Order - to concerns of Bangladesh Luggage Industries Limited

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1420September 10, 2007

Order - to concerns of Bangladesh Zipper Industries Limited

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1421September 18, 2007

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Export Import Bank of Bangladesh Limited

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1422September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Cement Mills Limited

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1423September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Legacy Footwear Limited

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1424September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Ambee Pharmaceuticals Limited

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1425September 30, 2007

Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pragati Life Insurance Co Limited

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August, 2007
Sl.NoDateSubjectCommission’s Decision
1426August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Shrimp Culture Limited

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1427August 5, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Federal Insurance Co Limited

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1428August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Petro Synthetic Products Limited

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1429August 5, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Hotels Ltd

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1430August 5, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of CMC-Kamal Textile Mills Limited

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1431August 5, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Prime Insurance Company Limited

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1432August 8, 2007

Waiver of imposed penalty: In connection with the half yearly financial statement for the half year ended on 31 December 2005 - to concerns of Bangladesh Luggage Industries Limited

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1433August 9, 2007

Waiver of imposed penalty: In connection with statutory audit report of Rose Heaven Ball Pen Limited for the year ended on June 30 2004 - to concerns of M/s M N Islam & Company Chartered Accountants

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1434August 9, 2007

Waiver of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Niloy Cement Industries Limited

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1435August 9, 2007

Waiver  of imposed penalty: In connection with the insider trading of Jamuna Bank Limited's shares - to concern of Al-Haj Nur Mohammad

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1436August 9, 2007

Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Sonar Bangla Insurance Limited

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1437August 9, 2007

Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Electricity Meter Company Limited

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1438August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Harun-or-Rashid Managing Director Lexco Limited

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1439August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Al-Haj Abdul Mateen Director Lexco Limited

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1440August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Hamiduddin Ahmed Director & Mr Mostapha Shah Ali Newaz Director Lexco Limited

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1441August 13, 2007

Payment of penalty through installments: In connection with statutory audit  report for the year ended on December 31 2005 - to concern of Mr Mostapha Shah Ali Newaz Director Lexco Limited

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1442August 15, 2007

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

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1443August 16, 2007

Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Amam Sea Food Industries Limited

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1444August 22, 2007

Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Directive - to concerns of National Credit & Commerce Bank Limited


July, 2007
Sl.NoDateSubjectCommission’s Decision
1445July 1, 2007

Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Western Securities Investment Management Limited

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1446July 1, 2007

Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Chowdhury Securities & Services Limited

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1447July 2, 2007

Directive - to oncerns of Sreepur Textile Mills Limited

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1448July 11, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on June 30 2006 : Warning - to concerns of Arbee Textiles Limited

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1449July 5, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Alhajj Nur Mohammad

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1450July 5, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Ms Tasnim Akter Chowdhury

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1451July 5, 2007

Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of ICB Capital Management Ltd

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1452July 5, 2007

Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of AAA Consultant & Financial Advisors Merchant Banker-Issue Manager

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1453July 5, 2007

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

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1454July 8, 2007

Waiver  of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Sajib Knitwear and Garments Limited

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1455July 9, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Sonali Ansh Limited

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1456July 10, 2007

Order - to concerns of Rose Heaven Ball Pen Limited

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1457July 11, 2007

Order - to concerns of Chictex Limited

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1458July 11, 2007

Order - to concerns of Quashem Silk Mills Limited

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1459July 15, 2007

Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Rangamati Food Products Limited

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1460July 16, 2007

Order - to concerns of Wonderland Toys Limited

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1461July 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)

1462July 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)

1463July 26, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mrs Hasina Gazi 4 Siddheswari Lane Dhaka-1000

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1464July 26, 2007

Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mr Gazi Golam Ashria 4 Siddheswari Lane Dhaka-1000

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1465July 26, 2007

Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bengal Fine Ceramics Limited

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1466July 26, 2007

Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pubali Bank Limited Limited

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1467July 26, 2007

Order - concerns of Saleh Carpet Mills Limited

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1468July 26, 2007

Order - concerns of Raspit Inc (BD) Limited

1469July 26, 2007

Order - concerns of Chittagong Vegetable Oil Limited

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1470July 26, 2007

Order - concerns of  Ibrahim Securities  Limited DSE M# 33

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June, 2007
Sl.NoDateSubjectCommission’s Decision
1471June 3, 2016

Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2005: Warning - to concerns of Bangladesh Services Limited

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1472June 3, 2007

Non-compliance of securities laws: In connection with submission of audio-visual recording of proceedings of 33rd AGM held on December 19 2006 : Warning - to concerns of Bangladesh Services Limited

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1473June 11, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Bangladesh Electricity Meter Company Limited

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1474June 11, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Bangla Process Industries Limited

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1475June 11, 2007

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

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1476June 17, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on September 30 2006 : Warning - to concerns of Excelsior shoes Limited

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1477June 17, 2007

Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Legacy Footwear Limited

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1478June 17, 2007

Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Rahim Textile Mills Limited

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1479June 21, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Sreepur Textile Mills Limited

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1480June 24, 2007

Order - to concern of Ms Nasrin Akter Chowdhury

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1481June 24, 2007

Order - to concern of Ms Tasnim Akter Chowdhury

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1482June 24, 2007

Order - to concern of Alhajj Nur Mohammad

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1483June 24, 2007

Order - to concerns of Dhaka Insurance Limited

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1484June 24, 2007

Order - to concerns of Standard Group Limited

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1485June 24, 2007

Order - to concerns of Standard Stitches Limited

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1486June 24, 2007

Order - to concerns of Amotex Limited

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1487June 24, 2007

Waiver of imposed penalty: In connection with statutory audit report for the year ended on December 31 2005 - to concerns of Lexco Ltd

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May 2007
Sl.NoDateSubjectCommission’s Decision
1488March 5, 2007

Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/439)

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1489March 5, 2007

Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/440)

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1490March 5, 2007

Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/441)

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1491March 5, 2007

Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/442)

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1492March 5, 2007

Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/447)

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1493March 5, 2007

Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/448)

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1494March 5, 2007

Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/449)

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1495March 5, 2007

Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/450)

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1496July 5, 2007

Commission's Enquiry Order#SEC/SRMID/99-689/1052 dated 06 March 07 on the company for unusual trading of shares and request for a personal hearing of all the Directors of the company before awarding judgment : Time Prayer - to concern of Chairperson Bangladesh Welding Electrodes Ltd

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1497September 5, 2007

Non-compliance with securities related laws in connection with share trading of Zeal Bangla Sugar Mills Ltd: Warning - to concerns of National Credit and Commerce Bank Ltd (DSE Membership no 61) Stock-dealer

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1498May 17, 2007

Alleged non-compliance with securities law in connection with IPO application of Export Import Bank of Bangladesh Limited (Issuer): Letter of caution - to concerns of AAA Consultants & Financial Advisers

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1499May 17, 2007

Alleged non-compliance with the securities law in connection with IPO application: Letter of caution - to concerns of Export Import Bank of Bangladesh Limited

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1500May 17, 2007

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

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1501May 17, 2007

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

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1502May 17, 2007

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

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1503May 17, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited

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1504May 20, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited

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1505May 20, 2007

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

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1506May 20, 2007

Order - to concern of Mr Hamiduddin Ahmed Director Lexco Limited

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1507May 20, 2007

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

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1508May 20, 2007

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

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1509May 20, 2007

Order - to concern of Mr Fazlur Rahman Director Lexco Limited

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1510May 20, 2007

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

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1511May 20, 2007

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

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1512May 20, 2007

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

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1513May 20, 2007

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

1514May 20, 2007

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

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1515May 20, 2007

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

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1516May 21, 2007

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

1517May 21, 2007

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

1518May 21, 2007

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

1519May 21, 2007

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

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1520May 21, 2007

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

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1521May 22, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/532)

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1522May 22, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/533)

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1523May 22, 2007

Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/534)

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1524May 22, 2007

Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/538)

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1525May 22, 2007

Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/540)

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1526May 22, 2007

Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/539)

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1527May 22, 2007

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

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1528May 22, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/546)

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1529May 22, 2007

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

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1530May 22, 2007

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

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1531May 22, 2007

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

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1532May 22, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/554)

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1533May 22, 2007

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

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1534May 22, 2007

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

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1535May 22, 2007

Waiver of imposed penalty: Non-compliance of securities law in connection with payment of audit fee to the SEC appointed auditors - to concerns of Bangladesh Chemical Industries Limited

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1536May 22, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bangladesh Monospool Paper Manufacturing Co Limited

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1537May 24, 2007

Waiver of imposed penalty: In connection with the non-submission of audited financial statements for the year ended on June 30 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/563)

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1538May 24, 2007

Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/564)

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1539May 24, 2007

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

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1540May 24, 2007

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

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1541May 24, 2007

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

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1542May 24, 2007

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

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1543May 24, 2007

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

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1544May 24, 2007

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

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1545May 27, 2007

Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on June 30 2006 within time: Warning - to concerns of Mona Food Industries Limited

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1546May 27, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Rose Heaven Ball Pen Limited

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1547May 28, 2007

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

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1548May 28, 2007

Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/592)

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1549May 28, 2007

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

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1550May 28, 2007

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

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1551May 28, 2007

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

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1552May 28, 2007

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

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1553May 28, 2007

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

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1554May 28, 2007

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

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1555May 28, 2007

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

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1556May 28, 2007

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

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1557May 28, 2007

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

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1558May 28, 2007

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

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1559May 28, 2007

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

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1560May 28, 2007

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

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1561May 28, 2007

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

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1562May 28, 2007

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

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1563May 28, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Bangladesh Luggage Industries Limited

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1564May 28, 2007

Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Sonali Paper & Board Mills Limited

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April 2007
Sl.NoDateSubjectCommission’s Decision
1565April 23, 2007

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

1566April 23, 2007

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

1567April 23, 2007

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

1568April 23, 2007

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

1569April 23, 2007

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

1570April 23, 2007

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

1571April 23, 2007

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

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1572April 23, 2007

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

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1573April 23, 2007

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

1574April 23, 2007

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

1575April 23, 2007

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

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1576April 23, 2007

Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Jute Spinners Limited

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1577April 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?