Enforcement Action
December, 2016

November, 2016
Sl.NoDateSubjectCommission’s Decision
13November 6, 2016

Warning: Non-compliance of securities related laws against ACI Formulation Limited.

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14November 6, 2016

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

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15November 14, 2016

Warning: Non-compliance of securities related laws against Regent Spinning Mills Limited.

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16November 28, 2016

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

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17November 28, 2016

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

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18November 28, 2016

Warning: Non-compliance of securities related laws against Al-Muntaha Trading Co. Limited.

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19November 28, 2016

Warning: Non-compliance of securities related laws against Fareast Finance & Investment Limited.

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20November 28, 2016

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

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21November 28, 2016

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

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22November 28, 2016

Warning: Non-compliance of securities related laws against Haji Ahmed Brothers Securities Limited.

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23November 28, 2016

Warning: Non-compliance of securities related laws against Saiham Cotton Mills Limited.

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24November 28, 2016

Warning: Non-compliance of securities related laws against M/S Rahman Mustafiz Haq &Co.

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25October 28, 2016

Warning: Non-compliance of securities related laws against Tosrifa Industries Limited.

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26November 28, 2016

Warning: Non-compliance of securities related laws against Central Pharmaceuticals Limited.

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27November 28, 2016

Warning: Non-compliance of securities related laws against M/s Haque Shah Alam Mansur &Co.

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28November 30, 2016

Warning: Non-compliance of securities related laws against The Dacca Dyeing & Manufacturing Co. Ltd. (Issuer)

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29November 30, 2016

Warning: Non-compliance of securities related laws against M/s Shafiq Mizan Rahman & Augustine.

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30November 30, 2016

Warning: Non-compliance of securities related laws against Shurwid Industries Limited.

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31November 30, 2016

Warning: Non-compliance of securities related laws against M/s Rahman Mostafa Alam & Co.

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October, 2016

September, 2016
Sl.NoDateSubjectCommission’s Decision
36September 7, 2016

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

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37September 7, 2016

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

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38September 7, 2016

Warning: Non-compliance of securities related laws against Al-Muntaha Trading Co. Limited.

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39September 7, 2016

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

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40September 7, 2016

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

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41September 7, 2016

Warning: Non-compliance of securities related laws against Times Securities Limited (Dr. Md. Amzad Hossain Fakir).

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42September 7, 2016

Warning: Non-compliance of securities related laws against EBL Securities Limited & EBL Investments Limited.

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43September 7, 2016

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

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44September 7, 2016

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

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45September 7, 2016

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

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46December 7, 2016

Warning: Non-compliance of securities related laws against Royal Capital Limited.

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47September 21, 2016

Warning: Non-compliance of securities related laws against ICB Asset Management Company Limited.

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48September 21, 2016

Warning: Non-compliance of securities related laws against Popular Life Insurance Company Limited.

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49September 25, 2016

Rejection of the prayer for waiver of penalty against Ashraf Textile Mills Limited.

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50September 25, 2016

Penalty Order against Matin Spinning Mills Limited.

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August, 2016
Sl.NoDateSubjectCommission’s Decision
51August 1, 2016

Order against Chick Text Limited.

 

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52August 1, 2016

Order against Raspite Ink (BD) Limited.

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53August 2, 2016

Order against Metalex Corporation Limited.

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54August 2, 2016

Order against Mita Textiles Limited.

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55August 8, 2016

Warning: Non-compliance of securities related laws against Raj Lanka Power Company Limited.

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56August 22, 2016

Warning: Non-compliance of securities related laws against Organic Health Care Limited.

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57August 31, 2016

Warning: Non-compliance of securities related laws against Fareast Finance & Investment Limited.

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58August 31, 2016

Warning: Non-compliance of securities related laws against National Bank Limited.

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59August 31, 2016

Warning: Non-compliance of securities related laws against Tallu Spinning Mills Limited.

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60August 31, 2016

Warning: Non-compliance of securities related laws against Zahintex Industries Limited.

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61August 31, 2016

Warning: Non-compliance of securities related laws against Fine Foods Limited.

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62August 31, 2016

Warning: Non-compliance of securities related laws against Dhaka Stock Exchange Limited.

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63August 31, 2016

Warning: Non-compliance of securities related laws against Shurwid Industries Limited.

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64August 31, 2016

Warning: Non-compliance of securities related laws against Sonali Paper & Boards Mills Limited.

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July, 2016
Sl.NoDateSubjectCommission’s Decision
65July 12, 2016

Rejection of the prayer for waiver of penalty against AIBL Capital Market Services Limited.

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66July 12, 2016

Penalty Order against PFI Securities Limited.

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67July 12, 2016

Penalty Order against Mr. Golam Mahiuddin.

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68July 12, 2016

Penalty Order against Mr. Feroz Alam, MD, Petromax Refinery Ltd.

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69July 12, 2016

Penalty Order against Mr. Faridul Alam, Director, Petromax Refinery Ltd.

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70July 12, 2016

Penalty Order against Mr. A. K. M. Badiul Alam, Director, Petromax Refinery Ltd.

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71July 12, 2016

Penalty Order against Mr. Rezakul Haider, Chairman, Petromax Refinery Ltd.

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72July 12, 2016

Penalty Order against Mr. Anis Salahuddin Ahmad, Director, Petromax Refinery Ltd.

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73July 12, 2016

Penalty Order against Mr. Md. Shamsuzzaman, Director, Petromax Refinery Ltd.

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74July 12, 2016

Penalty Order against Prime Islami Securities Ltd.

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75July 13, 2016

Warning: Non-compliance of securities related laws against Singer Bangladesh Limited.

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76July 12, 2016

Order against Prime Islami Securities Ltd.

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77July 19, 2016

Warning: Non-compliance of securities related laws against Aziz Pipes Ltd. (Issuer)

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78July 19, 2016

Warning: Non-compliance of securities related laws against Far East Knitting and Dyeing Industries Limited (Issuer).

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79July 21, 2016

Warning: Non-compliance of securities related laws against Glaxo Smith Kline Bangladesh Limited (Issuer).

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80July 21, 2016

Warning: Non-compliance of securities related laws against MABS & Partners.

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81July 28, 2016

Order against Tulip Dairy and Food Products Ltd.

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82July 28, 2016

Order against Rose Heaven Ball Pen Ltd.

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83July 28, 2016

Order against Bangladesh Electricity Meter Company Ltd.

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84July 28, 2016

Order against  Raspit Data Management and Telecommunication Ltd.

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85July 28, 2016

Order against  Meghna Srimp Culture Ltd.

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June, 2016

May, 2016

April, 2016

March, 2016

February, 2016

January, 2016
Sl.NoDateSubjectCommission’s Decision
126January 3, 2016

Order against Be Rich Limited.

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127January 3, 2016

Rejection of the prayer for full waiver of fine against Tamijuddin Textile Mills Limited.

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128January 4, 2016

Order against Apollo Ispat Complex Limited.

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129January 10, 2016

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

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130January 10, 2016

Warning: Non-compliance of securities related laws against United Airways (BD) Limited.

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131January 13, 2016

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

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132January 13, 2016

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

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133January 17, 2016

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

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134January 17, 2016

Warning: Non-compliance of securities related laws against Fareast Finance Capital Investment Limited.

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135January 17, 2016

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

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136January 17, 2016

Warning: Non-compliance of securities related laws against Savar Refactories Limited.

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137January 17, 2016

Warning: Non-compliance of securities related laws against Total Communication Limited.

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138January 17, 2016

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

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139January 18, 2016

Warning: Non-compliance of securities related laws against Howladar Yunus & Co.

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140January 18, 2016

Warning: Non-compliance of securities related laws against IDLC Investments Limited.

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141January 18, 2016

Warning: Non-compliance of securities related laws against Paramount Textile Limited.

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142January 18, 2016

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

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143January 19, 2016

Rejection of the prayer for waiver of penalty against Azam Securities Limited.

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144January 19, 2016

Rejection of the prayer for waiver of penalty against The Dacca Dyeing & Manufacturing Co. Ltd.

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145January 19, 2016

Order against NCCB Securities and Financial Services Limited.

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146January 20, 2016

Order against Adil Securities Limited

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December, 2015

November, 2015

October, 2015
Sl.NoDateSubjectCommission’s Decision
158October 1, 2015

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

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159October 4, 2015

Order against Chic Tex Limited.

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160October 7, 2015

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

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161October 8, 2015

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

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162October 8, 2015

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

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163October 8, 2015

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

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164October 13, 2015

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

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165October 19, 2015

Order against Alltex Industries Limited.

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166October 19, 2015

Order against Alpha Securities Limited.

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167October 19, 2015

Order against Globe Industries Limited.

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168October 19, 2015

Order against Island Securities Limited.

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169October 19, 2015

Order against Western Security Investment Management Ltd.

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170October 25, 2015

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

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171October 25, 2015

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

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172October 28, 2015

Order against The Dhaka Dying & Manufacturing Co. Ltd.

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September, 2015

August, 2015

July, 2015
Sl.NoDateSubjectCommission’s Decision
183July 1, 2015

Penalty Order against GQ ball Pen Industries Ltd.

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184July 1, 2015

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

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185July 7, 2015

Penalty Order against Shahjibazar Power Co. Ltd.

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186July 9, 2015

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

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187July 12, 2015

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

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188July 12, 2015

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

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189July 12, 2015

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

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190July 12, 2015

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

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191July 12, 2015

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

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192July 12, 2015

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

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193July 13, 2015

Order against AIBL Capital Market Services Ltd.

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194July 13, 2015

Order against BLI Capital Ltd.

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195July 13, 2015

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

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196July 13, 2015

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

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197July 13, 2015

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

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198July 13, 2015

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

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199July 13, 2015

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

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200July 13, 2015

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

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201July 13, 2015

Order against PFI Securities Ltd.

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202July 13, 2015

Order against Prime Finance Capital Management Ltd.

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203July 13, 2015

Order against Prime Islami Securities Ltd.

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204July 13, 2015

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

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205July 13, 2015

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

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206July 13, 2015

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

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207July 13, 2015

Order against Sharp Securities Ltd.

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208July 16, 2015

Extension of Time to Deposit against Shahjibazar Power Company Ltd.

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209July 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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210July 28, 2015

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

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211July 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
230March 2, 2015

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

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231March 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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232March 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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233March 18, 2015

Order against Joytun Securities International Limited.

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234March 19, 2015

Order against Bangladesh General Insurance Company Limited.

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235March 19, 2015

Order against LR Global Asset Management Company Limited.

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236March 19, 2015

Order against Hoda Vasi Chowdhury & Co.

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237March 19, 2015

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

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238March 19, 2015

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

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239March 19, 2015

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

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240March 22, 2015

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

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241March 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
249January 29, 2015

Order against Minher Securities Limited.

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250January 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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251January 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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252January 20, 2015

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

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253January 20, 2015

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

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254January 18, 2015

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

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255January 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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256January 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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257January 13, 2015

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

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258January 7, 2015

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

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259January 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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260January 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
271November 5, 2014

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

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272November 5, 2014

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

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273November 5, 2014

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

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274November 10, 2014

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

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275November 10, 2014

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

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276November 10, 2014

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

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277November 10, 2014

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

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278November 10, 2014

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

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279November 10, 2014

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

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280November 10, 2014

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

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281November 10, 2014

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

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282November 10, 2014

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

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283November 10, 2014

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

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284November 16, 2014

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

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285November 17, 2014

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

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286November 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
298August 5, 2014

Warning: Non-compliance of Securities Laws.

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299August 5, 2014

Warning: Non-compliance of securities related laws.

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300August 18, 2014

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

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301August 24, 2014

Non-compliance of securities laws.-Warning.

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302August 24, 2014

Non-compliance of securities laws.-Warning.

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303August 24, 2014

Non-compliance of securities laws.-Warning.

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304August 24, 2014

Non-compliance of securities laws.-Warning.

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305August 24, 2014

Non-compliance of securities laws.-Warning.

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306August 24, 2014

Non-compliance of securities laws.-Warning.

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307August 24, 2014

Non-compliance of securities laws.-Warning.

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308August 24, 2014

Non-compliance of securities laws.-Warning.

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309August 24, 2014

Non-compliance of securities laws.-Warning.

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310August 24, 2014

Non-compliance of securities laws.-Warning.

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311August 24, 2014

Non-compliance of securities laws.-Warning.

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312August 24, 2014

Non-compliance of securities laws.-Warning.

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313August 25, 2014

Non-compliance of securities laws.-Warning.

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314August 25, 2014

Non-compliance of securities laws.-Warning.

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315August 25, 2014

Non-compliance of securities laws.-Warning.

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316August 31, 2014

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

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317August 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
341April 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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342April 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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343April 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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344April 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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345April 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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346April 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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347April 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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348April 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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349April 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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350April 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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351April 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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352April 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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353April 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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354April 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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355April 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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356April 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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357April 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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358April 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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359April 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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360April 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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361April 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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362April 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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363April 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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364April 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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365April 30, 2014

Reject of prayer for waiver of penalty

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366April 30, 2014

Reject of prayer for waiver of penalty

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367April 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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368April 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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369April 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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370April 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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371April 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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372April 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
373March 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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374March 5, 2014

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

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375March 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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376March 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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377March 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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378March 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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379March 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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380March 13, 2014

Non-compliance of securities related laws. WARNING

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381March 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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382March 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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383March 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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384March 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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385March 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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386March 23, 2014

Non-compliance of securities laws: Warning.

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387March 23, 2014

Non-compliance of securities laws: Warning.

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388March 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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389March 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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390March 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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391March 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
397January 1, 2014

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

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398January 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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399January 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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400January 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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401January 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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402January 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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403January 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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404January 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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405January 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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406January 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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407January 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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408January 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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409January 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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410January 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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411January 23, 2014

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

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412January 23, 2014

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

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413January 23, 2014

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

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414January 23, 2014

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

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415January 23, 2014

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

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416January 23, 2014

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

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417January 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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418January 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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419January 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
420December 1, 2013

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

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421December 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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422December 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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423December 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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424December 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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425December 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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426December 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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427December 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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428December 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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429December 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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430December 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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431December 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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432December 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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433December 31, 2013

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

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434December 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
442September 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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443September 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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444September 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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445September 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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446September 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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447September 4, 2013

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

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448September 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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449September 16, 2013

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

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450September 16, 2013

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

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451September 30, 2013

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

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August, 2013
Sl.NoDateSubjectCommission’s Decision
452August 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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453August 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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454August 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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455August 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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456August 20, 2013

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

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457August 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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458August 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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459August 29, 2013

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

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460August 29, 2013

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

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461August 29, 2013

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

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462August 29, 2013

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

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July, 2013
Sl.NoDateSubjectCommission’s Decision
463July 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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464July 16, 2013

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

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465July 16, 2013

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

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466July 16, 2013

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

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467July 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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468July 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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469July 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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470July 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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471July 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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472July 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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473July 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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474July 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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475July 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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476July 23, 2013

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

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477July 23, 2013

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

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478July 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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479July 24, 2013

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

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480July 24, 2013

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

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481July 25, 2013

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

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482July 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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483July 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
493May 2, 2013

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

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494May 2, 2013

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

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495May 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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496May 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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497May 28, 2013

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

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498May 28, 2013

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

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499May 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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500May 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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501May 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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502May 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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503May 30, 2013

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

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504May 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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505May 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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506May 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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507May 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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508May 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
509April 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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510April 7, 2013

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

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511April 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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512April 9, 2013

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

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513April 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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514April 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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515April 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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516April 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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517April 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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518April 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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519April 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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520April 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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521April 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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522April 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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523April 23, 2013

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

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524April 23, 2013

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

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525April 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
526March 7, 2013

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

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527March 7, 2013

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

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528March 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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529March 12, 2013

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

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530March 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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531March 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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532March 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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533March 12, 2013

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

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534March 12, 2013

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

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535March 12, 2013

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

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536March 12, 2013

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

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537March 12, 2013

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

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538March 12, 2013

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

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539March 12, 2015

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

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540March 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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541March 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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542March 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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543March 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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544March 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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545March 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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546March 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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547March 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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548March 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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549March 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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550March 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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551March 14, 2013

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

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552March 28, 2013

Payment of Penalty on the installment basis Ms.Shipra Paul

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553March 28, 2013

Payment of Penalty on the installment basis Ms.Sheuli Saha

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554March 28, 2013

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

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February, 2013
Sl.NoDateSubjectCommission’s Decision
555February 4, 2013

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

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556February 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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557February 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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558February 14, 2013

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

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559February 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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560February 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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561February 27, 2013

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

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562February 27, 2013

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

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563February 27, 2013

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

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564February 27, 2013

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

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565February 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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566February 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
567January 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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568January 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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569January 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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570January 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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571January 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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572January 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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573January 21, 2013

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

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574January 27, 2013

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

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575January 27, 2013

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

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576January 27, 2013

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

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577January 27, 2013

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

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578January 27, 2013

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

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579January 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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580January 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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581January 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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582January 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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583January 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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584January 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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585January 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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586January 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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587January 27, 2013

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

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588January 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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589January 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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590January 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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591January 27, 2013

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

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592January 27, 2013

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

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593January 28, 2013

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

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594January 30, 2013

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

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595January 31, 2013

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

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596January 31, 2013

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

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597January 31, 2013

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

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598January 31, 2013

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

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599January 31, 2013

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

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600January 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
601December 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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602December 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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603December 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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604December 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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605December 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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606December 24, 2012

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

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607December 26, 2012

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

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November, 2012
Sl.NoDateSubjectCommission’s Decision
608November 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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609November 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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610November 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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611November 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
619June 10, 2012

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

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620June 10, 2012

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

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621June 10, 2012

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

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622June 10, 2012

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

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623June 10, 2012

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

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624June 10, 2012

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

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625June 10, 2012

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

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626June 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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627June 10, 2012

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

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628June 10, 2012

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

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629June 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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630June 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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631June 10, 2012

Reduction of Penalty

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632June 10, 2012

Payment of Penalty amount on installment basis

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633June 12, 2012

Reduction of Penalty

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634June 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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635June 14, 2012

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

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636June 14, 2012

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

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637June 14, 2012

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

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638June 14, 2012

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

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639June 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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640June 17, 2012

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

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641June 27, 2012

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

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642June 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
643May 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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644May 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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645May 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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646May 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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647May 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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648May 28, 2012

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

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649May 28, 2012

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

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650May 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
651April 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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652April 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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653April 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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654April 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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655April 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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656April 10, 2012

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

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657April 10, 2012

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

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658April 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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659April 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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660April 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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661April 12, 2012

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

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662April 12, 2012

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

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663April 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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664April 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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665April 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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666April 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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667April 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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668April 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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669April 15, 2012

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

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670April 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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671April 15, 2012

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

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672April 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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673April 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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674April 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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675April 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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676April 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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677April 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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678April 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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679April 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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680April 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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681April 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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682April 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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683April 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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684April 22, 2012

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

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685April 22, 2012

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

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686April 22, 2012

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

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687April 22, 2012

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

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688April 22, 2012

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

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689April 22, 2012

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

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690April 24, 2012

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

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691April 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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692April 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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693April 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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694April 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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695April 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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696April 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
697March 4, 2012

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

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698March 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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699March 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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700March 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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701March 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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702March 15, 2012

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

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703March 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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704March 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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705March 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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706March 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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707March 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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708March 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
724December 1, 2011

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

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725December 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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726December 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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727December 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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728December 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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729December 1, 2011

Reduction of Penalty.

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730December 1, 2011

Rejection of review petition.

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731December 1, 2011

Rejection of review petition.

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732December 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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733December 5, 2011

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

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734December 5, 2011

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

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735December 5, 2011

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

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736December 5, 2011

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

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737December 5, 2011

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

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738December 8, 2011

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

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739December 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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740December 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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741December 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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742December 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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743December 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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744December 8, 2011

Reduction of Penalty.

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745December 8, 2011

Reduction of Penalty.

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746December 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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747December 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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748December 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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749December 8, 2011

Reduction of Penalty.

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750December 8, 2011

Reduction of Penalty.

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751December 8, 2011

Reduction of Penalty.

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752December 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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753December 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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754December 19, 2011

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

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755December 19, 2011

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

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756December 19, 2011

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

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757December 19, 2011

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

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758December 20, 2011

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

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759December 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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760December 21, 2011

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

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761December 21, 2011

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

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762December 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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763December 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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764December 27, 2011

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

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765December 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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766December 28, 2011

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

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767December 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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768December 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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769December 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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770December 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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771December 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
784September 6, 2011

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

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785September 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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786September 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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787September 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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788September 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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789September 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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790September 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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791September 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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792September 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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793September 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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794September 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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795September 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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796September 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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797September 15, 2011

PENAL ORDER: Regarding Violation of Securities related laws.

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798September 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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799September 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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800September 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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801September 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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802September 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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803September 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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804September 18, 2011

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

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805September 18, 2011

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

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806September 18, 2011

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

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807September 18, 2011

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

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808September 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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809September 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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810September 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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811September 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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812September 20, 2011

Non-compliance of securities laws: Warning.

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813September 21, 2011

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

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814September 21, 2011

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

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815September 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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816September 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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817September 25, 2011

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

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818September 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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819September 26, 2011

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

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820September 29, 2011

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

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August, 2011
Sl.NoDateSubjectCommission’s Decision
821August 2, 2011

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

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822August 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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823August 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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824August 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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825August 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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826August 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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827August 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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828August 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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829August 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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830August 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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831August 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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832August 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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833August 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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834August 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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835August 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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836August 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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837August 16, 2011

Non-compliance of securities laws: Warning

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838August 16, 2011

Non-compliance of securities laws: Warning

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839August 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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840August 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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841August 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
847June 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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848June 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.

849June 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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850June 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.

851June 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.

852June 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.

853June 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.

854June 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.

855June 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.

856June 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.

857June 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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858June 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.

859June 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.

860June 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.

861June 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.

862June 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.

863June 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.

864June 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.

865June 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.

866June 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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867June 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.

868June 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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869June 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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870June 27, 2011

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

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871June 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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872June 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.

873June 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.

874June 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.

875June 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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876June 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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877June 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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878June 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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879June 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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880June 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
891February 7, 2011

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

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892February 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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893February 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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894February 10, 2011

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

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895February 10, 2011

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

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896February 10, 2011

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

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897February 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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898February 27, 2011

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

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899February 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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900February 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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901February 28, 2011

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

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902February 28, 2011

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

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903February 28, 2011

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

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January, 2011
Sl.NoDateSubjectCommission’s Decision
904January 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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905January 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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906January 12, 2011

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

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907January 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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908January 16, 2011

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

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909January 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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910January 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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911January 26, 2011

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

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912January 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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913January 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
914December 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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915December 7, 2010

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

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916December 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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917December 15, 2010

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

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918December 19, 2010

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

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919December 19, 2010

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

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920December 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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921December 21, 2010

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

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922December 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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923December 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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924December 23, 2010

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

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925December 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
933October 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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934October 4, 2010

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

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935October 4, 2010

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

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936October 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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937October 11, 2010

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

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938October 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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939October 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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940October 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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941October 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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942October 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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943October 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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944October 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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945October 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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946October 21, 2010

Warning: non compliance of securities laws to IIDFC capital Ltd

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947October 21, 2010

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

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948October 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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949October 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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950October 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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951October 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
952September 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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953September 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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954September 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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955September 6, 2010

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

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956September 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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957September 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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958September 14, 2010

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

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959September 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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960September 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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961September 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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962September 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
963August 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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964August 2, 2010

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

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965August 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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966August 8, 2010

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

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967August 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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968August 12, 2010

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

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969August 23, 2010

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

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970August 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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971August 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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972August 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
973July 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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974June 4, 2010

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

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975July 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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976July 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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977July 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

978July 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

979July 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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980July 12, 2010

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

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981July 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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982July 15, 2010

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

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983July 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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984July 22, 2010

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

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985July 22, 2010

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

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986July 25, 2010

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

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987July 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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988July 26, 2010

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

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989July 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
990June 1, 2010

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

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991June 2, 2010

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

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992June 2, 2010

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

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993June 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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994June 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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995June 6, 2010

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

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996June 7, 2010

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

997June 7, 2010

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

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998June 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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999June 9, 2010

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

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1000June 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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1001June 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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1002June 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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1003June 14, 2010

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

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1004June 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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1005June 17, 2010

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

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1006June 17, 2010

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

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1007June 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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1008June 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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1009June 21, 2010

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

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1010June 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

1011June 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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1012June 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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1013June 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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1014June 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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1015June 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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1016June 29, 2010

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

Click to View

1017June 29, 2010

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

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1018June 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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1019June 30, 2010

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

1020June 30, 2010

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


May, 2010
Sl.NoDateSubjectCommission’s Decision
1021May 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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1022May 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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1023May 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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1024May 10, 2010

Warning to Concern of Bangas Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

Click to View

1025May 10, 2010

Warning to Concern of Tallu Spinning Mills Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

Click to View

1026May 10, 2010

Warning to Concern of Metro Spinning Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years

Click to View

1027May 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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1028May 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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1029May 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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1030May 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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1031May 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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1032May 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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1033May 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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1034May 20, 2010

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

Click to View

1035May 20, 2010

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

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1036May 26, 2010

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

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1037May 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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1038May 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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1039May 31, 2010

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

Click to View

1040May 31, 2010

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

Click to View

1041May 31, 2010

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

Click to View


April, 2010
Sl.NoDateSubjectCommission’s Decision
1042April 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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1043April 20, 2010

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

Click to View

1044April 20, 2010

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

Click to View

1045April 20, 2010

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

Click to View

1046April 20, 2010

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

Click to View

1047April 20, 2010

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

Click to View

1048April 20, 2010

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

Click to View

1049April 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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1050April 21, 2010

Ordered to concerned of Bangladesh Zipper industry Ltd. 

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1051April 22, 2010

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

Click to View

1052April 22, 2010

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

Click to View

1053April 22, 2010

Order to Bangladesh Luggage Industry Ltd

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1054April 25, 2010

Order to Bangladesh Leaf Tobacco Co. Ltd

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1055April 27, 2010

Order to M/s Mowla Mohammad & Co

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1056April 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
1059February 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)

1060February 9, 2010

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

1061February 9, 2010

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

1062February 9, 2010

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

1063February 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)

1064February 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)

1065February 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)

1066February 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)

1067February 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)

1068February 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)

1069February 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)

1070February 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)

1071February 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)

1072February 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)

1073February 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)

1074February 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)

1075February 15, 2010

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

1076February 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)

1077February 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)

1078February 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)

1079February 17, 2010

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

1080February 17, 2010

Order : Sonali Ansh Industries

1081February 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.)

1082February 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.)

1083February 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.)

1084February 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)

1085February 23, 2010

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

1086February 23, 2010

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

1087February 23, 2010

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

1088February 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

1089February 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}

1090February 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)

1091February 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 )

1092February 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)

1093February 22, 2010

Order : Metalex Corporation

1094February 22, 2010

Order : Fahad Industries Limited

1095February 23, 2010

Order : Pharmaco International Limited

1096February 23, 2010

Order : Chictex Limited

1097February 23, 2010

Order : Rose Heaven Ballpen Limited

1098February 23, 2010

Order : Khawja Mosaic Tiles and Stone Industries Limited

1099February 24, 2010

Order : Raspit Data Management and Telecommunications Limited

1100February 24, 2010

Order : Tulip Dairy and Food Products Limited

1101February 24, 2010

Order : Raspit Inc (BD) Limited

1102February 24, 2010

Order : M.Hossain Garments Washing and Dying Limited

1103February 24, 2010

Order : Jamuna Oil Company Limited

1104February 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)

1105February 25, 2010

Order : Sajib Knitware and Garments Limited

1106February 25, 2010

Order : Meghna Petroleum Limited

1107February 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)

1108February 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)

1109February 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)

1110February 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
1111January 3, 2010

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

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1112January 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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1113January 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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1114January 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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1115January 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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1116January 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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1117January 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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1118January 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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1119January 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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1120January 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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1121January 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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1122January 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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1123January 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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1124January 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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1125January 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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1126January 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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1127January 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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1128January 3, 2010

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

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1129January 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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1130January 4, 2010

Order : Wata Chemicals Limited

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1131January 4, 2010

Order : Raspit Data management and Telecommunication Ltd.

1132January 4, 2010

Order : Saleh Carpet Mills Ltd.

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1133January 4, 2010

Order : Raspit Ink (DB) Ltd.

1134January 4, 2010

Order : Chictex ltd.

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1135January 5, 2010

Order : Sajib Knit ware and Garments Ltd

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1136January 5, 2010

Order : Pharmaco International Ltd.

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1137January 5, 2010

Order : Quasem Silk Mills Ltd.

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1138January 5, 2010

Order : Quasem Textile Mills Ltd.

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1139January 5, 2010

Order : Rahman Chemical Ltd.

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1140January 5, 2010

Order : Sripur Textile Mills Ltd.

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1141January 5, 2010

Order : Metalex Corporation Ltd.

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1142January 10, 2010

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

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1143January 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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1144January 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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1145January 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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1146January 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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1147January 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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1148January 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.)

1149January 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.)

1150January 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.)

1151January 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.)

1152January 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.)

1153January 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.)

1154January 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.)

1155January 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.)

1156January 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. )

1157January 10, 2010

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

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1158January 18, 2010

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

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1159January 18, 2010

Order : Saad Securities Ltd

1160January 25, 2010

Order : Niloy Cement Industries Ltd

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1161January 26, 2010

Order : Alfa Tobacco Manufacturing Ltd

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1162January 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)

1163January 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)

1164January 26, 2010

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

1165January 26, 2010

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

1166January 26, 2010

Order : Bionic Seafood Export Ltd.

1167January 26, 2010

Order : Beach Hatchery Ltd.

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1168January 26, 2010

Order : Sreepur Textile Mills Ltd.

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1169January 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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1170January 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
1171December 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.)

1172December 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)

1173December 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)

1174December 10, 2009

Order : Bangladesh Electricity Meter Company limited

1175December 14, 2009

Order : Wata Chemicals Limited

1176December 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)

1177December 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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1178December 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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1179December 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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1180December 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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1181December 29, 2009

Order : Managing Director - Uttara Bank Limited.

1182December 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.

1183December 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

1184December 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

1185December 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

1186December 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

1187December 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

1188December 31, 2009

Order : Rose Heaven Ball pen Ltd


November, 2009
Sl.NoDateSubjectCommission’s Decision
1189November 1, 2009

Order to Perto Synthetic Products Limited

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1190November 1, 2009

Order to Al-Muntaha Trading Co.Ltd

1191November 3, 2009

Order to Arafat securities Limited

1192November 3, 2009

Order to Quashem Textile Mills Limited

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1193November 3, 2009

Order to Quashem Silk Mills Limited 

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1194November 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

1195November 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

1196November 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

1197November 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

1198November 18, 2009

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

1199November 25, 2009

Order: Prime Textile Spinning Mills Limited

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1200November 25, 2009

Order : Bangladesh Dyeing and Finishing Industries Ltd

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1201November 26, 2009

Order : Dandy Dyeing Limited.

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October, 2009
Sl.NoDateSubjectCommission’s Decision
1202October 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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1203October 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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1204October 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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1205October 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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1206October 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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1207October 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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1208October 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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1209October 15, 2009

Order to Mak paper Industries.

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1210October 15, 2009

Order to Dandy Dying Limited.

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1211October 19, 2009

Order to Arafat Securities Limited.

1212October 22, 2009

Order to Mona Food Industries Ltd.

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1213October 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

1214October 22, 2009

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

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1215October 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.

1216October 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.

1217October 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.

1218October 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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1219October 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
1223August 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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1224August 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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1225August 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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1226August 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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1227August 23, 2009

Order to concerns of  Bangladesh Chemical Industries Limited.

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1228August 23, 2009

Order to concerns of Bangladesh Zipper Industries Limited.

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1229August 23, 2009

Order to concerns of Bangladesh Luggage Industries Limited.

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1230August 24, 2009

Order to concerns of Saleh Carpet Mills Limited.

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1231August 25, 2009

Order to concerns of Sonali Aansh Industries Limited.

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1232August 27, 2009

Order to concerns of  Mona Food Industry Limited.

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1233August 31, 2009

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

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July, 2009
Sl.NoDateSubjectCommission’s Decision
1234July 1, 2009

Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd

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1235July 5, 2009

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

1236July 5, 2009

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

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1237July 5, 2009

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

1238July 5, 2009

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

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1239July 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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1240July 8, 2009

Order to concerns of Alpha Tobacco Manufacturing Ltd

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1241July 8, 2009

Order to concerns of Bionic Seafood Exports Ltd

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1242July 8, 2009

Order to concerns of M. Securities Ltd

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1243July 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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1244July 12, 2012

Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd

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1245July 14, 2009

Order to concerns of Excelsior Shoes Ltd

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1246July 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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1247July 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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1248July 15, 2009

Order to concerns of Mona Food Industries Ltd

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1249July 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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1250July 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.

1251July 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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1252July 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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1253July 15, 2009

Order to concerns of M Hossain Garments Washing & Dyeing Ltd

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1254July 16, 2009

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

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1255July 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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1256July 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.

1257July 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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1258July 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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1259July 16, 2009

Order to concerns of Excelsior Shoes Ltd

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1260July 19, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1261July 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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1262July 21, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1263July 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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1264July 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
1272May 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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1273May 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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1274May 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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1275May 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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1276May 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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1277May 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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1278May 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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1279May 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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1280May 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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1281May 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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1282May 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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1283May 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
1284April 8, 2009

Order to concerns of Raspit Data Management and Telecommunications Ltd

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1285April 8, 2009

Order to concerns of Raspit Inc(BD) Ltd

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1286April 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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1287April 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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1288April 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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1289April 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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1290April 21, 2009

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

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1291April 23, 2009

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

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1292April 26, 2009

Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.

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1293April 26, 2009

Order to concerns of Bangladesh Zipper Industries Ltd.

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1294April 26, 2009

Order to concerns of Bangladesh Luggage  Industries Ltd.

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1295April 28, 2009

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

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1296April 28, 2009

Order to concerns of Bangladesh Dyeing and Finishing  Industries Ltd.

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March, 2009

February, 2009
Sl.NoDateSubjectCommission’s Decision
1306February 4, 2009

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

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1307February 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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1308February 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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1309February 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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1310February 9, 2009

Order to concerns of Rose Heaven Ballpen Ltd

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1311February 9, 2009

Order to concerns of Maq Enterprises Ltd  

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1312February 9, 2009

Order to concerns of Metalex Corporation Ltd  

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1313February 9, 2009

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

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1314February 9, 2009

Order to concerns of Chictex Ltd(Order no. sec/enforcement/665/2008/136-139)

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1315February 9, 2009

Order to concerns of Arbi Textiles Ltd

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1316February 9, 2009

Order to concerns of Raspit Data Management & Telecommunications Ltd(sec/enforcement/665/2008/129-130)  

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1317February 9, 2009

Order to concerns of Saleh Carpet Mills Ltd  

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1318February 9, 2009

Order to concerns of Fareast Islami Life Insurance Company Ltd and related shareholders

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1319February 18, 2009

Related to petition for payment of remaining penalty through installments by directors of Tamizuddin textile Mills Ltd

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1320February 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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1321February 23, 2009

Warning to concerns of vanguard Shares & securities Ltd due to non-compliance of securities laws concerning share trading

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1322February 23, 2009

Related to review of cancellation of merchant banker license of First Securities Services Ltd

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1323February 24, 2009

Order to Pangaea Partners(Bangladesh) Ltd- cancellation of its merchant banker license

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1324February 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
1325January 5, 2009

Letter related to cancellation  of registration of First Securities Services Limited(Merchant Banker)

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1326January 6, 2009

Waiver of additional penalty on concerns of Lexco Limited

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1327January 6, 2009

Disposal of review petition of  concerns of Maq Paper Industries Ltd(Issuer) against penalty orders

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1328January 6, 2009

Disposal of review petition of  concerns of Popular Life Insurance Company Limited against penalty orders

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1329January 12, 2009

Disposal of review petition of  M/s Marhk & Co., Charterd Accountant,  against penalty order 

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1330January 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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1331January 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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1332January 13, 2009

Waiver of imposed penalty and withdrawal of certificate cases against concern of Raspit data management and telecommunication Ltd

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1333January 13, 2009

Waiver of imposed penalty against SEC penal order to concern of  Excelsior Shoes Ltd

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1334January 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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1335January 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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1336January 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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1337January 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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1338January 14, 2009

Order to concerns of Shajib Neatware and Garments Ltd

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1339January 14, 2009

Order to concerns of Pharmaco International Ltd

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1340January 19, 2009

Directive  to concerns of Dynamic Textile Industries Ltd

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1341January 19, 2009

Directive to concerns of Quasem Silk Mills Ltd

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1342January 19, 2009

Directive to concerns of Quasem Textile Mills Ltd

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1343January 19, 2009

Directive to concerns of Phoenix Leather Complex Ltd

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1344January 19, 2009

Directive to concerns of M. Hossain Garments Washing & Dyeing Ltd

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1345January 18, 2009

Order to  to concerns of Maq Enterprise  Ltd

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1346January 25, 2009

Order to concerns of Saleh Carpet Mills Ltd

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1347January 25, 2009

Order to concerns of Raspit data management and telecommunications Ltd

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1348January 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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1349January 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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1350January 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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1351January 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
1352December 1, 2008

Order to Salam & Company Limited, DSE Member-190

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1353December 1, 2008

Order to Hedayet Ullah Securities Limited, DSE Member-140

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1354December 1, 2008

Order to M.H Chowdhury Securities Limited, DSE member-156

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1355December 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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1356December 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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1357December 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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1358December 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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1359December 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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1360December 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
1361November 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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1362November 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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1363November 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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1364November 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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1365November 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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1366November 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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1367November 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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1368November 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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1369November 27, 2008

Penalty to concerns of Fareast Islami Life Insurance Company Limited(Issuer).

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1370November 30, 2008

Penalty to concerns of Popular Life Insurance Company Limited(Issuer).

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October, 2008
Sl.NoDateSubjectCommission’s Decision
1371October 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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1372October 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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1373October 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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1374October 5, 2008

Order to Directors of Rupali Insurance Company Limited

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1375October 5, 2008

Directive to Rupali Insurance Company Limited

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1376October 5, 2008

Order to  concerns of Fine Foods Limited

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1377October 6, 2008

Order to concerns of Mac Paper Industries Limited

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1378October 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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1379October 6, 2008

Warning  to concerns of National Credit & Commerce Bank  Limited in connection with Annual Report 2007.

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1380October 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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1381October 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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1382October 12, 2008

About waiver of penalty on concerns of Advanced Chemical Industries Limited

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1383October 12, 2008

Warning  to concerns of Hefazatur Rahman & Co Limited in connection with non-compliance of securities laws.

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1384October 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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1385October 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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1386October 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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1387October 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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1388October 13, 2008

Order to Shyamol Equity Management Limited(Stock Dealer/DP)

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1389October 14, 2008

Warning  to concerns of International Securities Co. Limited (CSE Membership 096) for alleged non-compliance of securities laws.

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1390October 14, 2008

Warning  to concerns of SR Capital Limited (CSE Membership 038) for alleged non-compliance of securities laws.

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1391October 14, 2008

Warning  to concerns of Hillcity Securities Limited (CSE Membership 037) for alleged non-compliance of securities laws.

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1392October 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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1393October 23, 2008

Order to First Securities Services Limited(Merchant Banker)

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1394October 23, 2008

Order to Raspit Securities and Management Limited(Merchant Banker)

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1395October 29, 2008

To CEO, CSE to take steps on securities laws violations.

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1396October 29, 2008

Correction of order on Bangladesh Luggage Industries limited

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September, 2008
Sl.NoDateSubjectCommission’s Decision
1397September 3, 2008

Warning  to concerns of Rupali Bank Limited(Issuer)i for non-compliance of securities laws.

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1398September 3, 2008

Warning  to concerns of Al-Muntaha Trading Co.Limited(Stock Broker) for non-compliance of securities laws.

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1399September 4, 2008

Warning  to concerns of Anwar Securities Limited(DP-92)i for non-compliance of securities laws.

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1400September 4, 2008

Warning  to concerns of Total Communication Limited(DP-187) for non-compliance of securities laws.

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1401September 4, 2008

Warning  to concerns of SES Company Limited(DP-34) for non-compliance of securities laws.

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1402September 4, 2008

Warning  to concerns of LankaBangla Securities Limited(DP-50) for non-compliance of securities laws.

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1403September 4, 2008

Warning  to concerns of Tariq Ibrahim & Co.(DP-90) for non-compliance of securities laws.

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1404September 7, 2008

Order to concerns of Excelsior Shoes Limited

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1405September 7, 2008

Order to concerns of M/s Mark & Co. CA Firm

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1406September 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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1407September 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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1408September 9, 2008

Warning  to concerns of Delta Brac Housing Finance Corporation  Limited in connection with non-compliance of securities laws.

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1409September 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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1410September 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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1411September 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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1412September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1215)

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1413September 11, 2008

Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1207)

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1414September 15, 2008

Waiver of penalty on concerns of Fareast Islami Life Insurance Company Limited(Issuer)

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1415September 15, 2008

Order to concerns of Fareast Islami Life Insurance Company Limited(Issuer)

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1416September 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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1417September 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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1418September 22, 2008

Warning  to concerns of Popular Life Insurance Company Limited in connection with non-compliance of securities laws

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1419September 22, 2008

Order to concerns of Bangladesh Hotels Limited

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1420September 24, 2008

Order to concerns of Popular Life Insurance Company Limited

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1421September 24, 2008

Order to concerns of Tamizuddin Textile Mills Limited

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August, 2008
Sl.NoDateSubjectCommission’s Decision
1422August 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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1423August 14, 2008

Waiver of penalty on Ms Hosne Ara Aziz, Sponsor of The City bank Limited

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1424August 14, 2008

Waiver of penalty on Mr. Shabib Uddin, Shareholder Director of Merchantile Insurance Company Limited(Issuer)

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1425August 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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1426August 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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1427August 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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1428August 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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1429August 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.

1430August 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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1431August 20, 2008

Order to directors of One Bank Limited

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1432August 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.

1433August 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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1434August 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
1441June 3, 2008

Warning  to concerns of Holy City Securities Ltd for non-compliance of securities laws.

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1442June 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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1443June 11, 2008

Related to application for waiver of penalty by Country Stock (Bangladesh) Ltd

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1444June 11, 2008

Related to application for waiver of penalty by ARC Securities Ltd

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1445June 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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1446June 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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1447June 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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1448June 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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1449June 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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1450June 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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1451June 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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1452June 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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1453June 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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1454June 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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1455June 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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1456June 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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1457June 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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1458June 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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1459June 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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1460June 22, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1461June 22, 2008

Order to concerns of Chictex Ltd

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1462June 22, 2008

Order to concerns of Raspit Data Management and Telecommunication Ltd

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1463June 23, 2008

Warning  to concerns of IDLC Finance Ltd  for non-compliance of securities laws.

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1464June 23, 2008

Warning  to concerns of Salta Capital Ltd  for non-compliance of securities laws.

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1465June 23, 2008

Warning  to Mrs. Kawsar Jahan Farida Begum, Sponsor Director of Sandhani Life Insurance Co. Ltd  for non-compliance of securities laws.

1466June 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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1467June 24, 2008

Order to Mr. Mohammad Shahib Uddin, Shareholder Director of Mercantile Insurance Company  Ltd

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1468June 24, 2008

Order to Mrs Hosne Ara Aziz, Sponsor of The City Bank Ltd

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1469June 26, 2008

Order to concerns of Saleh Carpet Mills Ltd

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1470June 26, 2008

Order to concerns of Rose Heaven Ballpen Ltd

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May, 2008
Sl.NoDateSubjectCommission’s Decision
1471May 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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1472May 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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1473May 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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1474June 20, 2008

Order to Dr. Ashraf Salehin, Capital Bangladesh

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1475May 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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1476May 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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1477May 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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1478May 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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1479May 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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1480May 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
1495March 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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1496March 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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1497March 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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1498March 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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1499March 3, 2008

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

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1500March 3, 2008

Order to concerns of Raspit Inc(BD) Ltd

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1501March 3, 2008

Order to concerns of Mercantile Bank Ltd

1502March 3, 2008

Order to concerns of Advanced Chemical Industries Ltd

1503March 4, 2008

Order to concerns of Raspit Data Management and Telecommunication  Ltd

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1504March 4, 2008

Order to concerns of Chictex Ltd

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1505March 25, 2008

Warning to concerns of Western Security Investment Management Ltd for non-compliance of securities laws

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1506March 25, 2008

Waiver of penalty to concerns of Fareast Islami Life Insurance Company Ltd

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1507March 27, 2008

Order to concerns of Pharmaco International Ltd

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1508March 31, 2008

Order to concerns of Fareast Islami Life Insuranec Company Ltd

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February, 2008

January, 2008
Sl.NoDateSubjectCommission’s Decision
1514January 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)

1515January 8, 2008

Order - to concerns of Globe Securities Ltd Stock Dealer/DP DSE M#189 (SEC/Enforcement/616/2007/30)

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1516January 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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1517January 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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1518January 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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1519January 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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1520January 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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1521January 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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1522January 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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1523January 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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1524January 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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1525January 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
1526December 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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1527December 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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1528December 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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1529December 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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1530December 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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1531December 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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1532December 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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1533December 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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1534December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/607/2007/1212-1215)

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1535December 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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1536December 18, 2007

Order - to concerns of Wata Chemicals Ltd (SEC/Enforcement/626/2007/1232-1238)

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1537December 18, 2007

Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/39/2001/1243-1246)

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1538December 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
1541October 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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1542October 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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1543October 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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1544October 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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1545October 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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1546October 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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1547October 8, 2007

Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Al-Arafah Islami Bank Limited

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1548October 9, 2007

Order - to concerns of Bangladesh Chemical Industries Limited

1549October 11, 2007

Order - to concerns of Raspit Data Management & Telecommunications Limited ((SEC/Enforcement/594/2007/1124-1126))