Order against CMSL Securities Limited.

Order against Salta Capital Limited.

Rejection of the prayer for waiver of penalty against Prime Islami Securities Limited (CEO).

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

Warning: Non-compliance of securities related laws against S.R Capital Limited (Director).

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

Warning: Non-compliance of securities related laws against Western Security Investment Management Limited.

Order against HAC Securities Limited.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Warning: Non-compliance of securities related laws against CVO Petrochemical Refinaery Limited.

Warning: Non-compliance of securities related laws against Pragati Life Insurance Co. Ltd.

Order against Sinha Securities Limited.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Penalty Order against Matin Spinning Mills Limited.

Order against Chick Text Limited.

Order against Raspite Ink (BD) Limited.

Order against Metalex Corporation Limited.

Order against Mita Textiles Limited.

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

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

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

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

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

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

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

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

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

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

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

Penalty Order against PFI Securities Limited.

Penalty Order against Mr. Golam Mahiuddin.

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

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

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

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

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

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

Penalty Order against Prime Islami Securities Ltd.

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

Order against Prime Islami Securities Ltd.

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

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

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

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

Order against Tulip Dairy and Food Products Ltd.

Order against Rose Heaven Ball Pen Ltd.

Order against Bangladesh Electricity Meter Company Ltd.

Order against  Raspit Data Management and Telecommunication Ltd.

Order against  Meghna Srimp Culture Ltd.

Rejection of the prayer for waiver of penalty against Appollo Ispat Complex Limited.

Warning: Non-compliance of securities related laws against Sandhani Life Insurance Co. Limited.

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

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

Penalty Order against Phoenix Insurance Co. Limited.

Order against S.R. Capital Limited.

Order against S. R. Capital Limited.

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

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

Warning: Non-compliance of securities related laws against NCCB Securities & Financial Services Limited.

Penalty Order against Alltex Industries Limited.

Order against Beach Hatchery Limited.

Order against Excelsior Shoes Limited.

Warning: Non-compliance of securities related laws against Reliance Brokerage Service Limited.

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

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

Order against M. Hossain Garments Washing and Dyeing Limited.

Order against Phoenix Insurance Company Limited.

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

Order against Matin Spinning Mills Limited.

Order against Khaza Mosaic Tiles & Stone Industries Limited.

Warning: Non-compliance of securities related laws against AM Securities & Financial Services Limited.

Order against Aman Sea Food Industries Limited.

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

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

Order against Jago Corporation Limited.

Warning: Non-compliance of securities related laws against Shah Mohammad Sagir & Co. Ltd.

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

Order against Dhaka Fisheries Limited.

Order against Hill Plantation Limited.

Order against Quasem Textile Mills Limited.

Order against Saleh Carpet Mills Limited.

Order against Quasem Silk Mills Limited.

Order against CVO-Petrochemical Refinery Limited.

Order against Saad Securities Limited.

Order against Shyamol Equity Management Limited.

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

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

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

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

Order against Be Rich Limited.

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

Order against Apollo Ispat Complex Limited.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Order against NCCB Securities and Financial Services Limited.

Order against Adil Securities Limited

Order against Ashraf Textile Mills Limited.

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

Non-compliance of securities related laws against Keya Cosmetics Limited (Issuer).

Order against Progressive Life Insurance Limited.

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

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

Reject of the prayer for waiver of penalty against Joytun Securities International Limited.

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

Penalty Order against Tamijuddin Textile Mills Limited.

Non-compliance of securities related laws against Peoples Leasing & Finance Limited.

Order against Sonali Aansh Industries Limited.

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

Order against Chic Tex Limited.

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

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

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

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

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

Order against Alltex Industries Limited.

Order against Alpha Securities Limited.

Order against Globe Industries Limited.

Order against Island Securities Limited.

Order against Western Security Investment Management Ltd.

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

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

Order against The Dhaka Dying & Manufacturing Co. Ltd.

Non-compliance of securities related laws against Bangladesh Shipping Corporation.

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

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

Penalty order against Shahjibazar Power Co. Ltd.

Order against Tamiz Uddin Textile Mills Ltd.

Warning: Non-compliance of securities laws against Vision Capital Management Ltd.

Non-compliance of securities related laws against Muntaha Shares & Capital Ltd.

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

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

Warning: Non-compliance of securities laws against Unicap Investments Ltd.

Penalty Order against GQ ball Pen Industries Ltd.

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

Penalty Order against Shahjibazar Power Co. Ltd.

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

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

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

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

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

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

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

Order against AIBL Capital Market Services Ltd.

Order against BLI Capital Ltd.

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

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

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

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

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

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

Order against PFI Securities Ltd.

Order against Prime Finance Capital Management Ltd.

Order against Prime Islami Securities Ltd.

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

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

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

Order against Sharp Securities Ltd.

Extension of Time to Deposit against Shahjibazar Power Company Ltd.

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.

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

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

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/1184/2013/223 dated May 06, 2014 in connection with non- Non-compliance of securities law against Gateway Equity Resources Limited.

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/2061/2014/85 dated March 02, 2015 in connection with non- Non-compliance of securities law against Joytun Securities International Limited.

Review of imposed penalty against BSEC penalty Orders No. BSEC/Enforcement/1095/2013/259 dated June 03, 2014 in connection with non- Non-compliance of securities law against Eastern Shares & Securities Limited.

Name Change of a Full Service Depository Participant Registration Certificate of Central Depository Bangladesh Limited.

Directive Order against Argon Denims Limited.

Order against Shahjibazar Power Co. Limited

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

Warning: Non-compliance of securities laws against Fareast Stocks & Bonds Limited.

Warning: Non-compliance of securities laws against Greenland Equities Limited.

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

Rejection of the prayer for waiver of penalty against Fines Foods Limited.

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

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

Warning: Non-compliance of securities laws against Khan Brothers PP Woven Bag Industries Limited.

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

Warning: Non-compliance of securities laws against S. Alam Cold Rolled Steels Limited.

Warning: Non-compliance of securities laws against The Dacca Dyeing & Manufacturing Co. Limited.

Order against Fareast Stocks & Bonds Limited.

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

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.

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.

Order against Joytun Securities International Limited.

Order against Bangladesh General Insurance Company Limited.

Order against LR Global Asset Management Company Limited.

Order against Hoda Vasi Chowdhury & Co.

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

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

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

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

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.

Order against South Asia Securities Limited.

Penalty Order: Non-compliance of securities related laws in connection with capital raising against AA Rashayan Shilpa Limited.

Order against United Financial Trading Company Limited.

Warning: Non-compliance of securities laws against Dhaka Electric Supply Company Limited.

Directive against Salvo Chemical Industries Limited.

Order against Hillcity Securities Limited.

Order against  EBL Securities Limited.

Order against Minher Securities Limited.

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.

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.

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

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

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

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

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

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

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

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

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

Penalty Order: Non compliance of Securities laws in connection with false declaration in the IPO prospectus against FAR Chemical Industries Limited

Penalty Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 against Island Securities Limited

Penalty Order: Non-compliance of  Regulation 4(1) of  Chittagong Stock Exchange (Short-Sale) Regulations, 2005 against S.R Capital Limited

Penalty Order: Non compliance of Securities laws in connection with false declaration in the IPO prospectus of FAR Chemical Industries Limited against First Securities Services Limited

Order against Fine Foods Limited

Order against Salvo Chemical Industries Limited

Order against Shahjibazar Power Company Limited

Order against Argon Denims Limited

Warning: Non-compliance of securities related laws in connection with capital raising against Silco Pharmaceuticals Limited

Warning: Non-compliance of securities related laws in connection with capital raising against Pran Dairy Limited

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Penalty Order : Non-compliance of Securities related Laws against Apex Investment Limited

Warning: Non-compliance of securities laws against Muntaha shares & Capital Ltd.

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

Warning: Non-compliance of Sections 17(e) (ii)(iii) of the Securities and Exchange Ordinance, 1969. aganist  IBBL Employees Provident Fund

Warning: Non-compliance of Sections 17(e) (ii) (iii) of the Securities and Exchange Ordinance, 1969.against  Islami Bank Securities Limited

Penelty Order : Non-compliance of Securities related Laws against Dragon Sweater and Spinning Limited

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

Waiver of additional fine and charges imposed on Directors of CVO Petrochemical Refinery Limited

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

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

Warning: Non-compliance of Securities Laws.

Warning: Non-compliance of securities related laws.

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

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

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

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

Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.

Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.

Penalty Order: Non compliance of Securities Law by submitting fake land documents relating to IPO.

Review: Non-compliance of Circular no. SEC/Section/CMRRCD/2001-43/89 dated 11/02/2009, আচরন বিধি নং ১  of দ্বিতীয় তফসিল  of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, স্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ Rule 3(7) of Margin Rules, 1999.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Non-compliance of securities laws.-Warning.

Penalty Order : Non-compliance of Securities related Laws against Eastern Shares and Securities Ltd.

Penalty Order : Non-compliance of Securities related Laws against Sylhet Metro city  Securities Ltd.

Non-compliance of securities related laws. WARNING. Agrani Bank Limited

Penalty Order : Non-compliance of Securities related Laws against G Q Ball Pen Industries Ltd.

Non-compliance of securities laws: In connection with the non-submission of half yearly financial statements for the half year ended on December 31, 2011: Warning.  GMG Industrial Corporation Ltd

Show cause cum hearing notice: Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2013: Warning.Bangas Ltd

Delayed submission of the Capital & Shareholding Position for the month of September 2013 & October 2013.WARNING

Non-compliance of securities related laws. WARNING

Reject of the prayer for waiver of penalty

Penelty Order : Non-compliance of Securities related Laws against Gatewey Ewuity Resources Ltd

Reject of the prayer for waiver of penalty

Reject of the prayer for waiver of penalty

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

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

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

Reject of prayer for waiver of penalty.

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.

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

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

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

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

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

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

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

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

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

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.

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.

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.

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

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

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

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

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

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

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

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

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

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

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

Reject of prayer for waiver of penalty

Reject of prayer for waiver of penalty

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.

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

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

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

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

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

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

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

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

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

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

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

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

Non-compliance of securities related laws. WARNING

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.

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

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

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

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

Non-compliance of securities laws: Warning.

Non-compliance of securities laws: Warning.

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

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

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

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

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

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

Reject of the prayer for waiving penalty . PHP Stock and Securities Limited.

Warning: Non-compliance of securities laws: IIDFC Securities Limited.

Penelty Order : Non-compliance of Securities related Laws against Barakatullah Electro Dynamics Ltd.

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

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.

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.

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

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.

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.

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

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

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

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

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

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”.

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

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

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,

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

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

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

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

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

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

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

Penelty Order : Non-compliance of  Securities related Laws against Premier LP Gas Limited.

Penelty Order : Non-compliance of  Securities related Laws against PHP Stocks & Securities Limited

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

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

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

Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning .Fareast Islami Life Insurance Co. Ltd

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

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.

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.

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) .

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) .

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

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

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

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

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

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

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

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

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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,

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

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

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

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

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

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

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

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

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

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

Waiver of additional fine and charges imopsed on Directors of Sajib Knitwear and Garments Limited.

Violation of Section 2c of  the Securities and Exchange Ordinance, 1969 of Barakatullah Electro Dynamics Ltd.

Penelty Order : Non-compliance of  Securities related Laws against Lanka Bangla Investment Limited.

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

Non-compliance of  Securities Laws; In connection with the delayed submission of third quarter Financial Statements.Against Allhaj Textile Mills Ltd.

Penelty Order : Non-compliance of  Securities related Laws against Mohasin Ahmed.

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

Penelty Order : Non-compliance of  Securities related Laws against Anworul Basir Khan.

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

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

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

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

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

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

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

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”.

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

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

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

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

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

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.

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

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.

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.

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

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.

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

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.

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

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

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.

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.

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

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

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

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

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.

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.

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.

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.

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.

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

Payment of Penalty on the installment basis Ms.Shipra Paul

Payment of Penalty on the installment basis Ms.Sheuli Saha

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

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

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

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

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

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

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

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

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

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

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

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.

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

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.

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.

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.

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.

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.

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.

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

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

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

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

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

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

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

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

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