Enforcement Action

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December, 2013

Sl.No	Date	Subject	Commission’s Decision
1	December 1, 2013	Penelty Order : Non-compliance of Securities related Laws against Sylnet Securities Limited	Click to View
2	December 2, 2013	Reject of prayer for penalty waiver: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited	Click to View
3	December 2, 2013	Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
4	December 2, 2013	Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
5	December 2, 2013	Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
6	December 3, 2013	Reject of prayer for penalty waiver: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.	Click to View
7	December 3, 2013	Reject of prayer: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.	Click to View
8	December 8, 2013	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning.. Social Islami Bank Limited	Click to View
9	December 17, 2013	Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Eastern Cables Ltd,	Click to View
10	December 17, 2013	Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Atlas Bangladesh Ltd	Click to View
11	December 17, 2013	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Ashraf Textile Mills Ltd	Click to View
12	December 23, 2013	Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.. Monno Ceramic Industries Ltd	Click to View
13	December 23, 2013	Non-compliance of securities laws: In connection with the delayed submission of audited financial statements for the year ended on June 30, 2013: Warning.Bengal Fine Ceramics Ltd	Click to View
14	December 31, 2013	Non-compliance of securities laws: Warning. Mika Securities Ltd	Click to View
15	December 31, 2013	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on September 30, 2013. Warning.Yusuf Flour Mills Limited	Click to View

November, 2013

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

October, 2013

Sl.No	Date	Subject	Commission’s Decision
18	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against PHP Stocks & Securities Limited	Click to View
19	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against PFI Securities Ltd.	Click to View
20	October 7, 2013	Penelty Order : Non-compliance of Securities related Laws against DBL Securities Ltd.	Click to View
21	October 24, 2013	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning.Argon Denims Limited	Click to View
22	October 24, 2013	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2013: Warning .Fareast Islami Life Insurance Co. Ltd	Click to View

September, 2013

Sl.No	Date	Subject	Commission’s Decision
23	September 1, 2013	Tamha Securities Ltd.Waiver of penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013. Warning.	Click to View
24	September 1, 2013	BDBL Securities Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , and প্রবিধি ৩২ (৫) of ডিপোজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩.	Click to View
25	September 1, 2013	Shyamol Equity Management Ltd. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) , Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006.	Click to View
26	September 1, 2013	Hedayetullah Securities Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .	Click to View
27	September 1, 2013	ICB Securities Trading Company Limited. Warning: Non-compliance of আচরনবিধি ২(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ (দ্বিতীয় তফসিল) .	Click to View
28	September 4, 2013	City Brokerage Limited. Non-compliance of securities related laws. WARNING	Click to View
29	September 16, 2013	Tamijuddin Textile Mills Limited. Waiver of penalty imposed penal orders No. SEC/Enforcement/405/2006/368 to 371 all dated 20 June, 2013.	Click to View
30	September 16, 2013	Bashundhara Textiles Mills Limited. Non-compliance of securities related laws: Disposal of the alleged matter.	Click to View
31	September 16, 2013	Prudential Capital Limited. Non-compliance of securities related laws. WARNING	Click to View
32	September 30, 2013	Penelty Order : Non-compliance of Securities related Laws against Slata Capital Limited.	Click to View

August, 2013

Sl.No	Date	Subject	Commission’s Decision
33	August 13, 2013	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning. Against Beach Hatchery ltd	Click to View
34	August 13, 2013	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2013. Warning.against Golden Son Limited	Click to View
35	August 13, 2013	Non-compliance of the SEC Notification No.SEC/CMRRCD/ 2009-193/50/Admin/02-24 dated July 14, 2010. WARNING against BRAC Bank Ltd.	Click to View
36	August 13, 2013	Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-229/2010/859 dated December 05, 2011. WARNING against Information Technology Consultants Limited.	Click to View
37	August 20, 2013	Penelty Order : Non-compliance of Securities related Laws against Jalalabad Securities Ltd.	Click to View
38	August 25, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACHHATCH. Against Mr. Asif Sadeque	Click to View
39	August 25, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of BEACONPHAR against Mr. Fokhrul Islam Chowdhury	Click to View
40	August 29, 2013	Non-compliance of securities related laws. WARNING against BRB Securities Limited	Click to View
41	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Kishor das.	Click to View
42	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Abdur Razak.	Click to View
43	August 29, 2013	Penelty Order : Non-compliance of Securities related Laws against Asraful Alam.	Click to View

July, 2013

Sl.No	Date	Subject	Commission’s Decision
44	July 7, 2013	Non-compliance of conditions imposed under 2CC of Securities and Exchange Ordinance, 1969 in the Commission’s consent letter No. SEC/CI/CPLC-308/2011/802 dated November 13, 2011. WARNING Against IEL Consortium & Associates Limited	Click to View
45	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against Shamim Ara.	Click to View
46	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against M.A Maliq.	Click to View
47	July 16, 2013	Penelty Order : Non-compliance of Securities related Laws against Shyamol Equity Management Ltd.	Click to View
48	July 18, 2013	Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter ended on March 31,2013 : Warning. BD Thai Aluminium Ltd	Click to View
49	July 18, 2013	Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter ended on March 31, 2013 : Warning. National Tea Company Ltd	Click to View
50	July 21, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and rule 3 (1) and 3 (2) of the Margin Rules 1999 in connection with trading in shares of Paramount Insurance Company Limited. against Mona Financial Consultancy and Securities Limited	Click to View
51	July 21, 2013	Rejection of Review Petition: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Safko Spinning Mills Limited. against Mirpur Securities Limited	Click to View
52	July 21, 2013	Warning: Non-compliance of the Rule 3 (2) of the Margin Rules 1999 and Clause (d) of sub-rule (12) of rule 3 of the margin rules, 1999 as per SEC Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC Directive No. SEC/CMRRCD/2009-193/63 against Mona Financial Consultancy and Securities Limited	Click to View
53	July 21, 2013	Rejection of review petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited against Mr. Abu Sadat Md.Sayem	Click to View
54	July 21, 2013	Rejection of review petition: 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited.against Mr.Abdul Mobin Molla	Click to View
55	July 21, 2013	Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited against Dream Holdings Limited,	Click to View
56	July 21, 2013	Rejection of Review Petition: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited against Mrs.Mahmuda Yasmin	Click to View
57	July 23, 2013	Penelty Order : Non-compliance of Securities related Laws against Ananta Properties Limited	Click to View
58	July 23, 2013	Penelty Order : Non-compliance of Securities related Laws against ACNABIN, Chartered Accountants	Click to View
59	July 24, 2013	Non-compliance with securities related laws in connection with the delayed submission of first Quarter financial statements for the quarter ended on March 31, 2013 : Warning. Orion Pharma Ltd	Click to View
60	July 24, 2013	Penelty Order : Non-compliance of Securities related Laws against M.A Maleq.	Click to View
61	July 24, 2013	Penelty Order : Non-compliance of Securities related Laws against A.K.M.Kamal uddin.	Click to View
62	July 25, 2013	Penelty Order : Non-compliance of Securities related Laws against Salta Capital Ltd.	Click to View
63	July 24, 2013	Non-compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2012 : Warning. Alltex Industries Ltd	Click to View
64	July 31, 2013	Waiver of penalty imposed pinal orders No. SEC/Enforcement/194/2003/256 to 262 all dated 23 February, 2010 of Tulip Dairy & Food Ltd.	Click to View

June, 2013

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

May, 2013

Sl.No	Date	Subject	Commission’s Decision
74	May 2, 2013	Penelty Order : Non-compliance of Securities related Laws against Reliance Brokerage Services Ltd.	Click to View
75	May 2, 2013	Penelty Order : Non-compliance of Securities related Laws against Globe Securities Limited.	Click to View
76	May 22, 2013	Rejection of Review petition: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alltex Industries Limited	Click to View
77	May 22, 2013	Rejection of Review petition: Non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission’s Directive No. SEC/CMRRCD/ 2001-43/169 dated October 01, 2009 in connection with trading in shares of Anwar Galvanizing Limited	Click to View
78	May 28, 2013	Penal Order: Non-compliance of section 18 of Securities and Exchange Ordinance, 1969 (XVII of 1969).	Click to View
79	May 28, 2013	Penelty Order : Non-compliance of Securities related Laws against Island Securities Limited.	Click to View
80	May 30, 2013	Review reject: Non-compliance of SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.	Click to View
81	May 30, 2013	Review reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with unusual trading in shares of “BDAUTOCA”.	Click to View
82	May 30, 2013	Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited	Click to View
83	May 30, 2013	Review: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited	Click to View
84	May 30, 2013	Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969. Against Legacy Footwear Ltd.	Click to View
85	May 30, 2013	Review Reject: Non-compliance of Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited	Click to View
86	May 30, 2013	Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Quasem Drycells Limited	Click to View
87	May 30, 2013	Review Reject: Non-compliance of আচরনবিধি ১, ২(২) of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ and Rule 16 (a) of the Securities and Exchange Commission Ordinance, 1969 in connection with unusual trading in shares of Quasem Drycells Limited.	Click to View
88	May 30, 2013	Review reject: Non-compliance of বিধি ১১ , আচরনবিধি ১, ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০, regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulation, 2006 in connection with unusual trading in shares of Beach Hatchery Limited	Click to View
89	May 30, 2013	Penalty Order: Non compliance of Notification SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14,2010 and বিধি ৪(২) of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যাবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with share sale.	Click to View

April, 2013

Sl.No	Date	Subject	Commission’s Decision
90	April 4, 2013	Warning: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with non submission of sale declaration.. Md Abdul Hannan.	Click to View
91	April 7, 2013	Penelty Order : Non-compliance of Securities related Laws against Mercantile Bank Securities Ltd.	Click to View
92	April 9, 2013	Disposal: Non-compliance of Section 17 (e)(ii) and 17(e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of One Bank Limited. Md A.K.M Arifur Rahman.	Click to View
93	April 9, 2013	Disposal: Non-compliance of Rule 3 (6) of Margin Rules, 1999 by executing force sale.	Click to View
94	April 18, 2013	Non-compliance of securities laws: In connection with the delayed submission of first quarter (Q1) financial statements for the quarter ended on March 31, 2012. Warning.Jago corporation Ltd.	Click to View
95	April 18, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited	Click to View
96	April 18, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited	Click to View
97	April 18, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
98	April 18, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
99	April 18, 2013	Rejection of Review petition: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited	Click to View
100	April 18, 2013	Rejection of Review petition: : Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited	Click to View
101	April 22, 2013	Non-compliance of securities laws: In connection with the delayed submission of Audited Financial Statements for the year ended on June 30, 2012: Warning.	Click to View
102	April 22, 2013	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2012: Warning.	Click to View
103	April 23, 2013	Warning: Non-compliance of SEC Order No. SEC/CMRRCD/2000-985/248/Admin/02/1 dated Dec19,2000. UCBL.	Click to View
104	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against Saif Powertec Limited.	Click to View
105	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against S.F. Ahmed & Co.	Click to View
106	April 23, 2013	Penelty Order : Non-compliance of Securities related Laws against ICB Capital Management Limited.	Click to View

March, 2013

Sl.No	Date	Subject	Commission’s Decision
107	March 7, 2013	Non-compliance of Securities related Laws against IFIC BANK LTD.	Click to View
108	March 7, 2013	Non-compliance of Securities related Laws : Warning . Md Ariful Haque Mallick.	Click to View
109	March 7, 2013	Penelty Order for Violation of আচরণবিধি ১ and ৬ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Mr S M Faruque	Click to View
110	March 12, 2013	Penelty Order for Violation of Securities related Laws against Salta Capital Limited.	Click to View
111	March 12, 2013	Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against SINHA Securities Limited.	Click to View
112	March 12, 2013	Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against M.Securities Limited.	Click to View
113	March 12, 2013	Penelty Order for Violation of Securities related Laws in connection with unusual trading in shares of BDAUTOCA"against ICB Securities trading Company Limited.	Click to View
114	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Western Securities Investment Management Ltd.	Click to View
115	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Mirpur ScuritiesLtd.	Click to View
116	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Mona Financial Consultancy and Scurities Ltd.	Click to View
117	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against Be Rich Limited.	Click to View
118	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against SIBL Securities Limited.	Click to View
119	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws against HAC Securities Limited.	Click to View
120	March 12, 2015	Penelty Order : Non-compliance of Securities related Laws against Al-Muntaha Trading Co. Limited.	Click to View
121	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Beach Hatchery Limited"against Sylhet Metro City Securities Limited.	Click to View
122	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Shyamol Equtiy Management Limited.	Click to View
123	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Oshadi Securities Limited.	Click to View
124	March 12, 2013	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Sinha Securities Limited.	Click to View
125	March 12, 2015	Penelty Order : Non-compliance of Securities related Laws connection with unusual trading in shares of Quasem Erycells Limited"against Global Securities Limited.	Click to View
126	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Mahbubur Rahman.	Click to View
127	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited. against Md Razzaqul Haider Bhuiyan.	Click to View
128	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Md Habibur Rahman.	Click to View
129	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Ms Nusrat Jahan.	Click to View
130	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Paramount Insurance Company Limited against Uttara Finance and Investment Limited.	Click to View
131	March 14, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of GQBALPEN against Md Abdul Khayer.	Click to View
132	March 14, 2013	Order. Mr Md Abdur Razzak. Raspit Indk (bd)Ltd	Click to View
133	March 28, 2013	Payment of Penalty on the installment basis Ms.Shipra Paul	Click to View
134	March 28, 2013	Payment of Penalty on the installment basis Ms.Sheuli Saha	Click to View
135	March 28, 2013	Payment of Penalty on the installment basis Mr. Joydeb Kumar Saha	Click to View

February, 2013

Sl.No	Date	Subject	Commission’s Decision
136	February 4, 2013	Non-compliance of Securities related Laws against Aamra Technologies Limited.	Click to View
137	February 7, 2013	Warnivg: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of Dutchbangla. Md Shahadat Hossain	Click to View
138	February 7, 2013	Warning: Non-compliance of আচরণবিধি ৭ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০. Hac Securities Limited.	Click to View
139	February 14, 2013	Warning: violation of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.মোহাম্মদ আকবর হোসেন	Click to View
140	February 14, 2013	Warning: violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন(সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫. এ এন্ড এ ইনভেষ্টমেন্ট লিঃ	Click to View
141	February 26, 2013	Non-compliance of securities laws: in connection with the delayed submission of first quarter(Q1) financial statements Agni Systems Limited:Warning	Click to View
142	February 27, 2013	Penelty Order for Violation of Securities related Laws Mona Financial Consultancy and Securities Limited.	Click to View
143	February 27, 2013	Penelty Order for Violation of Securities related Laws against Fidelity Assets and Securities Company Limited.	Click to View
144	February 27, 2013	Penelty Order for Violation of Securities related Laws against Globe Securities Limited.	Click to View
145	February 27, 2013	Penelty Order for Violation of Securities related Laws against Shyamol Equity Management Limited.	Click to View
146	February 27, 2013	Warning: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of All Tex Industries Limited. Md Nizam Uddin.	Click to View
147	February 28, 2013	Penelty Order for Violation of Securities related Laws against Mercantile Bank Securities Limited.	Click to View

January, 2013

Sl.No	Date	Subject	Commission’s Decision
148	January 17, 2013	Disposal of Review Petition in connection with the non-submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.	Click to View
149	January 22, 2013	Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
150	January 22, 2013	Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
151	January 22, 2013	Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 in connection with trading in shares of Paramount and Global Insurance Limited.	Click to View
152	January 22, 2013	Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
153	January 22, 2013	Penalty Order: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010 and SEC/CMRRCD/2009-193/63 dated September 06, 2010 in connection with trading in shares of Quasem Drycells Limited.	Click to View
154	January 21, 2013	Penalty Order for Violation of Securities related Laws against Raspit Data Management Ltd	Click to View
155	January 27, 2013	Penalty Order for Violation of Securities related Laws against International Leasing Securities Ltd.	Click to View
156	January 27, 2013	Penalty Order for Violation of Securities related Laws against R.N Spinning Mills Ltd	Click to View
157	January 27, 2013	Penalty Order for Violation of Securities related Laws against Md. Abdul Kadir Faruq.	Click to View
158	January 27, 2013	Penalty Order for Violation of Securities related Laws against Kim jong suk.	Click to View
159	January 27, 2013	Penalty Order for Violation of Securities related Laws against Mrs Shirin Faruq.	Click to View
160	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
161	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
162	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
163	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (ii) and 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of FU-WANG Foods Limited	Click to View
164	January 27, 2013	Penalty Order: Non-compliance of আচরণবিধি ৮ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with trading in shares of Libra Infusion Limited.	Click to View
165	January 27, 2013	Warning: Non-compliance of Section 17 (e) (ii) and 17 (e) (iv) of Securities and Exchange Ordinance, 1969 in connection with trading in shares of Libra Infusion Limited.	Click to View
166	January 27, 2013	Penalty Order : Non-compliance of section 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations,2006 and আচরনবিধি ৬ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ in connection with unusual trading in shares of listed securities by PHP Stocks & Securities Limited.	Click to View
167	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of R.N Spinning Mills Limited	Click to View
168	January 27, 2013	Penalty Order: Non-compliance of Section 18 of Securities and Exchange Ordinance, 1969.	Click to View
169	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited	Click to View
170	January 27, 2013	Penalty Order: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Legacy Footwear Limited	Click to View
171	January 28, 2013	Alleged non-compliance with the securities related laws in connection with the submission of un-audited 4th quarter financial statements:Warning	Click to View
172	January 27, 2013	Penalty Order for Violation of Securities related Laws against Mita Textiles Mills Ltd.	Click to View
173	January 27, 2013	Penalty Order for Violation of Securities related Laws against Khaza Mosaic Tiles & Stone Ind.Ltd	Click to View
174	January 28, 2013	Penalty Order for Violation of Securities related Laws against Pharmaco International Ltd.	Click to View
175	January 30, 2013	Penalty Order for Violation of Securities related Laws against Sajib Knitware & Garments Ltd.	Click to View
176	January 31, 2013	Penalty Order for Violation of Securities related Laws against Bangla Process Ind.Ltd.	Click to View
177	January 31, 2013	Penalty Order for Violation of Securities related Laws against Rose Heaven Bell Pen Ltd.	Click to View
178	January 31, 2013	Penalty Order for Violation of Securities related Laws against M.Hossain Garments Ltd.	Click to View
179	January 31, 2013	Penalty Order for Violation of Securities related Laws against Perfume Chemical Industries Ltd.	Click to View
180	January 31, 2013	Penalty Order for Violation of Securities related Laws against Fahad Industries Ltd.	Click to View
181	January 31, 2013	Penalty Order for Violation of Securities related Laws against Amam Se Food Ind.Ltd.	Click to View

December, 2012

Sl.No	Date	Subject	Commission’s Decision
182	December 24, 2012	Review: Violation of বিধি ৩(১) and বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
183	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
184	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) of the Securities and Exchange Ordinance, 1969 (XVII of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
185	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
186	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
187	December 24, 2012	Review: Violation of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
188	December 26, 2012	Penalty Order for Violation of Securities related laws against Mohammad Quddus & Co.	Click to View

November, 2012

Sl.No	Date	Subject	Commission’s Decision
189	November 15, 2012	WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
190	November 15, 2012	WARNING: Non-compliance of আচরনবিধি ১, ২(১), ২(২) ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
191	November 15, 2012	WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
192	November 15, 2012	WARNING: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View

October, 2012

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

July, 2012

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

June, 2012

Sl.No	Date	Subject	Commission’s Decision
200	June 10, 2012	Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.	Click to View
201	June 10, 2012	Penalty Order for Violation of Securities related laws against Mita Textiles Limited.	Click to View
202	June 10, 2012	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
203	June 10, 2012	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
204	June 10, 2012	Penalty Order for Violation of Securities related laws against Pharmaco International Limited.	Click to View
205	June 10, 2012	Penalty Order for Violation of Securities related laws against M Hossain Garments washing and dying Limited.	Click to View
206	June 10, 2012	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
207	June 10, 2012	Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on June 30, 2011: Warning	Click to View
208	June 10, 2012	Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.	Click to View
209	June 10, 2012	Penalty Order for Violation of Securities related laws against Bangladesh Shipping Corporation.	Click to View
210	June 10, 2012	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on September 30, 2011: Warning	Click to View
211	June 10, 2012	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning	Click to View
212	June 10, 2012	Reduction of Penalty	Click to View
213	June 10, 2012	Payment of Penalty amount on installment basis	Click to View
214	June 12, 2012	Reduction of Penalty	Click to View
215	June 12, 2012	Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited	Click to View
216	June 14, 2012	Penalty Order for Violation of Securities related laws against Apollo Ispat Complex Limited	Click to View
217	June 14, 2012	Penalty Order for Violation of Securities related laws against ICB Capital Management Limited	Click to View
218	June 14, 2012	Penalty Order for Violation of Securities related laws against Zoha Zaman Kabir Rashid and Co.	Click to View
219	June 14, 2012	Penalty Order for Violation of Securities related laws against Masih Muhith Haque and Co.	Click to View
220	June 17, 2012	Warning: Non compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection of shares sale by the placement holder of Grameen Phone Limited	Click to View
221	June 17, 2012	Warning: Non-compliance of 5(1) of Margin Rules, 1999	Click to View
222	June 27, 2012	Penalty Order for Violation of Securities related laws against NBL Securities Limited	Click to View
223	June 28, 2012	Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited	Click to View

May, 2012

Sl.No	Date	Subject	Commission’s Decision
224	May 9, 2012	Disposal f review petition against SEC Orders No. SEC/Enforcement/447/ 2006/664-670 all dated September 29, 2011.	Click to View
225	May 17, 2012	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.	Click to View
226	May 17, 2012	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2011: Warning.	Click to View
227	May 21, 2012	Rejection of Review Petition: Violations of বিধি ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ in connection with trading in shares of BIFCL.	Click to View
228	May 22, 2012	WARNING: Non-compliance of ৭ of দ্বিতীয় তফসিল and বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
229	May 28, 2012	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
230	May 28, 2012	Penalty Order for Violation of Securities related laws against Rose Haven Ball Pen Limited.	Click to View
231	May 28, 2012	Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended of December 31,2010 against penal Orders No. SEC/Enforcement/ 749/2009/758-762 all dated December 05, 2011.	Click to View

April, 2012

Sl.No	Date	Subject	Commission’s Decision
232	April 3, 2012	Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
233	April 3, 2012	Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
234	April 3, 2012	Warning: Non-compliance of আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
235	April 10, 2012	Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.	Click to View
236	April 10, 2012	Rejection of review petition: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/2009-193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (Short-Sale) Regulations, 2005 in connection with unusual trading in shares of Eastern Housing Limited.	Click to View
237	April 10, 2012	Rejection of second review petition no. NIL. dated December 15, 2011	Click to View
238	April 10, 2012	Rejection of second review petition no. NIL. dated January 03, 2012	Click to View
239	April 10, 2012	WARNING: Non-compliance of Rule 18(9) of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.	Click to View
240	April 10, 2012	Reduction of penalty: Non-compliance of Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with trading in shares of Ocean Container Limited.	Click to View
241	April 10, 2012	Reduction of penalty: Non-compliance of condition no. 7 under Part-B of SEC's letter No. SEC/CI/IPO-113/09-414 dated March 28, 2010.	Click to View
242	April 12, 2012	Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005.	Click to View
243	April 12, 2012	Penal Order: Non-compliance of regulation 4(1) of the Chittagong Stock Exchange (Short-Sale) Regulations, 2005	Click to View
244	April 12, 2012	Rejection of Review Petition: Non -compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and বিধি-১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
245	April 12, 2012	Penal Order: Violation of বিধি-১১ and দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার, স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরণ বিধি ১ and ৬ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
246	April 12, 2012	PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.	Click to View
247	April 15, 2012	Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
248	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
249	April 15, 2012	Penal Order: Violation of বিধি-৩(১) and বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
250	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
251	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with trading in shares of Fine Foods Limited.	Click to View
252	April 15, 2012	Penal Order: Violation of বিধি-৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫	Click to View
253	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
254	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
255	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
256	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
257	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
258	April 15, 2012	WARNING: violation of section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
259	April 15, 2012	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.	Click to View
260	April 15, 2012	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.	Click to View
261	April 15, 2012	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.	Click to View
262	April 15, 2012	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.	Click to View
263	April 15, 2012	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Fine Foods Limited.	Click to View
264	April 15, 2012	Disposal: Violation of বিধিধ ৪(১) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ and section 17 (e) (v) of the Securities and Exchange Ordinance, 1969 (XVII) of 1969) in connection with trading in shares of Fine Foods Limited.	Click to View
265	April 22, 2012	Penalty Order for Violation of Securities related laws against Rose Haven Ball Pen Limited.	Click to View
266	April 22, 2012	Penalty Order for Violation of Securities related laws against Mona Food Industries Limited.	Click to View
267	April 22, 2012	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
268	April 22, 2012	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
269	April 22, 2012	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
270	April 22, 2012	Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Ltd.	Click to View
271	April 24, 2012	Penalty Order for Violation of Securities related laws against Dhaka fisheries Limited.	Click to View
272	April 25, 2012	PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.	Click to View
273	April 25, 2012	PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.	Click to View
274	April 25, 2012	PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.	Click to View
275	April 25, 2012	PENAL ORDER: Non-compliance of Notification No. SEC/CMRRCD/2009-193/49/Admin/03-48 dated July 14, 2010 in connection with declaration of sale of shares of Social Islami Bank Limited.	Click to View
276	April 25, 2012	Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009 in connection with conducting board meeting during the trading hours.	Click to View
277	April 25, 2012	Penal Order: Non-compliance of clause 1 of SEC's Notification No. SEC/CMRRCD/2008-183/Admin/03/34 dated September 27, 2009.	Click to View

March, 2012

Sl.No	Date	Subject	Commission’s Decision
278	March 4, 2012	Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.	Click to View
279	March 12, 2012	Warning: Non-compliance of Rule 3(1) and 3(2) of the Margin Rules, in connection with trading in shares of National Tea Company Ltd.	Click to View
280	March 12, 2012	WARNING: Violation of বিধি ৪(২) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫ and Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated February 26, 2012 submitted to the Commission.	Click to View
281	March 12, 2012	WARNING: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
282	March 12, 2012	WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with declaration of share sale by the placement holder of Grameen Phone Limited (GP).	Click to View
283	March 15, 2012	Penalty Order for Violation of Securities related laws against Maq Enterprise Limited.	Click to View
284	March 19, 2012	Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
285	March 19, 2012	Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
286	March 19, 2012	Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
287	March 19, 2012	Reduction of penalty: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
288	March 19, 2012	WARNING: Non-compliance of Commission’s Order No. এসইসি/এসআরএমআইডি/২০০০-১৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং Gazetted on February 25, 2001 in connection with price sensitive information.	Click to View
289	March 29, 2012	WARNING: Non compliance of Notification No. SEC/CMRRCD/2009- 193/49 Admin/03-48 dated July 14, 2010 in connection with non compliance of sale as per declaration.	Click to View

February, 2012

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

January, 2012

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

December, 2011

Sl.No	Date	Subject	Commission’s Decision
305	December 1, 2011	Disposal: Non-compliance of regulation 4 of the Dhaka Stock Exchange (Short Sale) Regulations, 2006.	Click to View
306	December 1, 2011	WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of দ্বিতয়ি তফসিল of সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
307	December 1, 2011	WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of দ্বিতয়ি তফসিল of সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
308	December 1, 2011	WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of দ্বিতয়ি তফসিল of সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
309	December 1, 2011	WARNING: Non-compliance of আচরনবিধি ২(১), ২(২) ও ৭ of দ্বিতয়ি তফসিল of সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০.	Click to View
310	December 1, 2011	Reduction of Penalty.	Click to View
311	December 1, 2011	Rejection of review petition.	Click to View
312	December 1, 2011	Rejection of review petition.	Click to View
313	December 1, 2011	Disposal: Violation of বিধি ৩(১), সিকিউিরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধর্কণ) বিধিমালা, ১৯৯৫ in connection with shares of Chittagong Vegetable Oil Industries Limited	Click to View
314	December 5, 2011	Penalty Order for Violation of Securities related laws against Dhaka Fishers Limited.	Click to View
315	December 5, 2011	Penalty Order for Violation of Securities related laws against GMG Industrial Corporation Limited.	Click to View
316	December 5, 2011	Penalty Order for Violation of Securities related laws against Pharmaco International Limited.	Click to View
317	December 5, 2011	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
318	December 5, 2011	Penalty Order for Violation of Securities related laws against M. Hossain Garments Washing and Dyeing Limited.	Click to View
319	December 8, 2011	Rejection of review petition against Commission’s order No. SEC/Enforcement/840/2010/305 date June 14, 2011.	Click to View
320	December 8, 2011	WARNING: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
321	December 8, 2011	WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
322	December 8, 2011	WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
323	December 8, 2011	WARNING: Non-compliance of SEC’s Directive No. SEC/CMRRCD/2001-43/48 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
324	December 8, 2011	WARNING: Non-compliance of ডপজিটরি (ব্যবহারিক) প্রবিধানমালা, ২০০৩ এর তফসিল-৫ এ বর্ণিত ডিপজিটরির অংশগ্রহণকারীর ক্ষেত্রে আচরনবিধি-১, ২(১) এবং SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08.2010, in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
325	December 8, 2011	Reduction of Penalty.	Click to View
326	December 8, 2011	Reduction of Penalty.	Click to View
327	December 8, 2011	Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/569/ dated September 06, 2011.	Click to View
328	December 8, 2011	Rejection of review petition against Commission’s penal order No. SEC/Enforcement/908/2011/571/ dated September 06, 2011.	Click to View
329	December 8, 2011	WARNING: Non-compliance of the Rules 8(1) of Securities and Exchange Rules, 1987, সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ এর দ্বিতীয় তফসিলে বর্ণিত স্টক ডিলার ও স্টক ব্রোকার ও অনুমোদিত প্রতিনিধিদের আচরন বিধি, ষ্টক ডিলার/ষ্টক ব্রোকার/অনুমোদিত প্রতিনিধি এর নিবন্ধন সনদের শর্তাবলী নং-৭ in connection with unusual trading in shares of Sonargaon Textiles Limited.	Click to View
330	December 8, 2011	Reduction of Penalty.	Click to View
331	December 8, 2011	Reduction of Penalty.	Click to View
332	December 8, 2011	Reduction of Penalty.	Click to View
333	December 19, 2011	Disposal of review petition against SEC Order No. SEC/Enforcement/300/2005/821-823 all dated November 02, 2009	Click to View
334	December 19, 2011	Waiver of penalty imposed upon the individual director in connection with the non submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Order No. SEC/Enforcement/751/2009/545-553 all dated September 06, 2011: Warning.	Click to View
335	December 19, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
336	December 19, 2011	Penalty Order for Violation of Securities related laws against Rose Heaven Ball Pen Limited.	Click to View
337	December 19, 2011	Penalty Order for Violation of Securities related laws against Metalex Corporation Limited.	Click to View
338	December 19, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
339	December 20, 2011	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
340	December 21, 2011	Disposal of review petition against SEC Order No. SEC/Enforcement/447/2006/664-670 all dated September 29, 2011	Click to View
341	December 21, 2011	Penalty Order for Violation of Securities related laws against Chictex Limited.	Click to View
342	December 21, 2011	Penalty Order for Violation of Securities related laws against Raspit Inc. (BD) Limited.	Click to View
343	December 22, 2011	Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.	Click to View
344	December 22, 2011	Non-compliance with the securities related laws in connection with non-submission of audited financial statement for the year ended on June 30, 2010: Warning.	Click to View
345	December 27, 2011	Penalty Order for Violation of Securities related laws against PHP Stock and Securities Limited.	Click to View
346	December 28, 2011	Waiver of penalty imposed upon the individual director in connection with the non-submission of the half yearly financial statements for the period ended on December 31, 2010, against penal Orders No. SEC/Enforcement/752/2009/534-341 all dated August 24, 2011: Warning.	Click to View
347	December 28, 2011	Penalty Order for Violation of Securities related laws against Raspit Data Management and Telecommunications Limited.	Click to View
348	December 28, 2011	Penal Order: In connection with non-submission of audited financial statements for the year ended on December 31, 2009.	Click to View
349	December 28, 2011	Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2011-43/43 dated June 15, 2010 in connection with unusual trading in shares of Eastern Housing Limited.	Click to View
350	December 28, 2011	Penal Order: Non-compliance of Commission’s Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, Directive No. SEC/CMRRCD/ 2009/193/63 dated September 06, 2010 and Regulation 4(1) of Chittagong Stock Exchange (short-Sale) Regulations, 2005 in connection with unusual trading in shares of Eastern Housing Limited.	Click to View
351	December 28, 2011	Penal Order: Non-compliance of Section 17(e)(iii)(v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Eastern Housing Limited.	Click to View
352	December 29, 2011	Non-compliance with the securities related laws in connection with non-submission of audited financial statements for the year ended on June 30, 2010: Warning.	Click to View

November, 2011

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

October, 2011

Sl.No	Date	Subject	Commission’s Decision
357	October 2, 2011	Penalty Order for Violation of Securities related laws against Aloco Securities Limited.	Click to View
358	October 2, 2011	Penalty Order for Violation of Securities related laws against K H B Securities Limited.	Click to View
359	October 2, 2011	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.	Click to View
360	October 2, 2011	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.	Click to View
361	October 3, 2011	Disposal of review petition against Penalty Order: In connection with auditor’s qualifications and Commission’s observations on the audited financial statements for the year ended on June 30, 2009	Click to View
362	October 4, 2011	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.	Click to View
363	October 11, 2011	Penalty Order for Violation of Securities related laws against Dhaka Fisheries Limited.	Click to View
364	October 12, 2011	Penalty Order for Violation of Securities related laws against Bengal Fine Ceramics Limited.	Click to View

September, 2011

Sl.No	Date	Subject	Commission’s Decision
365	September 6, 2011	Penalty Order for Violation of Securities related laws against Mehgna Petroleum Limited.	Click to View
366	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, Directive No. SEC/CMRRECD/2001-43/31 dated March 23, 2010 in connection with unusual trading in shares of Safko Spinning Mills Limited	Click to View
367	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Safko Spinning Mills Limited	Click to View
368	September 6, 2011	Penal Order: Non-compliance of securities laws in connection with unusual trading in shares of Safko Spinning Mills Limited	Click to View
369	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited	Click to View
370	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited	Click to View
371	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited	Click to View
372	September 6, 2011	Penal Order: Non-compliance of the Commission’s Order no. SEC/SRMID/94-231/1638 dated January 30, 2008 and further Order No. SEC/SRMID/94-231/1640 dated January 31, 2008, in connection with unusual trading in shares of ICB Islamic Bank Limited	Click to View
373	September 6, 2011	PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
374	September 6, 2011	PENAL ORDER: Violation of Section 17 (a) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
375	September 6, 2011	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011. Warning.	Click to View
376	September 13, 2011	Non-compliance with securities related laws in connection with third quarter (Q3) financial statements for the third quarter ended on September, 2010: Warning	Click to View
377	September 13, 2011	Non-compliance with securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2010: Warning	Click to View
378	September 15, 2011	PENAL ORDER: Regarding Violation of Securities related laws.	Click to View
379	September 16, 2011	WARNING: Non-compliance of the Rule 8(1) of Securities and Exchange Rules, 1987 in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
380	September 16, 2011	WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
381	September 16, 2011	WARNING: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
382	September 16, 2011	WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
383	September 16, 2011	WARNING: Non-compliance of the SEC’s Directive No. SEC/CMRRCD/2001-43/47 dated July 08, 2010 and Commission’s letter No. SEC/SRMID/94-231/472 dated February 13, 205, in connection with unusual trading in shares of Beach Hatchery Limited.	Click to View
384	September 18, 2011	Non-compliance of securities laws: In connection with the delayed submission of third quarter (Q3) financial statements for the quarter ended on March 31, 2011: Warning	Click to View
385	September 18, 2011	Penalty Order for Violation of Securities related laws against Mona Food Industry Limited.	Click to View
386	September 18, 2011	Penalty Order for Violation of Securities related laws against Khaza Mosaic Tiles and Stone Industries Limited.	Click to View
387	September 18, 2011	Penalty Order for Violation of Securities related laws against Fahad Industries Limited.	Click to View
388	September 18, 2011	Penalty Order for Violation of Securities related laws against Sajib Knitwear and Garments Limited.	Click to View
389	September 20, 2011	PENAL ORDER: Non-compliance of Section 17 (e) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
390	September 20, 2011	Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
391	September 20, 2011	Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
392	September 20, 2011	Penal Order: Non-compliance of the SEC’s Directive No. SEC/ CMRRCD/2001-43/47 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
393	September 20, 2011	Non-compliance of securities laws: Warning.	Click to View
394	September 21, 2011	Penalty Order for Violation of Securities related laws against Aman Sea Food Industries Limited.	Click to View
395	September 21, 2011	Penalty Order for Violation of Securities related laws against Bangla Process Industries Limited.	Click to View
396	September 21, 2011	WARNING: Non-compliance of Section 17 (e)(iii) (v) of Securities and Exchange Ordinance, 1969 in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
397	September 21, 2011	WARNING: Non-compliance of the Commission’s Directive No. SEC/ CMRRCD/2001-43/48 dated July 08, 2010, in connection with unusual trading in shares of Aftab Automobiles Limited.	Click to View
398	September 25, 2011	Penalty Order for Violation of Securities related laws against Chittagong Vegetable Oil Industries Limited.	Click to View
399	September 25, 2011	PENAL ORDER: Non-compliance of Rule 18(9) of Securities and Exchange Commission (Public Issue) Rules, 2006 in respect of IPO proposal of Modern Poly Industries Limited.	Click to View
400	September 26, 2011	Penalty Order for Violation of Securities related laws against Alhaj Textile Mills Limited.	Click to View
401	September 29, 2011	Penalty Order for Violation of Securities related laws against Azadi Printers Limited.	Click to View

August, 2011

Sl.No	Date	Subject	Commission’s Decision
402	August 2, 2011	সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য ডান্ডি ডাইং লিমিটেড এর উপর জরিমানা ধার্যের ‘‘আদেশ”	Click to View
403	August 10, 2011	WARNING: Non-compliance of the SEC's Directive No. SEC/CMRRCD/2001-43/42 dated June 15, 2010, in connection with unusual trading in shares of Pharma Aids Limited.	Click to View
404	August 10, 2011	WARNING: Violation of উপ-বিধি (২) ড়ভ বিধি (৪) of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of Pharma Aids Limited.	Click to View
405	August 11, 2011	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on December 31, 2010: Warning	Click to View
406	August 16, 2011	PENAL ORDER: Violation of বিধি ৪(১) ড়ভ সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা, ১৯৯৫ in connection with unusual trading in shares of BIFCL.	Click to View
407	August 16, 2011	PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009, in connection with unusual trading in shares of Dhaka Fisheries Limited.	Click to View
408	August 16, 2011	Penal Order: Non-compliance of condition No. 4 of SEC's approval letter No. SEC/CI/RI.43/2010/223 dated July 20, 2010 for issuance of Rights Shares.	Click to View
409	August 16, 2011	PENAL ORDER: Non-compliance of the SEC's Order No. SEC/CRMID/94-231/1640 dated January 31, 2008, in connection with trading in shares of Z Category Company.	Click to View
410	August 16, 2011	PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ and আচরনবিধি ১, ২ ও ৭ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০	Click to View
411	August 16, 2011	PENAL ORDER: Non-compliance of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009.	Click to View
412	August 16, 2011	PENAL ORDER: Non-compliance of Margin Rules, 1999 and Securities and Exchange Commission's Letter No. SEC/CRMID/94-231/472 dated February 13, 2005	Click to View
413	August 16, 2011	PENAL ORDER: Non-compliance of শর্ত নং-২ ড়ভ স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ ড়ভ দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০	Click to View
414	August 16, 2011	PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০	Click to View
415	August 16, 2011	PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল and বিধি ১১ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০	Click to View
416	August 16, 2011	PENAL ORDER: Non-compliance of the Commission's Order No. এসইসি/এসআরএমআইডি/২০০০-৯৮৫/২২৪৮/প্র-০২/১ তারিখ ১৯ ডিসেম্বর, ২০০০ইং Gazetted on Februay 25, 2001.	Click to View
417	August 16, 2011	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning	Click to View
418	August 16, 2011	Non-compliance of securities laws: Warning	Click to View
419	August 16, 2011	Non-compliance of securities laws: Warning	Click to View
420	August 18, 2011	Non-compliance of securities laws: In connection with the delayed submission of half yearly financial statements for the half year ended on March 31, 2011: Warning	Click to View
421	August 21, 2011	PENAL ORDER: Non-compliance of শর্ত নং-২ of স্টক ব্রোকার নিবন্ধন সনদ, আচরনবিধি ১, ২ ও ৭ of দ্বিতীয় তফসিল of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০	Click to View
422	August 24, 2011	সিকিউরিটিজ সংক্রান্ত আইন ও উহার বিধি-বিধান পরিপালনের ব্যর্থতার জন্য যমুনা অয়েল কোম্পানী লিমিটেড এর চেয়ারম্যান এবং অন্যান্য পরিচালক এর উপর জরিমানা ধার্যের ‘‘আদেশ”	Click to View

July, 2011

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

June, 2011

Sl.No	Date	Subject	Commission’s Decision
428	June 14, 2011	Penal Order for Non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Aramit Cement Ltd.	Click to View
429	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Apex weaving and finishing mills ltd. and delta life insurance company ltd.
430	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/1641 dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.	Click to View
431	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Gulf foods ltd.
432	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Gulf foods ltd.
433	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.
434	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Gulf foods ltd.
435	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.
436	June 14, 2011	Penal Order for non-compliance of the SEC's Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.
437	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.
438	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.	Click to View
439	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Alpha tobacco manufacturing company ltd.
440	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and SEC's Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd. and Guld foods ltd.
441	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Dhaka Fisheries Ltd.
442	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries ltd and Gulf foods ltd.
443	June 14, 2011	Penal Order for non-compliance of the SEC's Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd.
444	June 14, 2011	Penal Order for non-compliance of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Dhaka Fisheries Ltd.
445	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of CMC kamal textile mills ltd.
446	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of CMC kamal textile mills ltd.
447	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of CMC kamal textile mills ltd.	Click to View
448	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 and Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd. and Alpha tobacco manufacturing company ltd.
449	June 14, 2011	Penal Order for non-compliance of the SEC's Order No. SEC/SRMID/94-231/ 1641dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
450	June 26, 2011	Penal Order for non-compliance of the SEC's Directive No. SEC/CMRRCD/2009-193/63 dated September06, 2010 in connection with trading in shares of United Airways (Bangladesh) ltd.	Click to View
451	June 27, 2011	Penal Order for violating বিধি ৪ of সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (সুবিধাভোগী ব্যবসা নিষিদ্ধকরণ) বিধিমালা ১৯৯৫.	Click to View
452	June 27, 2011	Penal Order: Non-compliance of the SEC's Order No. SEC/SRMID/94-231/1640 dated Januraly 31, 2008 in connection with trading in shares of Chittagong vegetable oil industries ltd.	Click to View
453	June 27, 2011	Penal Order: Non-compliance of the SEC's Order No. SEC/SRMID/94-231/1640 dated Januraly 31, 2008 and sub rule (1) of Rule 3 of Margin Rules, 1999 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.
454	June 27, 2011	Penal Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 and Regulation 13 of Dhaka Stock Exchange Transaction Regulations, in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.
455	June 27, 2011	Penal Order: Non-compliance of Regulation 4(1) of Dhaka Stock Exchange (Short-Sale) Regulations, 2006 and Regulation 13 of Dhaka Stock Exchange Transaction Regulations, in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.
456	June 27, 2011	Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
457	June 27, 2011	Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and SEC's Order No. SEC/SRMID/94-232/1640 dated January 31, 2008 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
458	June 27, 2011	Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
459	June 27, 2011	Show-cause cum hearing notice: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
460	June 27, 2011	Penal Order: Non-compliance of clause (d) of sub-rule (12) of rule 3 of the Margin Rules, 1999 as per Clause 1 of the Commission's Directive No. SEC/CMRRCD/2001-43/169 dated October 01, 2009 and in connection with unusual trading in shares of Chittagong vegetable oil industries ltd.	Click to View
461	June 28, 2011	Penal Order: In connection with the matter of non submission of the Capital & Shareholding Position for the month of February 2010, March 2010 and April 2010.

April, 2011

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

March, 2011

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

February, 2011

Sl.No	Date	Subject	Commission’s Decision
472	February 7, 2011	Order to Bangladesh Electricity Meter Company Ltd. Order no-SEC/ENFORCEMENT/52/2001/66-68.	Click to View
473	February 8, 2011	Disposal of review against Penalty Order: in connection with Repeat Public offerings (RPO) of Golden Son Ltd to ICB Capital Management Ltd.	Click to View
474	February 9, 2011	Order to Bionic See Food Export Ltd. Order No: SEC/ENFORCEMENT/641/2007/80 TO SEC/ENFORCEMENT/641/2007/83	Click to View
475	February 10, 2011	Order to MAH Securities Ltd. Order No: SEC/ENFORCEMENT/804/2010/89	Click to View
476	February 10, 2011	Order to SAAD Securities Ltd. Order No: SEC/ENFORCEMENT/787/2009/91	Click to View
477	February 10, 2011	Order to Western Securities Investment Management Ltd. Order No: SEC/ENFORCEMENT/660/2008/87	Click to View
478	February 24, 2011	Warning. Non-compliance with securities laws in connection with retention of auditor for a consecutive period exceeding three years to Anlima Yarn Dyeing Ltd	Click to View
479	February 27, 2011	Order to Modern Industry Ltd. Order No: SEC/ENFORCEMENT/790/2009/112 TO SEC/ENFORCEMENT/790/2009/114	Click to View
480	February 28, 2011	Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Silk Mills Ltd.	Click to View
481	February 28, 2011	Warning. Non-compliance with securities related laws in connection with audited financial statements for the year ended on Sep 30, 2009 to Quasem Textile Mills Ltd.	Click to View
482	February 28, 2011	Order to ASENZ Securities Ltd. Order No: SEC/ENFORCEMENT/860/2011/128	Click to View
483	February 28, 2011	Order to M Securities Ltd. Order No: SEC/ENFORCEMENT/588/2007/122	Click to View
484	February 28, 2011	Order to BALI Securities Ltd. Order No: SEC/ENFORCEMENT/861/2011/126	Click to View

January, 2011

Sl.No	Date	Subject	Commission’s Decision
485	January 2, 2011	Waiver of penalty imposed penal Orders No. SEC/Enforcement/194/2003/549 to 555 all dated 28 June 2010 to Tulip dairy & Food Products Ltd	Click to View
486	January 12, 2011	Disposal of review petition against SEC Orders No. SEC/Enforcement/432/2006/653-659 all dated August 23, 2010 to Sajib knitwear and Garments Ltd	Click to View
487	January 12, 2011	Order to Salah Carpet Mills Ltd. Order No-SEC/Enforcement/722/2008/18-21	Click to View
488	January 16, 2011	Disposal of review petition against SEC Orders No. SEC/Enforcement/721/2008/707 dated October 04, 2010 to National Credit and Commerce Bank Ltd.	Click to View
489	January 16, 2011	Warning: Non-compliance of securities laws for MAH Securities ltd	Click to View
490	January 17, 2011	Warning: Non-compliance with securities related laws in connection with Issue of Capital by C.P. Bangladesh Co. Ltd	Click to View
491	January 23, 2011	Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Phoenix Insurance Com Ltd. (Issuer)	Click to View
492	January 26, 2011	Warning: Non-compliance of securities laws to Anam Capital ltd	Click to View
493	January 30, 2011	Disposal of review petition against SEC Orders No. SEC/Enforcement/160/2003/ 69-72 all dated January 5, 2010 to Sreepur Textile Mills Limited	Click to View
494	January 31, 2011	Warning: Non-compliance with securities related laws in connection with audited financial statement for the year ended on Dec 31, 2008 & 2009 to Peoples Leasing and financial Services Ltd. (Issuer)

December, 2010

Sl.No	Date	Subject	Commission’s Decision
495	December 5, 2010	Warning: alleged non compliance with securities related laws in connection with the audited financial statements for the year ended on June 30, 2009 to Sonali Paper & Board Mills Ltd	Click to View
496	December 7, 2010	Order to Saad Securities Ltd. Order no sec/enforcement/787/2009/819	Click to View
497	December 8, 2010	Warning: non compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2010 to Wata Chemicals Ltd	Click to View
498	December 15, 2010	Warning: non compliance of securities laws to BRAC EPL Stock Brokerage Ltd.	Click to View
499	December 19, 2010	Warning: non compliance of securities laws to Alliance Securities & Management Ltd.	Click to View
500	December 19, 2010	Warning: non compliance of securities laws to Alliance Securities & Management Ltd.	Click to View
501	December 19, 2010	Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/197/2003/584-589 all dated July 15, 2010 to Maq Enterprise Ltd.	Click to View
502	December 21, 2010	Warning: non compliance of securities laws to Apex Investments Ltd.	Click to View
503	December 21, 2010	Warning: Show cause cum hearing notice: non compliance of securities related laws in connection with issue of Capital by Sea Tex Ltd	Click to View
504	December 23, 2010	Disposal of review petition against Penal Orders in connection with auditor's qualifications on the audited financial statements of Alpha Tobacco Mfg. Ltd for the year ended on Sep-30, 2006 & sep 30, 2008	Click to View
505	December 23, 2010	Warning: non compliance of securities laws to Sharp Securities Ltd.	Click to View
506	December 23, 2010	Disposal of review petition against SEC Orders No. SEC/Enforcement/194/2003/ 256-262 all dated February 23, 2010 to Tulip Dairy & Food Products Ltd.	Click to View

November, 2010

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

October, 2010

Sl.No	Date	Subject	Commission’s Decision
514	October 3, 2010	Disposal of review petition against penalty order: In connection with the audited financial statements for the year ended on June 30, 2003 of Fine Foods Ltd	Click to View
515	October 4, 2010	Order to Golden Son Ltd. Order No: SEC/ENFORCEMENT/805/2010/710	Click to View
516	October 4, 2010	Order to National Credit & Commerce Bank Ltd. Order No: SEC/ENFORCEMENT/721/2008/707	Click to View
517	October 7, 2010	Review of imposed penalty against SEC penalty Orders No. SEC/Enforcement/602/2007/25-30 all dated January 03, 2010 for Wata Chemicals Ltd.	Click to View
518	October 11, 2010	Warning: For violation of rule 13 of the Securities and Exchange Rules, 1987 for Arbee Textiles Ltd	Click to View
519	October 11, 2010	Disposal of the alleged matter: Non-compliance of securities laws: in connection with Non-dissemination of price sensitive information and non submission of half yearly financial statements for the half ended on June 30, 2009 for German Bangla J.V.Food Ltd	Click to View
520	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Yaakub Ali Khandaker	Click to View
521	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tariqal Islam Bhuiyan	Click to View
522	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Tayeb Ali Khan	Click to View
523	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kair Uddin Ahmed	Click to View
524	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kazi Zunnun Boshre	Click to View
525	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Shafiul Islam Bipul	Click to View
526	October 21, 2010	Warning: non compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Syed Siraj Ud Dawla	Click to View
527	October 21, 2010	Warning: non compliance of securities laws to IIDFC capital Ltd	Click to View
528	October 21, 2010	Warning: non compliance of securities laws to Pioneer Insurance Co. Ltd	Click to View
529	October 21, 2010	Warning: non compliance of securities laws in connection with the matter of non-compliance of conditions imposed 2CC of Securities And Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (Pvt)-186/2009-262 dated November 25, 2009 to Ever Smart Bangladesh Ltd.	Click to View
530	October 24, 2010	Disposal of the alleged matter: Non-compliance with securities related laws in connection with the unusual share trading and price hike of Grameen Phone Ltd to Kabir Uddin Ahmed	Click to View
531	October 25, 2010	Warning: non compliance with the securities related laws in connection with audited financial statements of Anwar Galvanaizing Ltd for the year ended on June 30,2009 to M/S Rahman Mustafiz Haq & Co	Click to View
532	October 27, 2010	Order to PFI Securities Ltd. Order No: SEC/ENFORCEMENT/GP/2010/835/773	Click to View

September, 2010

Sl.No	Date	Subject	Commission’s Decision
533	September 6, 2010	Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007	Click to View
534	September 6, 2010	Disposal of review petition against penalty order: for non-compliance with securities related laws In connection with execution of trade to Chittagong Stock Exchange Ltd (CSE)	Click to View
535	September 6, 2010	Disposal of review petition against penalty order: for non-compliance with securities related laws In connection with execution of trade and calculating of index to Dhaka Stock Exchange (DSE)	Click to View
536	September 6, 2010	IFIC Bank Ltd (DSE Member No. 192): non-compliance of securities related laws: disposal of the alleged matter.	Click to View
537	September 13, 2010	Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Sreepur Textile Mills Ltd. for the year ended on December 31, 2007	Click to View
538	September 14, 2010	Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Petro Synthetic Products Ltd for the year ended on December 31, 2007	Click to View
539	September 14, 2010	Order to Anawar Gealvanizing Ltd. Order No: SEC/ENFORCEMENT/726/2008/688	Click to View
540	September 19, 2010	Disposal of review petition against penalty order: In connection with auditor's observations on the audited financial statements of Niloy Cement Industries Ltd for the year ended on June 30, 2007	Click to View
541	September 20, 2010	Waiver of penalty imposed videpenal orders No. SEC/Enforcement/779/2009/63-67 dated January 05, 2010 to rahman Chemicals Ltd	Click to View
542	September 21, 2010	Disposal of review petition against SEC Orders No. SEC/Enforcement/52/2001/911 dated December 10, 2009 to Bangladesh Electricity Meter Com. Ltd	Click to View
543	September 21, 2010	Order to Salah Carpets mills Ltd. Order No: SEC/ENFORCEMENT/277 /2008/696-699	Click to View

August, 2010

Sl.No	Date	Subject	Commission’s Decision
544	August 2, 2010	Disposal of review petition against penalty order: In connection with audited financial statements for the year ended on December 31, 2007 & December 31, 2008 for Bangladesh Leaf Tobacco Co. Ltd	Click to View
545	August 2, 2010	Warning: non-compliance with securities related laws in connection with price sensitive information to Himadri Ltd.	Click to View
546	August 2, 2010	Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008	Click to View
547	August 8, 2010	Order to Metalex Corporation Ltd. Order no: SEC/ENFORCEMENT/139/2002/633-637	Click to View
548	August 9, 2010	Your letter dated July 14, 2010 against Commission’s penalty Order No. SEC/Enforcement/829/2010/563 dated June 30, 2010 to Arafat Securities Ltd	Click to View
549	August 12, 2010	Order to Khaja Mojaiek Tiles and Stone Industry Ltd. Order No: SEC/ENFORCEMENT/723/2008/641-644.	Click to View
550	August 23, 2010	Order to Sajib NetWare and Garments Ltd. Order No: SEC/ENFORCEMENT/432/2006/653-659	Click to View
551	August 23, 2010	non-compliance of securities laws: in connection with Non-submission of audited financial statements for the year ended on Dec 31, 2008 to German Bangla J.V.Food Ltd.	Click to View
552	August 25, 2010	Disposal of review petition against penalty order In connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd (Issuer) for the year ended on December 31, 2008	Click to View
553	August 29, 2010	Warning : non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2009 to Perfume Chemical Industry Ltd.	Click to View

July, 2010

Sl.No	Date	Subject	Commission’s Decision
554	July 1, 2010	Warning to concern of Non-compliance with securities related laws in connection with issue of right share to Beach Hatchery Ltd.	Click to View
555	June 4, 2010	Order to Trusty Association Company Ltd. Order No SEC/Enforcement/804/2010/568	Click to View
556	July 7, 2010	Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Petro Systhetic Products Ltd for the year ended on Dec 31, 2008	Click to View
557	July 8, 2010	Disposal of review petition against penalty order: in connection with auditor’s observations on the audited financial statements of Sreepur Textile Mills Ltd for the year ended on Dec 31, 2008	Click to View
558	July 8, 2010	Warning to concern of Non-compliance with securities related laws in connection with dissemination of price sensitive information regarding un-audited (fourth quarter) financial statement of GrameenPhone ltd for the year ended on Dec 31, 2009
559	July 8, 2010	Non-compliance with securities related laws in connection with dissemination of price sensitive information regarding un-audited (fourth quarter) financial statement of GrameenPhone ltd for the year ended on Dec 31, 2009
560	July 12, 2010	Waiver of penalty imposed penal Orders No.SEC/Enforcement/751/2009/285 to 291 all dated 24 Feb 2010 to Meghna Petroleum Ltd	Click to View
561	July 12, 2010	Order to Farmaco International Ltd. Order no SEC/Enforcement/86/2002/576-580.	Click to View
562	July 15, 2010	Disposal of review petition against penalty order: in connection with audited financial statements for the year ended on Dec 31, 2006 to Maq Paper Industries Ltd	Click to View
563	July 15, 2010	Order to Mac Enterprises Ltd. Order No SEC/ENFORCEMENT /197/2003/584-589	Click to View
564	July 18, 2010	Warning to concern of Non-compliance of securities laws in connection with the matter of non-submission of the capital & shareholding position for the month of FEB 2010, March 2010 and April 2010 to Pharma Aids Limited	Click to View
565	July 22, 2010	Order to Dhaka Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/602	Click to View
566	July 22, 2010	Order to Chittagong Stock Exchange Ltd. Order No SEC/ENFORCEMENT/826/2010/603	Click to View
567	July 25, 2010	Order to Fahad Industry Ltd. Order No SEC/ENFORCEMENT/748/2009/593-598	Click to View
568	July 26, 2010	Disposal of review petition against penalty order: in connection with commission’s observations on the audited financial statements for the year ended on Sept 30, 2008 for alpha Tobacco Mfg Ltd	Click to View
569	July 26, 2010	Order to Arafath Securities Ltd. Order No SEC/ENFORCEMENT/824/2010/609	Click to View
570	July 27, 2010	Disposal of review petition against penalty order: in connection with auditor’s qualification on the audited financial statements of Beach Hatchery Ltd for the year ended on Dec 31, 2007	Click to View

June, 2010

Sl.No	Date	Subject	Commission’s Decision
571	June 1, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for Trendset Securities Ltd.	Click to View
572	June 2, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for haji Ahmad Brothers Securities Ltd.	Click to View
573	June 2, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws for The Premier Bank Ltd.	Click to View
574	June 3, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (Lanka Bangla Securities Ltd.)	Click to View
575	June 3, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws: Disposal of the alleged matter (The City Bank Ltd)	Click to View
576	June 6, 2010	Order to Salah Carpet Mills Ltd. Order No. SEC/Enforcement/722/2008/488-491.	Click to View
577	June 7, 2010	Order to Mr. Yakub ali Khondokar. Order no. SEC/Enforcement/808/2010/.
578	June 7, 2010	Order to Raspita data Management & telecommunication ltd. Order no. SEC/Enforcement/408/2006/496.	Click to View
579	June 8, 2010	Warning to Concern of Jamuna Oil Company Ltd due to Non-submission of audited financial statements for the year ended on June 30, 2009 against penal Orders No SEC/Enforcement/752/2009/275-283 all dated February 24, 2010	Click to View
580	June 9, 2010	Order to Kaya Cosmetics ltd. Order no. SEC/Enforcement/754/2009/500-506.	Click to View
581	June 14, 2010	Non-compliance of securities related laws. Disposal of alleged matter of Trendset Securities Ltd. CSE Membership No 077 (Broker)	Click to View
582	June 14, 2010	Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Meghna PET Industries Ltd vide Comm ission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to Azam Securities Ltd.	Click to View
583	June 14, 2010	Warning to Concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Al-Amin Chemicals Ltd vide Commission’s Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009 to JKC Securities Ltd.	Click to View
584	June 14, 2010	Order to Chictex Ltd. Order no. SEC/Enforcement/37/2001/514-517.	Click to View
585	June 15, 2010	Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of ICBIBANK to Haji Ahmad Brothers Securities Ltd.	Click to View
586	June 17, 2010	Order to M Hossin Garments washing & Dying Ltd. Order no. SEC/Enforcement/218/2004/527-529.	Click to View
587	June 17, 2010	Order to Raspita Ink (BD) Ltd. Order no. SEC/Enforcement/218/2004/523-525.	Click to View
588	June 17, 2010	Disposal of review petition against SEC Penalty Orders In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills Ltd. (Issuer) for the year ended on June 30, 2006	Click to View
589	June 20, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws in connection with audited financial statements of Anwar Galvanizing Ltd (issuer) for the year ended on June 30, 2009 to M/s. Rahman Mustafiz haq & Co	Click to View
590	June 21, 2010	Order to Lanka Bangla Finance (Merchant Banker). Order no. SEC/Enforcement/758/2009/534	Click to View
591	June 21, 2010	Disposal of review petition against Penalty Orders In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Bangladesh Leaf Tobacco Co. Ltd (Issuer) for the year ended on Dec 31, 2007 & Dec 31 2008
592	June 23, 2010	Warning to Concern of H.R. Textile Mills Ltd Alleged Non-compliance with the securities related laws in connection with the information regarding EPS for the year ended on Sep 30, 2009	Click to View
593	June 23, 2010	Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Premier Bank Ltd.	Click to View
594	June 24, 2010	Warning to concern of Non-compliance of securities laws, In connection with the delayed submission of half yearly financial statements for the half year on Dec 31, 2009 to Meghna Petroleum Ltd.	Click to View
595	June 28, 2010	Disposal of review petition against Penalty Orders In connection with Commission’s observations on the audited financial statements of Prime Textile Spinning Mills Ltd (Issuer) for the year ended on June 30, 2007	Click to View
596	June 29, 2010	Warning to concern of Non-compliance of securities laws, Regarding enquiry on shares trading of Grameen Phone Ltd to The Lanka Bangla Finance Ltd.	Click to View
597	June 29, 2010	Order to Rose Haven Ball pen Ltd. Order no. SEC/Enforcement/298/2005/542-547	Click to View
598	June 29, 2010	Order to Tulip Dairy & Food Products Ltd. Order no. SEC/Enforcement/194/2003/549-555	Click to View
599	June 29, 2010	Order to Padda Printers & color Ltd. Order no. SEC/Enforcement/740/2008/557 to SEC/Enforcement/740/2008/561	Click to View
600	June 30, 2010	Order to Arafat Securities Ltd. Order no. SEC/Enforcement/829/2010/563
601	June 30, 2010	Order to MAH Securities Ltd. Order no. SEC/Enforcement/804/2010/568

May, 2010

Sl.No	Date	Subject	Commission’s Decision
602	May 4, 2010	Warning to Concern of PFI Securities Ltd due to Non-compliance of SEC Directive No. SEC/CMRRCD/2001-43/15 dated February 03, 2010, under the margin ruals, 1999	Click to View
603	May 5, 2010	Reschedule of hearing to Khaza Mosaic Tiles & stone Industries Ltd. In connection with non-submission of half yearly financial statement for the period ended on Dec 31, 2009	Click to View
604	May 9, 2010	Warning to Concern of Power Grid Company Of Bangladesh Ltd due to Non-compliance with the securities laws in connection with auditor's qualifications on the audited financial statement for the year ended on June 30, 2009	Click to View
605	May 10, 2010	Warning to Concern of Bangas Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years	Click to View
606	May 10, 2010	Warning to Concern of Tallu Spinning Mills Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years	Click to View
607	May 10, 2010	Warning to Concern of Metro Spinning Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years	Click to View
608	May 10, 2010	Warning to Concern of Mithun knitting and Dyeing (CEPZ) Ltd due to Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years	Click to View
609	May 10, 2010	Show cause cum hearing notice: To JKC Securities Ltd. due to Non-compliance with securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009	Click to View
610	May 10, 2010	Show cause cum notice for hearing: To Arafat Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009	Click to View
611	May 10, 2010	Show cause cum notice for hearing: To Azam Securities Ltd. Due to Non-compliance of securities related laws regarding enquiry report conducted by SEC vide Commission's Order No. SEC/Surveillance/2009-0561/182 dated Dec 03, 2009	Click to View
612	May 13, 2010	Warning to Concern of Eagle Star Textile Mills Ltd due to Non-compliance of securities laws in connection with non-submission of half yearly financial statement for the half year ended on Dec 31, 2009	Click to View
613	May 17, 2010	Warning to Concern of Alpha Tobacco Ltd due to Non-compliance of SEC Notification No. SEC/CMRRCD/2009-193/Admin/ 03, 31 dated June 01,1999	Click to View
614	May 17, 2010	Warning to Concern of Grameenphone Ltd due to Non-compliance with securities related laws in connection with the un-audited (forth quarter) financial statements for the year ended on Dec 31, 2009	Click to View
615	May 20, 2010	Warning to Concern of Perfume Chemical Industry Ltd due to Non-compliance of securities laws in connection with non-submission of capital shareholding position for the month of December 2009 and January 2010	Click to View
616	May 20, 2010	Order to Rashpita data management & telecommunication Ltd. Order No. SEC/Enforcement/371/2005/448-449	Click to View
617	May 26, 2010	Show cause cum notice for hearing: Non-compliance of securities related laws to Lanka Bangle Finance Ltd.	Click to View
618	May 30, 2010	Show-cause cum notice for hearing: to Ever Smart Bangladesh Ltd. In connection with the matter of non-compliance of conditions imposed under 2CC of Securities & Exchange Ordinance, 1969 in the Commission's consent letter No. SEC/CI/CPLC (pvt.)-186/2009-262 dated November 25,2009	Click to View
619	May 30, 2010	Show cause cum hearing notice: To Beach Hatchery Ltd. In connection with Non-compliance with securities related laws in connection with issue of right share	Click to View
620	May 31, 2010	Order to Patro Synthetic Products Ltd. Order No. SEC/Enforcement/738/2008/467 to SEC/Enforcement/738/2008/471	Click to View
621	May 31, 2010	Order to Bionic See Food Export Ltd. Order No. SEC/Enforcement/641/2007/473 to SEC/Enforcement/641/2007/476	Click to View
622	May 31, 2010	Order to Sreepur Textile Mills Ltd. Order No. SEC/Enforcement/689/2008/478 to SEC/Enforcement/689/2008/481	Click to View

April, 2010

Sl.No	Date	Subject	Commission’s Decision
623	April 20, 2010	Warning to concerned of Thea Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
624	April 20, 2010	Warning to concerned of Kazi Shoeb Rashid Capital Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
625	April 20, 2010	Warning to concerned of Hedayetullah Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
626	April 20, 2010	Warning to concerned of Securities Broking & Management Services Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
627	April 20, 2010	Warning to concerned of Shyamol Equity Management Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
628	April 20, 2010	Warning to concerned of Al-Muntaha Trading Co. Ltd due to non-compliance of rule 3(2) of Margin Rules, 1999 and regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
629	April 20, 2010	Warning to concerned of Sharp Securities Ltd due to non-compliance of regulations 4(1) of the “Dhaka Stock Exchange (Short Sale) Regulations, 2006	Click to View
630	April 20, 2010	Review of imposed penalty against SEC penalty Orders No.SEC/Enforcement/723/2004/218-221 all dated February 23, 2010 in connection with the non-submission of audited financial statements for the year ended on June 30, 2009 (Khaza Mosaic Tiles & Stone Industries Ltd)	Click to View
631	April 21, 2010	Ordered to concerned of Bangladesh Zipper industry Ltd.	Click to View
632	April 22, 2010	Show-cause cum hearing notice: Non-compliance of the SEC Notification No. SEC / CMRRCD / 2009-193 / Admin / 03-31 dated June 01, 2009 (Alpha Tobacco Ltd)	Click to View
633	April 22, 2010	Show-cause cum hearing notice: Non-compliance of securities related laws (Arafat Securities Ltd)	Click to View
634	April 22, 2010	Order to Bangladesh Luggage Industry Ltd	Click to View
635	April 25, 2010	Order to Bangladesh Leaf Tobacco Co. Ltd	Click to View
636	April 27, 2010	Order to M/s Mowla Mohammad & Co	Click to View
637	April 29, 2010	Warning to concerned of Progressive Life Insurance Co. Ltd due to non-compliance of securities laws: Non-Compliance of SEC Notification No. SEC / SRMID / 2000-953 / 313 Admin-06 dated 25.03.2001	Click to View

March, 2010

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

February, 2010

Sl.No	Date	Subject
640	February 4, 2010	Show-cause cum hearing notice : Non-compliance of the SEC Notification No.SEC/CMRRCD/2001-26/332 dated July 11,2004. Regarding sale of Sponsors/Directors Shares : Disposal of the alleged matter.(Maksons Spinning Mills)
641	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)
642	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Rapid Securities Ltd.)
643	February 9, 2010	Warning : Non-compliance of securities laws : Regarding inspection.(Salta Capital Ltd.)
644	February 10, 2010	Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years i.e for the year ended March 31,2005 to March 31,2009(Stylcraft Limited)
645	February 10, 2010	Warning : Non-compliance with the securities related laws in connection with audited financial statements of Dhaka Electric Supply Company Limited (Issuer) for the year ended on June 30,2008 (M/S A.Quasem & Co)
646	February 10, 2010	Warning : Non-compliance with the securities related laws in connection with audited financial statements for the year ended on June 30,2008 (Dhaka Electric Supply Company Limited)
647	February 11, 2010	Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Arafat Securities Limited)
648	February 11, 2010	Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Mojibur Rahman Sheikh- Arafat Securities Limited)
649	February 11, 2010	Your letter dated January 25,2010 against Commission’s penalty Order No.SEC/Enforcement /725/2009/109 dated January 17, 2010 (Mr.Md.Abdullah- Arafat Securities Limited)
650	February 15, 2010	Dissposal of review petition aganst Penal Order : In connection with auditor’s qualifications on the audited financial statements for the year ended on September 30,2006 (Alpha Tobacco Mfg.Ltd.-Issuer)
651	February 15, 2010	Dissposal of review petition aganst Penal Order : In connection with auditor’s qualifications and Commission’s observations on the audited financial statements for the year ended on December 31,2006(Sreepur Textile Mills Ltd-Issuer)
652	February 15, 2010	Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Kamal Uddin Ahmed,Mr.Mahmud Ali Mridha,Mr.Abdur Rauf,Mr.Md.Ibrahim,Mrs.Selima Begum,Mr.Aziz Ahmed)
653	February 15, 2010	Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Khairuzzaman,Mr.A.B.M.Shahnewaz,Md.Mainul Haque,Mr.A.K.M.Badruddoza)
654	February 15, 2010	Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Mr.Faikuzzaman,Mr.A.B.M.Shahnewaz,Mr.Mainul Haque)
655	February 15, 2010	Dissposal of review petition aganst Penalty Order : In connection with auditor’s qualifications and Commission’s observations on the audited financial statements of Ashraf Textile Mills ltd.(Issuer) for the year ended on June 30,2006(Ref No.SEC/Enforcement/708/2008/180)
656	February 15, 2010	Disposal of review petition against Penal Order : In connection with non-compliances based on the inspection Report(M.Securities ltd)
657	February 16, 2010	Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008(Quasem Silk Mills Ltd)
658	February 16, 2010	Review of imposed penalty against SEC penalty Orders regarding non-submission of audited financial statements for the year ended on June 27,2007 (Maq Enterprise Limited)
659	February 16, 2010	Disposal of review petition against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008 (Quasem Textile Mills Limited)
660	February 17, 2010	Warning : In connection with the non-compliance of the section 40 of depository regulation 2003 (Meghna Petrolium Limited)
661	February 17, 2010	Order : Sonali Ansh Industries
662	February 18, 2010	Mr.Md.Abdullah – Your letter dated February 16, 2010 against Commission’s penalty Order No.SEC/Enforcement/725/2009/109 dated January 17,2010(Arafat Securities Ltd.)
663	February 18, 2010	Mr.Md.Abdullah – Your letter dated February 16,2010 against Commission’s penalty order No.SEC/Enforcement/725/2009/110 dated January 17,2010(Arafat Securities Ltd.)
664	February 18, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Condensed Milk Industries ltd.)
665	February 18, 2010	Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Shrimp Culture Limited)
666	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection (Mr.Abdur Rahim)
667	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection {Major (Rtd.) Didar Atwar Hossain}
668	February 23, 2010	Warning : Non-compliance of securities laws : Regarding Inspection (DMR Securities Ltd.)
669	February 23, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008 (Meghna Petroleum Limited
670	February 23, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 {Modern Industries (Bangladesh) Limited}
671	February 23, 2010	Warning : Non-compliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Sonar Bangla Insurance Limited)
672	February 23, 2010	Disposal : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Lexco Limited )
673	February 23, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements of Bangladesh Zipper Industries Limited for the year ended on June 30, 2006 (M/s Marhk & Co)
674	February 22, 2010	Order : Metalex Corporation
675	February 22, 2010	Order : Fahad Industries Limited
676	February 23, 2010	Order : Pharmaco International Limited
677	February 23, 2010	Order : Chictex Limited
678	February 23, 2010	Order : Rose Heaven Ballpen Limited
679	February 23, 2010	Order : Khawja Mosaic Tiles and Stone Industries Limited
680	February 24, 2010	Order : Raspit Data Management and Telecommunications Limited
681	February 24, 2010	Order : Tulip Dairy and Food Products Limited
682	February 24, 2010	Order : Raspit Inc (BD) Limited
683	February 24, 2010	Order : M.Hossain Garments Washing and Dying Limited
684	February 24, 2010	Order : Jamuna Oil Company Limited
685	February 25, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2008 (Global Insurance Limited)
686	February 25, 2010	Order : Sajib Knitware and Garments Limited
687	February 25, 2010	Order : Meghna Petroleum Limited
688	February 28, 2010	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/897-899 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)
689	February 28, 2010	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/901-903 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)
690	February 28, 2010	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/42/2001/544-549 all dated December 10, 2009(Excelsior Shoes Limited)
691	February 28, 2010	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/52/2001/909-911 all dated December 10, 2009(Bangladesh Electricity Meter Company Limited)

January, 2010

Sl.No	Date	Subject	Commission’s Decision
692	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Arafat Securities Limited )	Click to View
693	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Expo Traders Ltd. Depository Participants )	Click to View
694	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Al Muntaha Trading Co.Ltd .Depository Participants )	Click to View
695	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Salta Capital Ltd. Depository Participants )	Click to View
696	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Stock & Bond Ltd. Depository Participants)	Click to View
697	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Anchor Securities Ltd. Depository Participants )	Click to View
698	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Dawn Securities Ltd. Depository Participants)	Click to View
699	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( M.Securities Limited. Depository Participants )	Click to View
700	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (ALOCO Securities Ltd. Depository Participants)	Click to View
701	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Island Securities Ltd. Depository Participants)	Click to View
702	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (SAAD Securities Ltd. Depository Participants)	Click to View
703	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Trendset Securities Ltd. Depository Participants )	Click to View
704	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Shahiq Securities Ltd. Depository Participants)	Click to View
705	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Sinha Securities Ltd. Depository Participants)	Click to View
706	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Rashid Investment Ltd. Depository Prticipants)	Click to View
707	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( South Asia Securities Ltd. Depository Participants )	Click to View
708	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee ( Shyamol Equity management Ltd. Depository Participants )	Click to View
709	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (Be Rich Limited )	Click to View
710	January 3, 2010	Warning : Non-compliance of securities laws : Regarding delayed payments of BO A/C Maintenance Fee (AB & Co. Ltd. (Depository Participants)	Click to View
711	January 4, 2010	Order : Wata Chemicals Limited	Click to View
712	January 4, 2010	Order : Raspit Data management and Telecommunication Ltd.
713	January 4, 2010	Order : Saleh Carpet Mills Ltd.	Click to View
714	January 4, 2010	Order : Raspit Ink (DB) Ltd.
715	January 4, 2010	Order : Chictex ltd.	Click to View
716	January 5, 2010	Order : Sajib Knit ware and Garments Ltd.	Click to View
717	January 5, 2010	Order : Pharmaco International Ltd.	Click to View
718	January 5, 2010	Order : Quasem Silk Mills Ltd.	Click to View
719	January 5, 2010	Order : Quasem Textile Mills Ltd.	Click to View
720	January 5, 2010	Order : Rahman Chemical Ltd.	Click to View
721	January 5, 2010	Order : Sripur Textile Mills Ltd.	Click to View
722	January 5, 2010	Order : Metalex Corporation Ltd.	Click to View
723	January 10, 2010	Warning : Non-compliance of securities Laws ( Al-Haj Securities Ltd.)	Click to View
724	January 10, 2010	Warning : Show cause cum hearing notice : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.(Ashraf Textile Mills Ltd.)	Click to View
725	January 10, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007. ( Janata Insurance Co.Ltd.)	Click to View
726	January 10, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.(Bangladesh Thai Aluminium ltd. - Issuer)	Click to View
727	January 10, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008. (Modern Industries (Bangladesh) Ltd.- Issuer)	Click to View
728	January 10, 2010	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.. (Progati Life Insurance Ltd.-Issuer)	Click to View
729	January 11, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Mona Food Industry Ltd.)
730	January 11, 2010	Non-compliance of securities laws : Non-holding of Annual General Meeting (AGM) in the year 2007,Disposal of the alleged matter. (Exelsior Shoes Ltd.)
731	January 11, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June 30,2009.(Bangla Process Ltd.)
732	January 11, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bengal Fine Ceramics Ltd.)
733	January 11, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Eastern Cables Ltd.)
734	January 11, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Aman Sea Food Industries Ltd.)
735	January 18, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Maq Enterprises Ltd.)
736	January 19, 2010	Warning : Non-compliance of securities laws : in connection with delayed furnishing of the audited financial statements for the year ended on June30, 2009. (Bangladesh Shipping Corporation ltd.)
737	January 20, 2010	Non-compliance of securities laws : In connection with delaed furnishing of the audited financial statements for the year ended on June 30, 2009. Disposal of the alleged matter. ( Bangladesh Monospool Paper Manufacturing Co. Ltd. )
738	January 10, 2010	Warning : Non-compliance of securities laws regarding enquiry (Banco Securities Ltd.)	Click to View
739	January 18, 2010	Order : Arafat Securities , Mr.Mujibur Rahman Sheikh (AR), Mr.Mohammad Abdullah (CEO)	Click to View
740	January 18, 2010	Order : Saad Securities Ltd
741	January 25, 2010	Order : Niloy Cement Industries Ltd	Click to View
742	January 26, 2010	Order : Alfa Tobacco Manufacturing Ltd	Click to View
743	January 26, 2010	Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/802/2009/121(Shahjalal Islami Bank Ltd.(DSE Member No.233)
744	January 26, 2010	Warning : Non-compliance of securities laws regarding enquiry. Ref No.SEC/Enforcement/803/2009/123(Shahjalal Islami Bank Ltd.(DSE Member No.233)
745	January 26, 2010	Warning : Non-compliance of securities Laws : Regarding inspection (Shyamol Equity Management Ltd.)
746	January 26, 2010	Warning : Non-compliance of securities Laws : Regarding inspection (Dhanmondi Securities Ltd.)
747	January 26, 2010	Order : Bionic Seafood Export Ltd.
748	January 26, 2010	Order : Beach Hatchery Ltd.	Click to View
749	January 26, 2010	Order : Sreepur Textile Mills Ltd.	Click to View
750	January 31, 2010	Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Meghna Life Insurance Co.Ltd.)	Click to View
751	January 31, 2010	Warning : Non-compoliance with the securities related laws in connection with retention of auditor for a consecutive period exceeding three years (Federal Insurance Co.Ltd.)	Click to View

December, 2009

Sl.No	Date	Subject	Commission’s Decision
752	December 7, 2009	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/303/2005/672-675 dated August 26,2009(Mona Food Industry Ltd.)
753	December 7, 2009	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/186/2003/773-777 dated October14,2009(Maq Paper Industries Ltd)
754	December 7, 2009	Application for waiver of penalty imposed vide penal Orders No.SEC/Enforcement/186/2003/795-796 dated October21,2009(Mona Food Industries Ltd. Mr.Ali Zaman & Mr.Fazlul Kabir)
755	December 10, 2009	Order : Bangladesh Electricity Meter Company limited
756	December 14, 2009	Order : Wata Chemicals Limited
757	December 23, 2009	Review of imposed penalty against SEC penalty Orders regarding non-holding of Annual General Meeting for the year 2008(Quasem Textile Mills Ltd)
758	December 27, 2009	Warning : Non-compliance of securities laws: Regarding inspection vide Commission Order no.SEC/Surveillance/2003-0559/145 dated 27th september 2009 regarding shares trading of Meghna Condensed Milk Limited.	Click to View
759	December 27, 2009	Warning : Non-compliance of securities laws : Regarding Enquiry Order No.SEC/Surveillance/2003-0046 dated September 27, 2009.(Akij Securities)	Click to View
760	December 27, 2009	Warning : Non-compliance of securities laws : Regarding violation of Notification No.SEC/SRMID/2000-953/Admin-06 dated March 25, 2001 by not selling 45000 shares of Sonar Bangla Insurance Co.Limited within the stipulated time.	Click to View
761	December 27, 2009	Warning : Non-compliance of securities laws : Regarding sell of 45000 shares of Sonar bangla Insurance Co. Limited hold by Mr.Md.Motaleb Hossain (Sponsor Director) within the stipulated time.	Click to View
762	December 29, 2009	Order : Managing Director - Uttara Bank Limited.
763	December 31, 2009	Warning : Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2008.-Meghna PET Industries Ltd.
764	December 31, 2009	Disposal : Non-compliance with the securities related laws in connection audited financial statements of Progress Life Insurance Company Limited (Issuer) for the year ended on December 31,2007
765	December 31, 2009	Warning : Non-compliance with securities related laws in connection with audited financial statements of Bionic Seafood Exports Ltd (Issuer) for the year ended on December 31,2007
766	December 31, 2009	Warning : Non-compliance with securities related laws in connection with audited financial statements of United Insurance Company Ltd. (Issuer) for the year ended on December 31,2007
767	December 31, 2009	Disposal : Non-compliance with securities related laws in connection with audited financial statements of Quasem Silk Mills Limited (Issuer) for the year ended on December 30,2008
768	December 31, 2009	Warning : Non-compliance with securities related laws in connection with audited financial statements of Alfa Tobacco Mfg Ltd. (Issuer) for the year ended on December 30,2008
769	December 31, 2009	Order : Rose Heaven Ball pen Ltd

November, 2009

Sl.No	Date	Subject	Commission’s Decision
770	November 1, 2009	Order to Perto Synthetic Products Limited	Click to View
771	November 1, 2009	Order to Al-Muntaha Trading Co.Ltd
772	November 3, 2009	Order to Arafat securities Limited
773	November 3, 2009	Order to Quashem Textile Mills Limited	Click to View
774	November 3, 2009	Order to Quashem Silk Mills Limited	Click to View
775	November 15, 2009	Warning to Alhaja Jahanara Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd
776	November 15, 2009	Warning to Shyamol Equity Management Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd
777	November 15, 2009	Warning to Shahed Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd
778	November 15, 2009	Warning to SYLNET Securities Limited for Non-compliance of securities Laws : Regarding violation of securities law regarding short sale trading of shares in connection with the enquiry of Beach Hatchery Ltd
779	November 18, 2009	Disposal-Rahman Chemicals Limited : Non-compliance of securities laws in connection with the holding of AGM in the year 2008
780	November 25, 2009	Order: Prime Textile Spinning Mills Limited	Click to View
781	November 25, 2009	Order : Bangladesh Dyeing and Finishing Industries Ltd	Click to View
782	November 26, 2009	Order : Dandy Dyeing Limited.	Click to View

October, 2009

Sl.No	Date	Subject	Commission’s Decision
783	October 12, 2009	Warning to Central Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
784	October 12, 2009	Warning to Prime Insurance Company Limited. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
785	October 12, 2009	Warning to Phoenix Insurance Company Ltd. (Issuer) for :-Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
786	October 12, 2009	Warning to Karnaphuli Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
787	October 12, 2009	Warning to Agrani Insurance Company Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
788	October 12, 2009	Warning to Global Insurance Ltd. (Issuer) for :- Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2007.	Click to View
789	October 12, 2009	Warning to Mona Food Industry Limited for :- Waiver of penalty imposed upon the individual directors in connection with the non-submission of half year period ended on December 31,2008against penal Order No.SEC/Enforcement/303/2005/535-538 all dated July 14,2009.	Click to View
790	October 15, 2009	Order to Mak paper Industries.	Click to View
791	October 15, 2009	Order to Dandy Dying Limited.	Click to View
792	October 19, 2009	Order to Arafat Securities Limited.
793	October 22, 2009	Order to Mona Food Industries Ltd.	Click to View
794	October 22, 2009	Warning to Peoples Investment Limited for :- Non-compliance of securities laws: Regarding violation of securities law regarding inspection vide Commission Order No.SEC/Surveillance/2004-0577/56 dated May 19, 2009
795	October 22, 2009	Order to Mr.Ali Zaman & Mr.M.M.Fazlul Kabir .C/O, Mona Food Industries Ltd.	Click to View
796	October 25, 2009	Warning to Paper Processing and Packaging Limited for :- Non-compliance of securities laws: In connection with non-disseminating the price sensitive information regarding shifting of factory and rental agreement.
797	October 25, 2009	Warning to Shahiq Securities Limited for :- Non-compliance of securities laws: Regarding violation of securities law regarding trading of shares of Dandy Dyeing Limited.
798	October 25, 2009	Warning to SES Company Limited for :- Non-comlpiance of security laws: Regarding violation of securities law regarding inspection vide Commission Order No. SEC/SRI/CSE-MEM/36 dated July 26,2009.
799	October 29, 2009	Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009.(Arbee Textile Limited)	Click to View
800	October 29, 2009	Application for waiver of penalty imposed vide penal Order No.SEC/Enforcement/665/2008/141-145 Dated February 09,2009. (Maq Enterprise Limited Limited)

September, 2009

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

August, 2009

Sl.No	Date	Subject	Commission’s Decision
804	August 11, 2009	Warning to concerns of United Insurance Company Ltd. for non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31,2008.	Click to View
805	August 11, 2009	Warning to concerns of Fine Foods Limited for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30, 2008.	Click to View
806	August 16, 2009	Warning to M/s Zahir Ahmed & Co. C.A firm, for non-compliance of securities related laws in connection with audited financial statements of Prime Textile Spinning Mills Ltd. (Issuer) for the year ended on June 30, 2007.	Click to View
807	August 18, 2009	Order to concerns of Bangladesh Monospool Paper Manufacturing Co.Ltd. - Waiver of penalty imposed vide penal Orders No.SEC/Enforcement/698/2008/309-313/ dated April 23 ,2009.	Click to View
808	August 23, 2009	Order to concerns of Bangladesh Chemical Industries Limited.	Click to View
809	August 23, 2009	Order to concerns of Bangladesh Zipper Industries Limited.	Click to View
810	August 23, 2009	Order to concerns of Bangladesh Luggage Industries Limited.	Click to View
811	August 24, 2009	Order to concerns of Saleh Carpet Mills Limited.	Click to View
812	August 25, 2009	Order to concerns of Sonali Aansh Industries Limited.	Click to View
813	August 27, 2009	Order to concerns of Mona Food Industry Limited.	Click to View
814	August 31, 2009	Order to concerns of M.Hossain Garments Washing and Dying Ltd.	Click to View

July, 2009

Sl.No	Date	Subject	Commission’s Decision
815	July 1, 2009	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View
816	July 5, 2009	Appeal against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 8,2009.
817	July 5, 2009	Review on appeal application of Mr.Belayet Hossain(authorized representative) submitted on 06/05/2009	Click to View
818	July 5, 2009	Review on appeal of Prime Finance & Investment Ltd against SEC penalty Order No.SEC/Enforcement/728/2008/118 dated February 08,2009
819	July 5, 2009	Review on appeal of Prime Securities and Financial Services Ltd on cancellation of registration certificate.	Click to View
820	July 5, 2009	Disposal of review petition of Legacy Footwear Ltd against penalty order: non-compliance with securities related laws in connection with the audited financial statement for the year ended on December 31,2005.	Click to View
821	July 8, 2009	Order to concerns of Alpha Tobacco Manufacturing Ltd	Click to View
822	July 8, 2009	Order to concerns of Bionic Seafood Exports Ltd	Click to View
823	July 8, 2009	Order to concerns of M. Securities Ltd	Click to View
824	July 8, 2009	Warning to concerns of Quasem Textile Mills Ltd for non-compliance of securities laws in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines	Click to View
825	July 12, 2012	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd	Click to View
826	July 14, 2009	Order to concerns of Excelsior Shoes Ltd	Click to View
827	July 14, 2009	Warning to concerns of Meghna Condensed Milk Ltd non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.	Click to View
828	July 14, 2009	Warning to concerns of M/S Mahfel Huq & Co. for non-compliance with securities related laws in connection with audited financial statements of Bangladesh Dyeing and Finishing Industries Ltd(Issuer) for the year ended on June 30, 2007.	Click to View
829	July 15, 2009	Order to concerns of Mona Food Industries Ltd	Click to View
830	July 15, 2009	Warning to concerns of Meghna PET Industries Ltd(Issuer) for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007: Warning.	Click to View
831	July 15, 2009	Warning to concerns of M/S Habib Sarwar & Co for non-compliance with securities related laws in connection with audited financial statements of Meghna PET Industries Ltd for the year ended on June 30,2007: Warning.
832	July 15, 2009	Warning to concerns of Aman Sea Food Industries Ltd(Issuer) for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30, 2008.	Click to View
833	July 15, 2009	Warning to concerns of M/S Ahmed Zakir & Co for non-compliance with the securities related laws in connection with audited financial statement of Aman Sea Food Industries Limited (Issuer) for the year ended on June 30,2008	Click to View
834	July 15, 2009	Order to concerns of M Hossain Garments Washing & Dyeing Ltd	Click to View
835	July 16, 2009	Non-compliance of securities laws : In connection with trading of shares of City General Insurance Co.Limited: Warning.	Click to View
836	July 16, 2009	Warning to concerns Akila Khatun(Client code # 28063) for non-compliance of securities laws iIn connection with trading of shares of City General Insurance Co. Limited.	Click to View
837	July 16, 2009	Warning to concerns of M/S K.M. Alam &Co. for non-compliance of securities laws in connection with audited financial statements of Bionic Seafood Exports Ltd for the year ended on December 31, 2006.
838	July 16, 2009	Warning to concerns of Tulip Dairy and Food Products Ltd for non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30,2007.	Click to View
839	July 16, 2009	Warning to concerns of Mir Mamunur Rahim(Client code no: 34009) for non-compliance of securities laws in connection with trading of shares of City General Insurance Co.Limited.	Click to View
840	July 16, 2009	Order to concerns of Excelsior Shoes Ltd	Click to View
841	July 19, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
842	July 20, 2009	Warning to concerns of Phoenix Leather Complex Ltd for non-compliance of securities laws in connection with the matter of non-compliance of SEC Directive dated January 19,2009 in connection with the Corporate Governance Guidelines.	Click to View
843	July 21, 2009	Order to concerns of Rose Heaven Ballpen Ltd	Click to View
844	July 27, 2009	Non-compliance with securities related laws in connection with sale of share without any declaration by Petrobangla, the corporate sponsor/director of Tital Gas Transmission and Distribution Company Ltd.	Click to View
845	July 27, 2009	Warning to concerns of Sonali Paper and Board Mills Ltd for non-compliance with securities related laws in connection with non-disseminating the price sensitive information regarding BMRE of your company.	Click to View

June, 2009

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

May, 2009

Sl.No	Date	Subject	Commission’s Decision
853	May 12, 2009	Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the half yearly financial statements for the year ended on December 31, 2008.	Click to View
854	May 12, 2009	Warning to concerns of Mita Textiles Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on December 31, 2008.	Click to View
855	May 17, 2009	Warning to concerns of Bangladesh shipping Corporation Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.	Click to View
856	May 18, 2009	Warning to concerns of Jamuna Oil Company Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.	Click to View
857	May 20, 2009	Warning to concerns of Arbee Tetiles Ltd for non-compliance of securities laws in connection with the delayed submission of half yearly financial statements for the half year ended on June 30, 2008.	Click to View
858	May 21, 2009	Warning to concerns of Quasem Silk Mills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.	Click to View
859	May 21, 2009	Warning to concerns of Quasem TextileMills Ltd for non-compliance of securities laws in connection with non-furnishing of the audited financial statements for the year ended on September 30, 2007.	Click to View
860	May 21, 2009	Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of half yearly financial statements for the half year ended on December 31, 2008.	Click to View
861	May 21, 2009	Warning to concerns of Perfume Chemical Industries Ltd for non-compliance of securities laws in connection with delayed furnishing of the audited financial statements for the year ended on June 30, 2008.	Click to View
862	May 24, 2009	Warning to concerns of Aziz Pipes Ltd(Issuer) for non-compliance of securities laws in connection with the audited financial statements for the year ended on December 31, 2007.	Click to View
863	May 24, 2009	Warning to concerns of Dhaka Bank Ltd for non-compliance of securities laws in connection with non-submission of deficiency letter related to Repeat Public Offer of subordinate convertible bonds of Dhaka Bank Ltd.	Click to View
864	May 26, 2009	Warning to concerns of Fareast Islami Life Insuranec Co. Ltd for non-compliance of securities laws in connection with price sensitive information regarding increase of authorized and paid-up capital.	Click to View

April, 2009

Sl.No	Date	Subject	Commission’s Decision
865	April 8, 2009	Order to concerns of Raspit Data Management and Telecommunications Ltd	Click to View
866	April 8, 2009	Order to concerns of Raspit Inc(BD) Ltd	Click to View
867	April 15, 2009	Warning to concerns of Usmania Glass Sheet Factory Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years i.e. for the year ended on June30, 2008.	Click to View
868	April 15, 2009	Warning to concerns of Padma Printers and Color Ltd for non-compliance of securities laws in connection with audited financial statements for the year ended on June 30, 2007.	Click to View
869	April 15, 2009	Warning to concerns of Bangladesh Thai Aluminium Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2007.	Click to View
870	April 16, 2009	Waiver of penalty imposed against Summit Power Ltd through SEC penal order No.SEC/Enforcement/699/2008/71 dated January 20, 2009.	Click to View
871	April 21, 2009	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd.	Click to View
872	April 23, 2009	Waiver of penalty on Mr. Abdul Mannan, Shareholder, Fareast Islami Life Insurance Company Ltd.	Click to View
873	April 26, 2009	Order to concerns of Bangladesh Monospool Paper Manufacturing Company Ltd.	Click to View
874	April 26, 2009	Order to concerns of Bangladesh Zipper Industries Ltd.	Click to View
875	April 26, 2009	Order to concerns of Bangladesh Luggage Industries Ltd.	Click to View
876	April 28, 2009	Order to Mr. Belayet Hossain, Authorized Representative, CSE.	Click to View
877	April 28, 2009	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd.	Click to View

March, 2009

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

February, 2009

Sl.No	Date	Subject	Commission’s Decision
887	February 4, 2009	Warning to concerns of Fareast Islami Life Insurance Company Ltd(Issuer) for non-compliance of securities related laws.	Click to View
888	February 9, 2009	Order to concerns of Raspit Data Management and Telecommunication Ltd (order no. sec/enforcement/698/2008/171-172) related to price sensitive information involving business with M/s Pull World	Click to View
889	February 9, 2009	Order to concerns of Raspit Inc(BD) Ltd (order no. sec/enforcement/698/2008/174-176) related to price sensitive information regarding sale of its factory by Janata Bank, Pubna Branch	Click to View
890	February 9, 2009	Order to concerns of Chictex Ltd (order no. sec/enforcement/698/2008/178-181) related to price sensitive information regarding sale of its factory by IFIC Bank for loan adjustment	Click to View
891	February 9, 2009	Order to concerns of Rose Heaven Ballpen Ltd	Click to View
892	February 9, 2009	Order to concerns of Maq Enterprises Ltd	Click to View
893	February 9, 2009	Order to concerns of Metalex Corporation Ltd	Click to View
894	February 9, 2009	Order to concerns of Raspit Inc(BD) Ltd(Order no. sec/enforcement/665/2008/132-134)	Click to View
895	February 9, 2009	Order to concerns of Chictex Ltd(Order no. sec/enforcement/665/2008/136-139)	Click to View
896	February 9, 2009	Order to concerns of Arbi Textiles Ltd	Click to View
897	February 9, 2009	Order to concerns of Raspit Data Management & Telecommunications Ltd(sec/enforcement/665/2008/129-130)	Click to View
898	February 9, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
899	February 9, 2009	Order to concerns of Fareast Islami Life Insurance Company Ltd and related shareholders	Click to View
900	February 18, 2009	Related to petition for payment of remaining penalty through installments by directors of Tamizuddin textile Mills Ltd	Click to View
901	February 18, 2009	Warning to concerns of Key & Keu(Bangladesh) Ltd(Issuer) for alleged non-compliance of securities related laws in connection with audited financial statements for the year ended on December 31, 2007	Click to View
902	February 23, 2009	Warning to concerns of vanguard Shares & securities Ltd due to non-compliance of securities laws concerning share trading	Click to View
903	February 23, 2009	Related to review of cancellation of merchant banker license of First Securities Services Ltd	Click to View
904	February 24, 2009	Order to Pangaea Partners(Bangladesh) Ltd- cancellation of its merchant banker license	Click to View
905	February 24, 2009	Order to Prime Securities and Financial Services Ltd- cancellation of its merchant banker license	Click to View

January, 2009

Sl.No	Date	Subject	Commission’s Decision
906	January 5, 2009	Letter related to cancellation of registration of First Securities Services Limited(Merchant Banker)	Click to View
907	January 6, 2009	Waiver of additional penalty on concerns of Lexco Limited	Click to View
908	January 6, 2009	Disposal of review petition of concerns of Maq Paper Industries Ltd(Issuer) against penalty orders	Click to View
909	January 6, 2009	Disposal of review petition of concerns of Popular Life Insurance Company Limited against penalty orders	Click to View
910	January 12, 2009	Disposal of review petition of M/s Marhk & Co., Charterd Accountant, against penalty order	Click to View
911	January 13, 2009	Warning to concerns of Mercantile Insurance Company Limited for non-compliance of securities related laws in connection with submission of audio visual recording of AGM held on June 29, 2006	Click to View
912	January 13, 2009	Waiver of imposed penalty on Mr. Kalimullah and Mr. A.k Chakraborty (IDB nominating director) of Sonali Paper and Board Mills Ltd	Click to View
913	January 13, 2009	Waiver of imposed penalty and withdrawal of certificate cases against concern of Raspit data management and telecommunication Ltd	Click to View
914	January 13, 2009	Waiver of imposed penalty against SEC penal order to concern of Excelsior Shoes Ltd	Click to View
915	January 13, 2009	Waiver of imposed penalty in connection with non-submission of audited financial statement on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the year ended on June 30, 2007	Click to View
916	January 13, 2009	Waiver of imposed penalty in connection with non-compliance of BAS-34 regarding half yearly financial statements on concerns of Khaza Mosaic Tiles & Stone Industries Ltd for the half-year ended on December 31, 2006	Click to View
917	January 13, 2009	Upholding the imposed penalty on concerns of Bangladesh Hotels Ltd for non-submission of audited financial statements for the year ended on December 31, 2007 against review petition	Click to View
918	January 13, 2009	Upholding the imposed penalty on concerns of Tamizuddin Textile Mills Ltd for non-submission of audited financial statements for the year ended on June 30, 2007 against review petition	Click to View
919	January 14, 2009	Order to concerns of Shajib Neatware and Garments Ltd	Click to View
920	January 14, 2009	Order to concerns of Pharmaco International Ltd	Click to View
921	January 19, 2009	Directive to concerns of Dynamic Textile Industries Ltd	Click to View
922	January 19, 2009	Directive to concerns of Quasem Silk Mills Ltd	Click to View
923	January 19, 2009	Directive to concerns of Quasem Textile Mills Ltd	Click to View
924	January 19, 2009	Directive to concerns of Phoenix Leather Complex Ltd	Click to View
925	January 19, 2009	Directive to concerns of M. Hossain Garments Washing & Dyeing Ltd	Click to View
926	January 18, 2009	Order to to concerns of Maq Enterprise Ltd	Click to View
927	January 25, 2009	Order to concerns of Saleh Carpet Mills Ltd	Click to View
928	January 25, 2009	Order to concerns of Raspit data management and telecommunications Ltd	Click to View
929	January 27, 2009	Warning to concerns of Mona Food Industry Limited for non-compliance of securities related laws in connection with price sensitive information regarding renting factory to Tonny Food	Click to View
930	January 27, 2009	Directive to concerns of Pragati Insurance Ltd(trustee), National Credit and Commerce Bank Ltd(Co-trustee), Bangladesh Luggage Industries Ltd	Click to View
931	January 27, 2009	Warning to concerns of Islami Bank Bangladesh Ltd(Issuer) for non-compliance of securities related laws in connection with audited financial statements for the year ended on December 31, 2007	Click to View
932	January 27, 2009	Warning to M/s Howladar Yunus & Co., and M/s Aziz Halim Khair Choudhury, Chartard Accountants for non-compliance of securities related laws in connection with audited financial statements Islami Bank Bangladesh Ltd for the year ended on December 31, 2007	Click to View

December, 2008

Sl.No	Date	Subject	Commission’s Decision
933	December 1, 2008	Order to Salam & Company Limited, DSE Member-190	Click to View
934	December 1, 2008	Order to Hedayet Ullah Securities Limited, DSE Member-140	Click to View
935	December 1, 2008	Order to M.H Chowdhury Securities Limited, DSE member-156	Click to View
936	December 1, 2008	Warning to concerns of M/s. M.J Abedin & Co, Chartered Accountants in connection with audited financial statements of Beximco Pharmaceuticals Ltd for the year ended on December 31, 2005 & 20006.	Click to View
937	December 1, 2008	Warning to concerns of Beximco Pharmaceuticals Limited(Issuer) in connection with audited financial statements for the year ended on December 31, 2005 & 20006.	Click to View
938	December 23, 2008	Warning to concerns of Usmania Glass Sheet Factory Limited(Issuer) in connection with non-compliance of securities related laws regarding pretension of auditor for a consecutive period exceeding three years..	Click to View
939	December 28, 2008	Warning to concerns of M/s. M. Ahmed & Co, Chartered Accountants in connection with audited financial statements of Pharmaco International Limited(Issuer) for the year ended on June 30, 20007.	Click to View
940	December 28, 2008	Warning to concerns of Salta Capital Ltd, DSE Member-95 in connection with non-compliance of securities related laws.	Click to View
941	December 28, 2008	Warning to concerns of Al- Muntaha Trading Company Limited, DSE Member-49 in connection with non-compliance of securities related laws.	Click to View

November, 2008

Sl.No	Date	Subject	Commission’s Decision
942	November 2, 2008	Warning to concerns of H.R Textile Mills Ltd(Issuer) in connection with audited financial statements for the year ended on September 30, 2007	Click to View
943	November 2, 2008	Warning to concerns of Anwar Galvanizing Limited (Issuer) in connection with audited financial statements for the year ended on June 30, 2007	Click to View
944	November 2, 2008	Warning to M/s Habib Sarwar & Co, Charted Accountants for non-compliance of securities related laws in connection with audited financial statements of Dandy Dyeing Limited(Issuer) for the year ended on December 31, 2007	Click to View
945	November 3, 2008	Warning to concerns of Peoples Leasing and Financial Services Ltd in connection with calculation of EPS in the half yearly financial statements for the half year ended on June 30, 2008.	Click to View
946	November 3, 2008	Warning to concerns of Modern Dyeing and Screen Printing Ltd in connection with audited financial statements for the year ended on June 30, 2007.	Click to View
947	November 3, 2008	Warning to concerns of Padma Printers and Color Ltd in connection with submission of half yearly financial statements for the half year ended on June 30, 2007.	Click to View
948	November 3, 2008	Warning to concerns of Karnafully Insurance Company Ltd in connection with submission of half yearly financial statements for the half year ended on June 30, 2007.	Click to View
949	November 25, 2008	Warning to concerns of Rupali Insurance Company Ltd(Issuer) in connection with audited statements for the year ended on December 31, 2006.	Click to View
950	November 27, 2008	Penalty to concerns of Fareast Islami Life Insurance Company Limited(Issuer).	Click to View
951	November 30, 2008	Penalty to concerns of Popular Life Insurance Company Limited(Issuer).	Click to View

October, 2008

Sl.No	Date	Subject	Commission’s Decision
952	October 5, 2008	Order to Managing Director of Apex Adelchi Footware Limited, Order to concerns of S.N.M Securities Limited, and Order to Mr. Nurul Islam, Shareholder, Apex Adelchi Footware Limited	Click to View
953	October 5, 2008	Warning to concerns of Bangladesh Welding and Electrodes Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.	Click to View
954	October 5, 2008	Warning to concerns of Bangladesh Welding and Electrodes Limited in connection with delayed submission of audited financial statements for the year ended on December 31, 2007	Click to View
955	October 5, 2008	Order to Directors of Rupali Insurance Company Limited	Click to View
956	October 5, 2008	Directive to Rupali Insurance Company Limited	Click to View
957	October 5, 2008	Order to concerns of Fine Foods Limited	Click to View
958	October 6, 2008	Order to concerns of Mac Paper Industries Limited	Click to View
959	October 6, 2008	Waiver of penalty imposed penal orders No,SEC/Enforcement/404/2006/996 to 1010 all dated 17 September 2006 to ICB Islamic Bank Limited (former Oriental Bank Limited)	Click to View
960	October 6, 2008	Warning to concerns of National Credit & Commerce Bank Limited in connection with Annual Report 2007.	Click to View
961	October 6, 2008	Warning to concerns of Eastern Insurance Company Limited in connection with audited financial statements for the year ended on December 31, 2007	Click to View
962	October 6, 2008	Warning to M/s A. Qasem & Co, Charted Accountants for non-compliance of securities related laws in connection with audited financial statements of Eastern Insurance Company Limited for the year ended on December 31, 2007	Click to View
963	October 12, 2008	About waiver of penalty on concerns of Advanced Chemical Industries Limited	Click to View
964	October 12, 2008	Warning to concerns of Hefazatur Rahman & Co Limited in connection with non-compliance of securities laws.	Click to View
965	October 12, 2008	Warning to concerns of Golden Sons Limited(Issuer) for alleged non-compliance of securities laws in connection with utilization of IPO fund.	Click to View
966	October 12, 2008	Warning to concerns of GMG Industrial Corporation Limited (Issuer) in connection with audited financial statements for the year ended on June 31, 2007	Click to View
967	October 12, 2008	Warning to M/s A. Matin & Co, Charted Accountants for non-compliance of securities related laws in connection with audited financial statements of GMG Industrial Corporation Limited for the year ended on June 30, 2007	Click to View
968	October 12, 2008	Warning to CEO, DSE Limited in connection with non-compliance of securities laws relating to enquiry on activities of DSE regarding approval for gift of securities.	Click to View
969	October 13, 2008	Order to Shyamol Equity Management Limited(Stock Dealer/DP)	Click to View
970	October 14, 2008	Warning to concerns of International Securities Co. Limited (CSE Membership 096) for alleged non-compliance of securities laws.	Click to View
971	October 14, 2008	Warning to concerns of SR Capital Limited (CSE Membership 038) for alleged non-compliance of securities laws.	Click to View
972	October 14, 2008	Warning to concerns of Hillcity Securities Limited (CSE Membership 037) for alleged non-compliance of securities laws.	Click to View
973	October 14, 2008	Warning to concerns of Bangladesh Electricity Meter Company Limited (Issuer) in connection with non-compliance of securities laws relating to non-submission of half yearly financial statements for the half year ended on June 30, 2008	Click to View
974	October 23, 2008	Order to First Securities Services Limited(Merchant Banker)	Click to View
975	October 23, 2008	Order to Raspit Securities and Management Limited(Merchant Banker)	Click to View
976	October 29, 2008	To CEO, CSE to take steps on securities laws violations.	Click to View
977	October 29, 2008	Correction of order on Bangladesh Luggage Industries limited	Click to View

September, 2008

Sl.No	Date	Subject	Commission’s Decision
978	September 3, 2008	Warning to concerns of Rupali Bank Limited(Issuer)i for non-compliance of securities laws.	Click to View
979	September 3, 2008	Warning to concerns of Al-Muntaha Trading Co.Limited(Stock Broker) for non-compliance of securities laws.	Click to View
980	September 4, 2008	Warning to concerns of Anwar Securities Limited(DP-92)i for non-compliance of securities laws.	Click to View
981	September 4, 2008	Warning to concerns of Total Communication Limited(DP-187) for non-compliance of securities laws.	Click to View
982	September 4, 2008	Warning to concerns of SES Company Limited(DP-34) for non-compliance of securities laws.	Click to View
983	September 4, 2008	Warning to concerns of LankaBangla Securities Limited(DP-50) for non-compliance of securities laws.	Click to View
984	September 4, 2008	Warning to concerns of Tariq Ibrahim & Co.(DP-90) for non-compliance of securities laws.	Click to View
985	September 7, 2008	Order to concerns of Excelsior Shoes Limited	Click to View
986	September 7, 2008	Order to concerns of M/s Mark & Co. CA Firm	Click to View
987	September 7, 2008	Warning to concerns of Jago Corporation Limited for non-compliance of securities laws in connection with delayed submission of annual report for the year, 2007.	Click to View
988	September 8, 2008	Warning to concerns of Golden Sons Limited for non-compliance of securities laws in connection with non-submission of half yearly financial statements for the half year ended on June 30, 2008.	Click to View
989	September 9, 2008	Warning to concerns of Delta Brac Housing Finance Corporation Limited in connection with non-compliance of securities laws.	Click to View
990	September 11, 2008	Warning to concerns of Pubali Bank Limited in connection with non-compliance of securities laws relating to fixing AGM date, time and venue, declaring dividend in the same board meeting.	Click to View
991	September 11, 2008	Warning to concerns of Shyampur Sugar Mill Limited in connection with non-compliance of securities laws relating to audited financial statements for the year ended on June 30, 2006	Click to View
992	September 11, 2008	Warning to concerns of Shyampur Sugar Mill Limited in connection with non-compliance of securities laws relating to half yearly financial statements for the half year ended on December 31, 2006	Click to View
993	September 11, 2008	Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1215)	Click to View
994	September 11, 2008	Order to concerns of Khaza Mosaic Tiles and Stone Industries Limited(sec/enforcement/169/2003/1207)	Click to View
995	September 15, 2008	Waiver of penalty on concerns of Fareast Islami Life Insurance Company Limited(Issuer)	Click to View
996	September 15, 2008	Order to concerns of Fareast Islami Life Insurance Company Limited(Issuer)	Click to View
997	September 16, 2008	Warning to concerns of M/s A. Wahab & Co. C.A Firm in connection with non-compliance of securities laws relating to audited financial statements of Pragati Insurance Limited for the year ended on December 31, 2007	Click to View
998	September 16, 2008	Warning to concerns of Pragati Insurance Limited(Issuer) in connection with non-compliance of securities laws relating to audited financial statements for the year ended on December 31, 2007	Click to View
999	September 22, 2008	Warning to concerns of Popular Life Insurance Company Limited in connection with non-compliance of securities laws	Click to View
1000	September 22, 2008	Order to concerns of Bangladesh Hotels Limited	Click to View
1001	September 24, 2008	Order to concerns of Popular Life Insurance Company Limited	Click to View
1002	September 24, 2008	Order to concerns of Tamizuddin Textile Mills Limited	Click to View

August, 2008

Sl.No	Date	Subject	Commission’s Decision
1003	August 11, 2008	Warning to concerns of Purabi for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.	Click to View
1004	August 14, 2008	Waiver of penalty on Ms Hosne Ara Aziz, Sponsor of The City bank Limited	Click to View
1005	August 14, 2008	Waiver of penalty on Mr. Shabib Uddin, Shareholder Director of Merchantile Insurance Company Limited(Issuer)	Click to View
1006	August 13, 2008	Warning to concerns of Reliance Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2007.	Click to View
1007	August 13, 2008	Warning to concerns of M/s. Chowdhury Hossain Rashid & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Reliance Insurance Limited for the year ended on December 31, 2006.	Click to View
1008	August 13, 2008	Warning to concerns of Agrani Insurance Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.	Click to View
1009	August 19, 2008	Warning to concerns of CMC-Kamal Textile Mills Limited in connection with delayed submission of audited financial statements for the year ended on December 31, 2007.	Click to View
1010	August 19, 2008	Warning to concerns of Janata Insurance Company Limited in connection with delayed submission of audited financial statements for the year ended on December 31, 2007.
1011	August 20, 2008	Warning to concerns of ACNABIB Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of AL-Amin Chemical Industries Limited for the year ended on December 31, 2006.	Click to View
1012	August 20, 2008	Order to directors of One Bank Limited	Click to View
1013	August 25, 2008	Warning to concerns of Meghna Cement Mills Limited(Issuer) for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2006.
1014	August 25, 2008	Warning to concerns of M/s. Syful Shamsul Alam & Co. Charterd Accountants for non-compliance of securities laws in connection with audited financial statements of Meghna Cement Mills Limited for the year ended on December 31, 2006.	Click to View
1015	August 21, 2008	Warning to concerns of Janata Insurance Company Limited in connection with submission of half yearly financial statements for the half year ended on December 31, 2007.	Click to View

July, 2008

Sl.No	Date	Subject	Commission’s Decision
1016	July 1, 2008	Warning to concerns of Sreepur Textile Mills Ltd for non-compliance of securities laws in connection with furnishing of the audited financial statements for the year ended on December 31, 2007 within time.	Click to View
1017	July 1, 2008	Disposal of of alleged non-compliance of securities laws against Lexco Ltd in connection with non-submission of the audited financial statements for the year ended on December 31, 2007	Click to View
1018	July 8, 2008	Warning to concerns of Bionic Sea Food Exports Ltd for non-furnishing of clarification/explanation regarding audited financial statements for the year ended on December 31, 2005 and half-yearly financial statements for the half-year ended on June 30, 2006.	Click to View
1019	July 28, 2008	Order to concerns of Joytun Securities International Ltd	Click to View
1020	July 30, 2008	Directive to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View
1021	July 30, 2008	Order to concerns of Bangladesh Dyeing and Finishing Industries Ltd	Click to View

June, 2008

Sl.No	Date	Subject	Commission’s Decision
1022	June 3, 2008	Warning to concerns of Holy City Securities Ltd for non-compliance of securities laws.	Click to View
1023	June 11, 2008	Warning to concerns of daffodil Computers Ltd(Issuer) for non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years.	Click to View
1024	June 11, 2008	Related to application for waiver of penalty by Country Stock (Bangladesh) Ltd	Click to View
1025	June 11, 2008	Related to application for waiver of penalty by ARC Securities Ltd	Click to View
1026	June 12, 2008	Warning to concerns of M/S K.M. Alam & Co., Chartered accountant, for non-compliance of securities laws in connection with audited financial statements of Bionic Sea Food Exports Ltd (Issuer) for the year ended on December 31, 2006.	Click to View
1027	June 12, 2008	Warning to concerns of Beximco Fisheries Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006	Click to View
1028	June 12, 2008	Warning to concerns of M/s M.J. Abedin & Co., Chartered Accountants, for non-compliance of securities laws in connection with audited financial statements of Beximco Fisheries Ltd (issuer) for the year ended on December 31, 2006.	Click to View
1029	June 12, 2008	Warning to concerns of M/s G. Kibria & Co, Chartered Accountants for non-compliance of securities laws in connection with audited financial statements of Legacy Footwear Ltd(Issuer) for the year ended on December 31, 2006.	Click to View
1030	June 12, 2008	Warning to concerns of M/s Basu Banarjee Nath & Co, Chartered Accountants for non-compliance of securities laws in connection with audited financial statements of Power Grid Company of Bangladesh Ltd for the year ended on Juner 30, 2005. and June 30, 2006.	Click to View
1031	June 12, 2008	Warning to concerns of Legacy Footwear Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1032	June 16, 2008	Warning to concerns of Mona Food Industries Ltd(Issuer) for non-furnishing of clarification/explanation regarding audited financial statements for the year ended on June 30, 2006.	Click to View
1033	June 18, 2008	Warning to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.	Click to View
1034	June 18, 2008	Warning to concerns of Quasem Textile Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.	Click to View
1035	June 18, 2008	Warning to concerns of Quasem Silk Mills Ltd(Issuer) for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2008.	Click to View
1036	June 22, 2008	Warning to concerns of IDLC Finance Ltd for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.	Click to View
1037	June 22, 2008	Warning to concerns of AB Bank Ltd for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.	Click to View
1038	June 22, 2008	Warning to concerns of Prime Finance and Investment Ltd for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.	Click to View
1039	June 22, 2008	Warning to concerns of Prime Bank Ltd for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.	Click to View
1040	June 22, 2008	Warning to concerns of Lanka Bangla Finance Ltd for non-compliance of securities laws in connection with activities of merchant banker and portfolio manager.	Click to View
1041	June 22, 2008	Order to concerns of Raspit Inc(BD) Ltd	Click to View
1042	June 22, 2008	Order to concerns of Chictex Ltd	Click to View
1043	June 22, 2008	Order to concerns of Raspit Data Management and Telecommunication Ltd	Click to View
1044	June 23, 2008	Warning to concerns of IDLC Finance Ltd for non-compliance of securities laws.	Click to View
1045	June 23, 2008	Warning to concerns of Salta Capital Ltd for non-compliance of securities laws.	Click to View
1046	June 23, 2008	Warning to Mrs. Kawsar Jahan Farida Begum, Sponsor Director of Sandhani Life Insurance Co. Ltd for non-compliance of securities laws.
1047	June 24, 2008	Warning to concerns of Power Grid Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June 30, 2005 as well as Information documents published for offloading/direct listing of shares.	Click to View
1048	June 24, 2008	Order to Mr. Mohammad Shahib Uddin, Shareholder Director of Mercantile Insurance Company Ltd	Click to View
1049	June 24, 2008	Order to Mrs Hosne Ara Aziz, Sponsor of The City Bank Ltd	Click to View
1050	June 26, 2008	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1051	June 26, 2008	Order to concerns of Rose Heaven Ballpen Ltd	Click to View

May, 2008

Sl.No	Date	Subject	Commission’s Decision
1052	May 18, 2008	Warning to concerns of People's Insurance Company Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1053	May 20, 2008	Warning to concerns of Rupali Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1054	May 20, 2008	Warning to concerns of Sonali Paper & Board Mills Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on June30, 2006.	Click to View
1055	June 20, 2008	Order to Dr. Ashraf Salehin, Capital Bangladesh	Click to View
1056	May 21, 2008	Warning to concerns of Bangladesh Leaf Tobacco Co. Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1057	May 21, 2008	Warning to concerns of The City Bank Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006 and Annual Report-2006	Click to View
1058	May 25, 2008	Warning to concerns of Prime Insurance Company Ltd (Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1059	May 28, 2008	Warning to concerns of M/S Howladar Yunus & Co Chartered Accountants for non-compliance of securities laws in connection with audited financial statements of Janata Insurance Co. Ltd(Issuer) for the year ended on December 31, 2006.	Click to View
1060	May 28, 2008	Warning to concerns of Lexico Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on December 31, 2006.	Click to View
1061	May 28, 2008	Warning to concerns of Dynamic Textile Industries Ltd(Issuer) for non-compliance of securities laws in connection with audited financial statements for the year ended on September 30, 2006.	Click to View

April, 2008

Sl.No	Date	Subject	Commission’s Decision
1062	April 8, 2008	Order to concerns of AB Bank Foundation Stock Broker) imposing penalty	Click to View
1063	April 8, 2008	Order to concerns of Hazi Ahammad Brothers securities Ltd(Stock broker) imposing penalty	Click to View
1064	April 8, 2008	Order to concerns of Popular Equities Ltd(Stock Broker) imposing penalty	Click to View
1065	April 8, 2008	Order to concerns of ARC Securities Ltd (Stock Broker) imposing penalty	Click to View
1066	April 8, 2008	Order to concerns of Country Stock(Bangladesh) Ltd ( Stock Broker) imposing penalty	Click to View
1067	April 8, 2008	Order to concerns of L.R.K Securities Ltd( Stock Broker) imposing penalty	Click to View
1068	April 7, 2008	Order to concerns of R.N.I Securities Ltd (Stock Broker) imposing penalty	Click to View
1069	April 23, 2008	Warning to concerns of IFIC Bank Ltd(Issuer)
1070	April 23, 2008	Penalty Order to concerns of Gachihata Acuaculture Farms Ltd(Issuer)	Click to View
1071	April 23, 2007	Penalty Order to concerns of Dynamic Textile Industries Ltd(Issuer)	Click to View
1072	April 28, 2008	Penalty Order to concerns of Rose Heaven BallPen Ltd
1073	April 28, 2008	Penalty Order to concerns of Shampur Sugar Mills Ltd	Click to View
1074	April 28, 2008	Penalty Order to concerns of Shampur Sugar Mills Ltd	Click to View
1075	April 30, 2008	Waiver of penalty and warning to concerns of Wata Chemicals Ltd(Issuer)	Click to View

March, 2008

Sl.No	Date	Subject	Commission’s Decision
1076	March 3, 2008	Warning to concerns of Mona Food Industries Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007	Click to View
1077	March 3, 2008	Warning to concerns of Rupali Bank Ltd for non-compliance of securities laws in connection with fixing AGM date, time and venue and declaring dividend in the board of directors meeting	Click to View
1078	March 3, 2008	Warning to concerns of Dynamic Textile Industries Ltd for non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on March 31, 2007	Click to View
1079	March 3, 2008	Warning to concerns of Eastern Cables Ltd for non-compliance of securities laws in connection with delay in furnishing audited financial statements for the year ended on June 30, 2007	Click to View
1080	March 3, 2008	Order to concerns of M. Hossain Gaerments Washing and Dying Ltd	Click to View
1081	March 3, 2008	Order to concerns of Raspit Inc(BD) Ltd	Click to View
1082	March 3, 2008	Order to concerns of Mercantile Bank Ltd
1083	March 3, 2008	Order to concerns of Advanced Chemical Industries Ltd
1084	March 4, 2008	Order to concerns of Raspit Data Management and Telecommunication Ltd	Click to View
1085	March 4, 2008	Order to concerns of Chictex Ltd	Click to View
1086	March 25, 2008	Warning to concerns of Western Security Investment Management Ltd for non-compliance of securities laws	Click to View
1087	March 25, 2008	Waiver of penalty to concerns of Fareast Islami Life Insurance Company Ltd	Click to View
1088	March 27, 2008	Order to concerns of Pharmaco International Ltd	Click to View
1089	March 31, 2008	Order to concerns of Fareast Islami Life Insuranec Company Ltd	Click to View

February, 2008

Sl.No	Date	Subject	Commission’s Decision
1090	February 5, 2008	Disposal of the proceedings to concerns of Wonderland Toys Ltd	Click to View
1091	February 5, 2008	Waver of penalty imposed to concerns of Sreepur Textile Mills Ltd	Click to View
1092	February 10, 2008	Con-compliance of securities laws: warning to Bangladesh shipping Corporation Ltd	Click to View
1093	February 17, 2008	Order to AB Bank Ltd(Merchant Banker) about penalty of Tk 10 crore	Click to View
1094	February 18, 2008	Order - to concerns of Fareast Islami Life Insurance Company Ltd	Click to View

January, 2008

Sl.No	Date	Subject	Commission’s Decision
1095	January 7, 2008	Alleged non-compliance with securities related laws in connection with the Exclusive Partnership Agreement of Information Services Network Ltd: Warning - to concerns of Information Services Network Ltd (SEC/Enforcement/622/2007/22)
1096	January 8, 2008	Order - to concerns of Globe Securities Ltd Stock Dealer/DP DSE M#189 (SEC/Enforcement/616/2007/30)	Click to View
1097	January 21, 2008	Non-compliance of securities laws: In connection with half yearly financial statements for the half year ended on December 31 2006:Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/47)	Click to View
1098	January 22, 2008	Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Ashraf Textile Mills Limited (SEC/Enforcement/145/2002/52)	Click to View
1099	January 22, 2008	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007 : Warning - to concerns of Power Grid Company of Bangladesh Limited (SEC/Enforcement/654/2007/51)	Click to View
1100	January 23, 2008	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Eastern Lubricants Blenders Limited (SEC/Enforcement/407/2006/55)	Click to View
1101	January 23, 2008	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2007: Warning - to concerns of Padma Oil Company Limited (SEC/Enforcement/407/2006/56)	Click to View
1102	January 23, 2008	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Fareast Islami Life Insurance Company Limited (SEC/Enforcement/601/2007/57)	Click to View
1103	January 24, 2008	Waiver of imposed penalty - to concern of Mrs Dina Ahsan Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/59)	Click to View
1104	January 24, 2008	Waiver of imposed penalty - to concern of Mr Md Khalilur Rahman Chowdhury Director Wata Chemicals Ltd (SEC/Enforcement/626/2007/60)	Click to View
1105	January 30, 2008	Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/64-77)	Click to View
1106	January 31, 2008	Warning regarding Depositing of client shares against member's margin to Exchange DP (SEC/Enforcement/652/2007/82-142)	Click to View

December, 2007

Sl.No	Date	Subject	Commission’s Decision
1107	December 9, 2007	Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006:Warning - to concerns of Himadri Limited (SEC/Enforcement/617/2007/1200)	Click to View
1108	December 17, 2007	Waiver of additional penalty and withdraw certificate cases against Commission's penalty Orders - to concerns of Sreepur Textile Mills Limited (SEC/Enforcement/160/2003/1201)	Click to View
1109	December 17, 2007	Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of The Oriental Bank Limited (SEC/Enforcement/254/2004/1202)	Click to View
1110	December 17, 2007	Non-compliance of securities law: In connection with the delayed submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Arbee Textile Mills Limited (SEC/Enforcement/491/2005/1203)	Click to View
1111	December 17, 2007	Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Progressive Life Insurance Co Limited (SEC/Enforcement/629/2007/1204)	Click to View
1112	December 17, 2007	Non-compliance of securities law: In connection with the submission of half yearly financial statements for the half year ended on June 30 2007:Warning - to concerns of Paper Processing and Packaging Limited (SEC/Enforcement/628/2007/1205)	Click to View
1113	December 17, 2007	Non-compliance of securities law: Warning - to concerns of Holy City Securities Ltd Stock Broker CSE Member # 093 (SEC/Enforcement/618/2007/1206)	Click to View
1114	December 17, 2007	Regarding Holy City Securities Ltd (Stock Broker) Member No 093: Warning - to concerns of Chittagong Stock Exchange Ltd (SEC/Enforcement/618/2007/1207)	Click to View
1115	December 18, 2007	Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/607/2007/1212-1215)	Click to View
1116	December 18, 2007	Alleged non-compliance with securities related laws in connection with the half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Meghna Condensed Milk Industries Ltd	Click to View
1117	December 18, 2007	Order - to concerns of Wata Chemicals Ltd (SEC/Enforcement/626/2007/1232-1238)	Click to View
1118	December 18, 2007	Order - to concerns of Saleh Carpet Mills Ltd (SEC/Enforcement/39/2001/1243-1246)	Click to View
1119	December 31, 2007	Order - to concerns of Fine Foods Ltd (SEC/Enforcement/335/2005/1259-1265)	Click to View

November, 2007

Sl.No	Date	Subject	Commission’s Decision
1120	November 4, 2007	Directive - to concerns of Tripti Industries Limited	Click to View
1121	November 27, 2007	Non-compliance of securities laws concerning share trading: Warning - to concerns of M Securities Ltd Stock Broker DSE Member # 44	Click to View

October, 2007

Sl.No	Date	Subject	Commission’s Decision
1122	October 7, 2007	Payment of penalty through installments: In connection with share trading of Therapeutics (Bangladesh) Limited - to concerns of Ibrahim Securities Ltd	Click to View
1123	October 7, 2007	Penalty Order: In connection with audited financial statements of Chittagong Vegetable Oil Industries Ltd for the years ended on June 30, 2003 and June 30 2004 - to concerns of Sarwar Salamat & Co CA	Click to View
1124	October 8, 2007	Waiver of penalty imposed vide penal Orders No SEC/Enforcement/299/2005/418-420 Dated April 23 2007- to concerns of Quasem Textile Mills Limited	Click to View
1125	October 8, 2007	Waiver of penalty imposed vide penal Orders No SEC/Enforcement/300/2005/424-426 Dated April 23 2007- to concerns of Quasem Silk Mills Limited	Click to View
1126	October 8, 2007	Payment of penalty through installments: In connection with SEC penal orders all dated July 16 2007 regarding submission of incomplete audio-visual recording of proceedings of AGM held on December 24 2006 - to concerns of Wonderland Toys Ltd	Click to View
1127	October 8, 2007	Non-compliance of securities laws in connection with retention of auditor for a consecutive period exceeding three years: Warning - to concerns of JMI Bangla Co Limited	Click to View
1128	October 8, 2007	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Al-Arafah Islami Bank Limited	Click to View
1129	October 9, 2007	Order - to concerns of Bangladesh Chemical Industries Limited
1130	October 11, 2007	Order - to concerns of Raspit Data Management & Telecommunications Limited ((SEC/Enforcement/594/2007/1124-1126))	Click to View
1131	October 11, 2007	Order - to concerns of Raspit Inc (BD) Ltd (SEC/Enforcement/593/2007/1130-1132)	Click to View
1132	October 24, 2007	Order - to concerns of Legacy Footwear Limited
1133	October 28, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Dyeing & Finishing Industries Limited	Click to View
1134	October 28, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Chemical Industries Limited	Click to View
1135	October 28, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Zipper Industries Limited	Click to View
1136	October 28, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Bangladesh Luggage Industries Limited	Click to View

September, 2007

Sl.No	Date	Subject	Commission’s Decision
1137	September 3, 2007	Waiver of imposed penalty: In connection with non-disseminating price sensitive information regarding sale of fixed assets- to concerns of Quasem Silk Mills Limited	Click to View
1138	September 3, 2007	Waiver of imposed penalty: In connection with the submission of incomplete audio-visual recording of proceedings of AGM held on December 24, 2006 - to concerns of Wondeland Toys Limited	Click to View
1139	September 3, 2007	Order - to concerns of Bangladesh Chemical Industries Limited	Click to View
1140	September 3, 2007	Order - to concerns of Bangladesh Dyeing & Finishing Industries Limited	Click to View
1141	September 6, 2007	Waiver of imposed penalty: In connection with share trading of Therapeutics (Bangladesh) Ltd - to concerns of Ibrahim Securities Limited (DSE Member No 33)	Click to View
1142	September 6, 2007	Order - to concerns of Gachihata Aqua Culture Farms Limited	Click to View
1143	September 6, 2007	Order - to concerns of Meghna Condensed Milk Industries Limited	Click to View
1144	September 6, 2007	Order - to concerns of Meghna PET Industries Limited	Click to View
1145	September 6, 2007	Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Al-Arafah Islami Bank Limited	Click to View
1146	September 9, 2007	Order - to concerns of Bangladesh Luggage Industries Limited	Click to View
1147	September 10, 2007	Order - to concerns of Bangladesh Zipper Industries Limited	Click to View
1148	September 18, 2007	Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Export Import Bank of Bangladesh Limited	Click to View
1149	September 30, 2007	Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Cement Mills Limited	Click to View
1150	September 30, 2007	Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Legacy Footwear Limited	Click to View
1151	September 30, 2007	Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Ambee Pharmaceuticals Limited	Click to View
1152	September 30, 2007	Non-compliance with securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pragati Life Insurance Co Limited	Click to View

August, 2007

Sl.No	Date	Subject	Commission’s Decision
1153	August 5, 2007	Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Meghna Shrimp Culture Limited	Click to View
1154	August 5, 2007	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Federal Insurance Co Limited	Click to View
1155	August 5, 2007	Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Petro Synthetic Products Limited	Click to View
1156	August 5, 2007	Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Hotels Ltd	Click to View
1157	August 5, 2007	Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of CMC-Kamal Textile Mills Limited	Click to View
1158	August 5, 2007	Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Prime Insurance Company Limited	Click to View
1159	August 8, 2007	Waiver of imposed penalty: In connection with the half yearly financial statement for the half year ended on 31 December 2005 - to concerns of Bangladesh Luggage Industries Limited	Click to View
1160	August 9, 2007	Waiver of imposed penalty: In connection with statutory audit report of Rose Heaven Ball Pen Limited for the year ended on June 30 2004 - to concerns of M/s M N Islam & Company Chartered Accountants	Click to View
1161	August 9, 2007	Waiver of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Niloy Cement Industries Limited	Click to View
1162	August 9, 2007	Waiver of imposed penalty: In connection with the insider trading of Jamuna Bank Limited's shares - to concern of Al-Haj Nur Mohammad	Click to View
1163	August 9, 2007	Non-compliance of securities laws: In connection with the delayed submission of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Sonar Bangla Insurance Limited	Click to View
1164	August 9, 2007	Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the year ended on December 31 2006: Warning - to concerns of Bangladesh Electricity Meter Company Limited	Click to View
1165	August 13, 2007	Payment of penalty through installments: In connection with statutory audit report for the year ended on December 31 2005 - to concern of Mr Harun-or-Rashid Managing Director Lexco Limited	Click to View
1166	August 13, 2007	Payment of penalty through installments: In connection with statutory audit report for the year ended on December 31 2005 - to concern of Mr Al-Haj Abdul Mateen Director Lexco Limited	Click to View
1167	August 13, 2007	Payment of penalty through installments: In connection with statutory audit report for the year ended on December 31 2005 - to concern of Mr Hamiduddin Ahmed Director & Mr Mostapha Shah Ali Newaz Director Lexco Limited	Click to View
1168	August 13, 2007	Payment of penalty through installments: In connection with statutory audit report for the year ended on December 31 2005 - to concern of Mr Mostapha Shah Ali Newaz Director Lexco Limited	Click to View
1169	August 15, 2007	Order - to concerns of M/s Sarwar salamot & Co Chartered Accountants	Click to View
1170	August 16, 2007	Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Amam Sea Food Industries Limited	Click to View
1171	August 22, 2007	Non-compliance with the securities related laws in connection with the audited financial statements for the year ended on December 31 2006: Directive - to concerns of National Credit & Commerce Bank Limited

July, 2007

Sl.No	Date	Subject	Commission’s Decision
1172	July 1, 2007	Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Western Securities Investment Management Limited	Click to View
1173	July 1, 2007	Non-compliance of securities law in connection with shares in clearing account on record date: Warning - to concerns of Chowdhury Securities & Services Limited	Click to View
1174	July 2, 2007	Directive - to oncerns of Sreepur Textile Mills Limited	Click to View
1175	July 11, 2007	Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on June 30 2006 : Warning - to concerns of Arbee Textiles Limited	Click to View
1176	July 5, 2007	Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Alhajj Nur Mohammad	Click to View
1177	July 5, 2007	Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Ms Tasnim Akter Chowdhury	Click to View
1178	July 5, 2007	Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of ICB Capital Management Ltd	Click to View
1179	July 5, 2007	Alleged non-compliance of securities law in connection with the IPO of Jamuna Bank Ltd: Warning - to concerns of AAA Consultant & Financial Advisors Merchant Banker-Issue Manager	Click to View
1180	July 5, 2007	Alleged non-compliance of securities law in connection with the IPO: Warning - to concerns of Jamuna Bank Limited	Click to View
1181	July 8, 2007	Waiver of imposed penalty: In connection with statutory audit report for the year ended on June 30 2006 - to concerns of Sajib Knitwear and Garments Limited	Click to View
1182	July 9, 2007	Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Sonali Ansh Limited	Click to View
1183	July 10, 2007	Order - to concerns of Rose Heaven Ball Pen Limited	Click to View
1184	July 11, 2007	Order - to concerns of Chictex Limited	Click to View
1185	July 11, 2007	Order - to concerns of Quashem Silk Mills Limited	Click to View
1186	July 15, 2007	Alleged non-compliance with securities related laws in connection with the revised half-yearly financial statements for the period ended on December 31 2006: Warning - to concerns of Rangamati Food Products Limited	Click to View
1187	July 16, 2007	Order - to concerns of Wonderland Toys Limited	Click to View
1188	July 18, 2007	Non-compliance of securities laws: In connection with the delayed furnishing of the audited financial statements for the years ended on June 30 2005 and June 30 2006: Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/885)
1189	July 18, 2007	Non-compliance of securities laws in connection with the delayed furnishing of half yearly financial statements for the half year ended on December 31 2006: Warning - to concerns of Perfume Chemical Industries Limited (SEC/Enforcement/217/2004/886)
1190	July 26, 2007	Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mrs Hasina Gazi 4 Siddheswari Lane Dhaka-1000	Click to View
1191	July 26, 2007	Alleged non-compliance of securities law in connection with the non-declaration of trading in Jamuna Bank Ltd's shares: Warning - to concern of Mr Gazi Golam Ashria 4 Siddheswari Lane Dhaka-1000	Click to View
1192	July 26, 2007	Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bengal Fine Ceramics Limited	Click to View
1193	July 26, 2007	Alleged non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31 2006: Warning - to concerns of Pubali Bank Limited Limited	Click to View
1194	July 26, 2007	Order - concerns of Saleh Carpet Mills Limited	Click to View
1195	July 26, 2007	Order - concerns of Raspit Inc (BD) Limited
1196	July 26, 2007	Order - concerns of Chittagong Vegetable Oil Limited	Click to View
1197	July 26, 2007	Order - concerns of Ibrahim Securities Limited DSE M# 33	Click to View

June, 2007

Sl.No	Date	Subject	Commission’s Decision
1198	June 3, 2016	Alleged non-compliance with securities related laws in connection with the audited financial statements for the year ended on December 31 2005: Warning - to concerns of Bangladesh Services Limited	Click to View
1199	June 3, 2007	Non-compliance of securities laws: In connection with submission of audio-visual recording of proceedings of 33rd AGM held on December 19 2006 : Warning - to concerns of Bangladesh Services Limited	Click to View
1200	June 11, 2007	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Bangladesh Electricity Meter Company Limited	Click to View
1201	June 11, 2007	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Bangla Process Industries Limited	Click to View
1202	June 11, 2007	Non-compliance of securities law concerning payment of declared dividend : Warning - to concerns of Anlima Yarn Dyeing Limited	Click to View
1203	June 17, 2007	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on September 30 2006 : Warning - to concerns of Excelsior shoes Limited	Click to View
1204	June 17, 2007	Non-compliance of securities laws: In connection with delayed furnishing of the audited financial statements for the year ended on December 31 2005 : Warning - to concerns of Legacy Footwear Limited	Click to View
1205	June 17, 2007	Non-compliance of securities related laws in connection with the submission of the half yearly financial statements for the period ended on December 31 2006 : Warning - to concerns of Rahim Textile Mills Limited	Click to View
1206	June 21, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2006 - to concerns of Sreepur Textile Mills Limited	Click to View
1207	June 24, 2007	Order - to concern of Ms Nasrin Akter Chowdhury	Click to View
1208	June 24, 2007	Order - to concern of Ms Tasnim Akter Chowdhury	Click to View
1209	June 24, 2007	Order - to concern of Alhajj Nur Mohammad	Click to View
1210	June 24, 2007	Order - to concerns of Dhaka Insurance Limited	Click to View
1211	June 24, 2007	Order - to concerns of Standard Group Limited	Click to View
1212	June 24, 2007	Order - to concerns of Standard Stitches Limited	Click to View
1213	June 24, 2007	Order - to concerns of Amotex Limited	Click to View
1214	June 24, 2007	Waiver of imposed penalty: In connection with statutory audit report for the year ended on December 31 2005 - to concerns of Lexco Ltd	Click to View

May 2007

Sl.No	Date	Subject	Commission’s Decision
1215	March 5, 2007	Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/439)	Click to View
1216	March 5, 2007	Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/440)	Click to View
1217	March 5, 2007	Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/441)	Click to View
1218	March 5, 2007	Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/442)	Click to View
1219	March 5, 2007	Order - to concern of Mr Alhajj Mainuddin Managing Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/447)	Click to View
1220	March 5, 2007	Order - to concern of Mr Md Salauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/448)	Click to View
1221	March 5, 2007	Order - to concern of Mr Md Mesbauddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/449)	Click to View
1222	March 5, 2007	Order - to concern of Mr Alhajj Md Zaman Uddin Director Khaza Mosaic Tiles & Stone Industries Ltd (SEC/Enforcement/169/2003/450)	Click to View
1223	July 5, 2007	Commission's Enquiry Order#SEC/SRMID/99-689/1052 dated 06 March 07 on the company for unusual trading of shares and request for a personal hearing of all the Directors of the company before awarding judgment : Time Prayer - to concern of Chairperson Bangladesh Welding Electrodes Ltd	Click to View
1224	September 5, 2007	Non-compliance with securities related laws in connection with share trading of Zeal Bangla Sugar Mills Ltd: Warning - to concerns of National Credit and Commerce Bank Ltd (DSE Membership no 61) Stock-dealer	Click to View
1225	May 17, 2007	Alleged non-compliance with securities law in connection with IPO application of Export Import Bank of Bangladesh Limited (Issuer): Letter of caution - to concerns of AAA Consultants & Financial Advisers	Click to View
1226	May 17, 2007	Alleged non-compliance with the securities law in connection with IPO application: Letter of caution - to concerns of Export Import Bank of Bangladesh Limited	Click to View
1227	May 17, 2007	Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited	Click to View
1228	May 17, 2007	Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1229	May 17, 2007	Order - to concern of Mr Minhaz Bin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1230	May 17, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited	Click to View
1231	May 20, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of? Anwar Galvanizing Limited	Click to View
1232	May 20, 2007	Order - to concern of Mr Alhaj Abdul Motin Director Lexco Limited	Click to View
1233	May 20, 2007	Order - to concern of Mr Hamiduddin Ahmed Director Lexco Limited	Click to View
1234	May 20, 2007	Order - to concern of Mr Mustafa Shah Ali Newaz Director Lexco Limited	Click to View
1235	May 20, 2007	Order - to concern of Mr Udoy Kumar Bhakto Director Lexco Limited	Click to View
1236	May 20, 2007	Order - to concern of Mr Fazlur Rahman Director Lexco Limited	Click to View
1237	May 20, 2007	Order - to concern of Mr Md Shahjahan Managing Director Sajib Knitwear & Garments Limited	Click to View
1238	May 20, 2007	Order - to concern of Ms Selina Afroz Director Sajib Knitwear & Garments Limited	Click to View
1239	May 20, 2007	Order - to concern of Ms Shafia Khatun Director Sajib Knitwear & Garments Limited	Click to View
1240	May 20, 2007	Order - to concern of Mr Md Shakhawat Hossain (Sajib) Director Sajib Knitwear & Garments Limited
1241	May 20, 2007	Order - to concern of Mr Abdul Matlub Ahmad Managing Director Niloy Cement Industries Limited	Click to View
1242	May 20, 2007	Order - to concern of Mr Humayun Kabir Khondaker Director Niloy Cement Industries Limited	Click to View
1243	May 21, 2007	Order - to concern of Ms Selina Ahmah Director Niloy Cement Industries Limited
1244	May 21, 2007	Order - to concern of Mr Abdul Musabbir Ahmad Director Niloy Cement Industries Limited
1245	May 21, 2007	Order - to concern of Mr Md Anwar Hossain Director Niloy Cement Industries Limited
1246	May 21, 2007	Order - to concern of Mr Md Altaf Hossain Director Niloy Cement Industries Limited	Click to View
1247	May 21, 2007	Order - to concern of Mr S A Quashem Director Niloy Cement Industries Limited	Click to View
1248	May 22, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/532)	Click to View
1249	May 22, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/533)	Click to View
1250	May 22, 2007	Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/534)	Click to View
1251	May 22, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Managing Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/538)	Click to View
1252	May 22, 2007	Order - to concern of Left. Colonel (Retd) Mr Sirajul Islam BP (Bar) Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/540)	Click to View
1253	May 22, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Data Management & Telecomunication Limited (SEC/Enforcement/408/2006/539)	Click to View
1254	May 22, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/547)	Click to View
1255	May 22, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/546)	Click to View
1256	May 22, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/545)	Click to View
1257	May 22, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/544)	Click to View
1258	May 22, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/555)	Click to View
1259	May 22, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/554)	Click to View
1260	May 22, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/553)	Click to View
1261	May 22, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/552)	Click to View
1262	May 22, 2007	Waiver of imposed penalty: Non-compliance of securities law in connection with payment of audit fee to the SEC appointed auditors - to concerns of Bangladesh Chemical Industries Limited	Click to View
1263	May 22, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006: Warning - to concerns of Bangladesh Monospool Paper Manufacturing Co Limited	Click to View
1264	May 24, 2007	Waiver of imposed penalty: In connection with the non-submission of audited financial statements for the year ended on June 30 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/563)	Click to View
1265	May 24, 2007	Waiver of imposed penalty: In connection with the non-holding of AGM in the year 2005 - to concerns of Sonali Paper & Board Mills Limited (SEC/Enforcement/145/2002/564)	Click to View
1266	May 24, 2007	Order - to concern of Mr Dewkinandan Kejriwal Managing Director Bangladesh Luggage Industries Limited	Click to View
1267	May 24, 2007	Order - to concern of Ms Kanchan Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1268	May 24, 2007	Order - to concern of Ms Kanchan Devi Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1269	May 24, 2007	Order - to concern of Ms Vogoboti Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1270	May 24, 2007	Order - to concern of Mr Uttom Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1271	May 24, 2007	Order - to concern of Mr Ashok Kejriwal Director Bangladesh Luggage Industries Limited	Click to View
1272	May 27, 2007	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on June 30 2006 within time: Warning - to concerns of Mona Food Industries Limited	Click to View
1273	May 27, 2007	Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Rose Heaven Ball Pen Limited	Click to View
1274	May 28, 2007	Order - to concern of Ms Dilara Begum Chairperson/Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/591)	Click to View
1275	May 28, 2007	Order - to concern of Ms Shamim Ara Begum Managing Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/592)	Click to View
1276	May 28, 2007	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/593)	Click to View
1277	May 28, 2007	Order - to concern of Mr Badrul Haque Director Saleh Carpet Mills Limited (SEC/Enforcement/39/2001/594)	Click to View
1278	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/599)	Click to View
1279	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/600)	Click to View
1280	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/601)	Click to View
1281	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/602)	Click to View
1282	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/607)	Click to View
1283	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/608)	Click to View
1284	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/609)	Click to View
1285	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/610)	Click to View
1286	May 28, 2007	Order - to concern of Mr Aminur Rasul Managing Director/Director Chictex Limited (SEC/Enforcement/37/2001/615)	Click to View
1287	May 28, 2007	Order - to concern of Mr Jamal Uddin Ahmed Chairman/Director Chictex Limited (SEC/Enforcement/37/2001/616)	Click to View
1288	May 28, 2007	Order - to concern of Mr Md Masukur Rasul Director Chictex Limited (SEC/Enforcement/37/2001/617)	Click to View
1289	May 28, 2007	Order - to concern of Mr Iftekhar Mahmud Director Chictex Limited (SEC/Enforcement/37/2001/618)	Click to View
1290	May 28, 2007	Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Bangladesh Luggage Industries Limited	Click to View
1291	May 28, 2007	Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31 2006 within time: Warning - to concerns of Sonali Paper & Board Mills Limited	Click to View

April 2007

Sl.No	Date	Subject	Commission’s Decision
1292	April 23, 2007	Order - to concern of Mrs Selina Begum Director Quasem Silk Mills Limited
1293	April 23, 2007	Order - to concern of Mrs Khadiza Shamim Director Quasem Silk Mills Limited
1294	April 23, 2007	Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Silk Mills Limited
1295	April 23, 2007	Order - to concern of Mrs Selina Begum Director Quasem Textile Mills Limited
1296	April 23, 2007	Order - to concern of Mrs Khadiza Shamim Director Quasem Textile Mills Limited
1297	April 23, 2007	Order - to concern of Mr A K M Maidul Islam Chairman/Managing Director Quasem Textile Mills Limited
1298	April 23, 2007	Order - to concern of Mr Shafiqur Rahman Director Sreepur Textile Mills Limited	Click to View
1299	April 23, 2007	Order - to concern of Mr C H Mahtab Uddin Director Sreepur Textile Mills Limited	Click to View
1300	April 23, 2007	Order - to concern of Mr A R Malik Director Sreepur Textile Mills Limited
1301	April 23, 2007	Order - to concern of Mr A Ahmed Yousuf Chairman & Managing Director Sreepur Textile Mills Limited
1302	April 23, 2007	Order - to concern of Mr Prof Dr Nurul Haque Director Sreepur Textile Mills Limited	Click to View
1303	April 23, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2006 : Warning - to concerns of Jute Spinners Limited	Click to View
1304	April 17, 2007	Alleged non-compliance of securities laws in connection with delayed submission of audited financial statements for the year ended on June 30 2006: Disposal - to concerns of Sonali Ansh Industries Limited?	Click to View
1305	April 17, 2007	Non-compliance of securities laws: In connection with upward revaluation of fixed assets creating reserve without clearance from the Commission in the audited financial statements for the year ended on December 31 2005: Caution - to concerns of Southeast Bank Limited	Click to View
1306	November 30, -0001	Non-compliance of securities law: In connection with delayed submission of audited financial statements for the year ended on June 30 2006: Caution - to concerns of Bangladesh Shipping Corporation (SEC/Enforcement/148/2002/395)	Click to View
1307	April 17, 2007	Alleged non-compliance of securities laws in connection with delayed submission of half yearly financial statements for the year ended on December 31 2005: Disposal - to concerns of Bangladesh Shipping Corporation (SEC/Enforcement/148/2002/394)	Click to View
1308	April 17, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005 & June 30 2006: Warning - to concerns of Meghna Pet Industries Limited	Click to View
1309	April 15, 2007	Your petition for payment of remaining penalty through installments - to concern of Mrs Afia Banu Director Rupan Oil & Feeds Limited
1310	April 15, 2007	Waiver of penalty imposed upon the individual directors in connection with the non-submission of audited financial statements for the year ended on June 30 2006 against penal Orders No. SEC/Enforcement/86/2002/263-67 all dated March 01 2007: Warning - to concerns of Pharmaco International Limited	Click to View
1311	October 4, 2007	Waiver of penalty - to concerns of Bangladesh Dyeing & Finishing Industries Limited	Click to View
1312	October 4, 2007	Waiver of penalty - to concerns of Bangladesh Zipper Industries Limited	Click to View
1313	September 4, 2007	Show-cause cum hearing : In connection with the matter of non-payment of declared divodend to a shareholder within the stipulated time- Warning - to concerns of Quasem Drycells Limited	Click to View
1314	September 4, 2007	Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: Warning - to concerns of Amam Sea Food Limited	Click to View
1315	August 4, 2007	Non-compliance with the securities related laws in connection with non-payment of interest and principal against debenture: Warning - to concerns of Bangladesh Welding Electrodes Limited	Click to View
1316	April 4, 2007	Non-compliance of securities laws: In connection with audited financial statements for the years ended on June 30 2005 and June 30 2006: Warning - to concerns of Chittagong Oil Industries Limited	Click to View
1317	April 4, 2007	Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Dyeing & Finishing Industries Limited (SEC/Enforcement/210/2004/351)	Click to View
1318	April 4, 2007	Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Chemical Industries Limited (SEC/Enforcement/212/2004/350)	Click to View
1319	April 4, 2007	Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Luggage Industries Limited (SEC/Enforcement/182/2003/349)	Click to View
1320	April 4, 2007	Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Padma Oil Company Limited	Click to View
1321	April 4, 2007	Non-compliance of securities laws: In connection with furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Eastern Lubricants Blenders Limited	Click to View
1322	April 4, 2007	Non-compliance of securities laws: In connection with the audited financial statements for the year ended on December 31 2005 - Warning - to concerns of Central Insurance Company Limited	Click to View
1323	April 4, 2007	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on June 30 2006 within time: - Warning - to concerns of Eastern Cables Limited	Click to View
1324	April 4, 2007	Non-compliance of the SEC Notification: In connection with the audited financial statements for the year ended on June 30 2006 - Warning - to concerns of Hakkani Pulp & Paper Mills Limited	Click to View
1325	April 4, 2007	Non-compliance of securities laws: In connection with disseminating AGM date time and venue in-spite of declared dividend in the board of directors meeting held on November 12 2006 - Warning - to concerns Pharma Aids Limited	Click to View
1326	April 4, 2007	Non-compliance of securities laws: In connection with the delayed payment of declared dividend to Delta Life Insurance Company Limited - Warning - to concerns Bangladesh Zipper Industries Limited (SEC/Enforcement/209/2004/349)	Click to View

March, 2007

Sl.No	Date	Subject	Commission’s Decision
1327	March 1, 2007	Your appeal for waiver of imposed penalty: In connection with the non-payment dividend to a shareholder and non-submission of report on dividend - to concerns of Fine Foods Limited	Click to View
1328	March 1, 2007	Order - to concern of Mr AKMA Motin Managing Director Pharmaco International Limited	Click to View
1329	March 5, 2007	Order - to concern of Mr Dewkinandan Kejriwal Managing Director BD Dyeing & Finishing Industries Limited	Click to View
1330	March 5, 2007	Order - to concern of Mrs Kanchan Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1331	March 5, 2007	Order - to concern of Mrs Kanchan Devi Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1332	March 5, 2007	Order - to concern of Mrs Vogoboti Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1333	March 5, 2007	Order - to concern of Mr Uttom Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1334	March 5, 2007	Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Finishing Industries Limited	Click to View
1335	March 15, 2007	Order - to concern of Mr Md Abdur Razzak Chairman/Director Raspit Inc BD Limited	Click to View
1336	March 15, 2007	Order - to concern of Mr Md Habibul Alom Managing Director Raspit Inc BD Limited	Click to View
1337	March 15, 2007	Order - to concern of Mr Md Ashraful Alom Director Raspit Inc BD Limited	Click to View
1338	March 29, 2007	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005 and June 30 2006: Warning - to concerns of Anwar Galvanizing Limited	Click to View
1339	March 29, 2007	Order - to concern of Mr Md Nurul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/323)	Click to View
1340	March 29, 2007	Order - to concern of Mrs Nasima Ahmed Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/326)	Click to View
1341	March 1, 2007	Order - to concern of Mrs Rashida Motin Director Pharmaco International Limited
1342	March 1, 2007	Order - to concern of Mr Zomiruddin Director Pharmaco International Limited
1343	March 1, 2007	Order - to concern of Mr AKMA Batin Director Pharmaco International Limited
1344	March 1, 2007	Order - to concern of Mr AKMA Basit Director Pharmaco International Limited
1345	March 29, 2007	Order - to concern of Mr Nazrul Islam FCA Partner M/s M N Islam & Company Chartered Accountants (SEC/Enforcement/333/2005/324)
1346	March 29, 2007	Order - to concern of Mr Shafiqur Rahman Chowdhury Managing Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/325)
1347	March 29, 2007	Order - to concern of Mrs Maksuda Khatun Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/327)
1348	March 29, 2007	Order - to concern of Mr Motiur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/328)
1349	March 29, 2007	Order - to concern of Mrs Shafina Rahman Rupa Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/329)
1350	March 29, 2007	Order - to concern of Mr Md Mushfiqur Rahman Chowdhury Director Rose Heaven Ball Pen Ltd (SEC/Enforcement/333/2005/330)

February, 2007

Sl.No	Date	Subject	Commission’s Decision
1351	February 1, 2007	Non-compliance of securities law: In connection with statutory audit report of Himadri Limited for the year ended on December 31 2005: Warning - to concerns of Himadri Limited	Click to View
1352	February 1, 2007	Non-compliance of securities laws in connection with trading of Eagle Star Textile Mills Ltd Share: Warning - to concerns of South Asia Securities Limited (Stock Broker) CSE Member # 04	Click to View
1353	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/651 dated June 15 2006 - to concern of Mrs Nasima Ahmed Director M/s Rose Heaven Ball Pen Industries Ltd	Click to View
1354	February 4, 2007	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Libra Infusions Limited	Click to View
1355	February 4, 2007	Non-compliance of securities laws concerning Financial Statements for the half-year ended on June 30 2006 - Warning - to concerns of Nitol Insurance Company Limited	Click to View
1356	February 4, 2007	Non-compliance of securities laws in connection with the submission of revised half-yearly financial statements for the period ended on March 2006 : Warning - to concerns of Dynamic Textile Industries Limited	Click to View
1357	February 4, 2007	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 28 2006 - Warning - to concerns of Modern Cement Limited	Click to View
1358	February 4, 2007	Non-compliance of securities laws: In connection with disseminating the price sensitive information in the news papers - Warning - to concerns of Phoenix Leather Complex Limited	Click to View
1359	February 4, 2007	Non-compliance of securities laws: In connection with the submission of revised half-yearly financial statements for the half-year ended on June 30 2006 - Warning - to concerns of Popular Life Insurance Co Limited	Click to View
1360	February 4, 2007	Disposal of the alleged matter-In connection with non-submission of audio-visual recording of proceedings of AGM held on June 10 2006 - to concerns of Renata Limited	Click to View
1361	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/655 dated June 15 2006 - to concern of Md Musfiqur Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd
1362	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/654 dated June 15 2006 - to concern of Mrs Safina Rahman Rupa Director M/s Rose Heaven Ball Pen Industries Ltd
1363	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/653 dated June 15 2006 - to concern of Md Matiar Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd
1364	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/652 dated June 15 2006 - to concern of Mrs Maksuda Khatun Director M/s Rose Heaven Ball Pen Industries Ltd
1365	February 1, 2007	Payment of penalty by installments Ref Order no SEC/Enforcement/163/2003/650 dated June 15 2006 - to concern of Md Shafiur Rahman Chowdhury Director M/s Rose Heaven Ball Pen Industries Ltd

January, 2007

Sl.No	Date	Subject	Commission’s Decision
1366	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Daffodil Computers Limited	Click to View
1367	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Chic Tex Limited	Click to View
1368	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Eagle Star Textile Mills Limited	Click to View
1369	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Fine Foods Limited	Click to View
1370	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 to December 2005 within time: Warning - to concerns of Mona Food Industry Limited	Click to View
1371	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 to December 2005 within time: Warning - to concerns of Pharmaco International Limited	Click to View
1372	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of October 2005 within time: Warning - to concerns of Popular Life Insurance Company Limited	Click to View
1373	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Limited	Click to View
1374	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of February 2006 within time: Warning - to concerns of Sreepur Textile Mills Limited	Click to View
1375	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of September 2005 within time: Warning - to concerns of The Engineers Limited	Click to View
1376	January 18, 2007	Non-compliance securities laws in connection with non-submission of capital & shareholding position for the month of February 2006 within time: Warning - to concerns of Amam Sea Food Industries Limited	Click to View

December, 2006

Sl.No	Date	Subject	Commission’s Decision
1377	December 6, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years: Caution - to concerns of Monno Jute Stafllers Limited	Click to View
1378	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Chemical Industries Ltd	Click to View
1379	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Chemical Industries Ltd	Click to View
1380	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Chemical Industries Ltd	Click to View
1381	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Chemical Industries Ltd	Click to View
1382	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Chemical Industries Ltd	Click to View
1383	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Chemical Industries Ltd	Click to View
1384	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Dyeing & Finishing Industries Ltd	Click to View
1385	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1386	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1387	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1388	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1389	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Dyeing & Industries Ltd	Click to View
1390	December 19, 2006	Order - to concern of Mr Dewki Nandan Kejriwal MD BD Zipper Finishing Industries Ltd	Click to View
1391	December 19, 2006	Order - to concern of Mrs Kachan Kejriwal Director BD Zipper Industries Ltd	Click to View
1392	December 19, 2006	Order - to concern of Mrs Kanchan Debi Kejriwal Director BD Zipper Industries Ltd	Click to View
1393	December 19, 2006	Order - to concern of Mrs Vagoboti Kejriwal Director BD Zipper Industries Ltd	Click to View
1394	December 19, 2006	Order - to concern of Mr Uttaom Kejriwal Director BD Zipper Industries Ltd	Click to View
1395	December 19, 2006	Order - to concern of Mr Ashok Kejriwal Director BD Zipper Industries Ltd	Click to View

November, 2006

Sl.No	Date	Subject	Commission’s Decision
1396	November 1, 2006	Regarding application of penalty- to concern of Md Shahidullah (Shyamol) & Co (Stock Dealer) DSE M-03	Click to View
1397	November 2, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 22 2005 - Warning- to concerns of Fu-Wang Ceramic Industries Limited	Click to View
1398	November 2, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 22 2005 - Warning- to concerns of Fu-Wang Foods Limited	Click to View
1399	November 2, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on September 6 2005 - Warning- to concerns of Maq Paper Industries Limited	Click to View
1400	November 28, 2006	Non-compliance of securities laws: In connection with the payment of declared dividend to BSRS within the time - Warning - to concerns of Bengal Fine Ceramics Limited	Click to View
1401	November 28, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31 2005 within time: Warning - concerns of Bangladesh Hotels Ltd	Click to View
1402	November 29, 2006	Waiver of penalty imposed vide penal Orders No-SEC/Enforcement/299/2005/575-577 dated 31 May 2006 and withdrawal of the certificate case - to concerns of Quasem Textile Mills Limited	Click to View
1403	November 29, 2006	Waiver of penalty imposed vide penal Orders No-SEC/Enforcement/299/2005/579-581 dated 31 May 2006 and withdrawal of the certificate case - to concerns of Quasem Silk Mills Limited	Click to View
1404	November 30, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on March 31 2006: Warning - to concerns Dynamic Textile Industries Limited	Click to View

October, 2006

Sl.No	Date	Subject	Commission’s Decision
1405	October 3, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Mita Textiles Limited	Click to View
1406	October 3, 2006	Non-compliance with the provision of the Securities and Exchange Rules 1987 and the Securities and Exchange Ordinance 1969 concerning audited financial statements for the year ended on March 31 2000:Disposal of the alleged matters - to concerns of Olympic Industries Limited	Click to View
1407	October 3, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Eagle Star Textiles Mills Limited	Click to View
1408	October 5, 2006	Order - to concern of Mr M A Salam Chairperson/Director Paragon Leather & Footwear Industries Limited	Click to View
1409	October 5, 2006	Order - to concern of Mr A K Azad Director Paragon Leather & Footwear Industries Limited	Click to View
1410	October 5, 2006	Order - to concern of Mr Stephen Fanky Director Paragon Leather & Footwear Industries Limited	Click to View
1411	October 5, 2006	Order - to concern of Mrs Mariom Khatun Director Paragon Leather & Footwear Industries Limited	Click to View
1412	October 5, 2006	Order - to concern of Mrs Hamida Salam Director Paragon Leather & Footwear Industries Limited	Click to View
1413	October 5, 2006	Order - to concern of Mrs Ummay Kulsum Director Paragon Leather & Footwear Industries Limited	Click to View
1414	October 5, 2006	Order - to concern of Mrs Nasima Akter Director (Rupali Bank Nominated) Paragon Leather & Footwear Industries Limited	Click to View
1415	October 8, 2006	Payment of penalty by instalments - to concern of Giausuddin Ahmed & Co (DSE Membership # 186)	Click to View
1416	October 8, 2006	Non-compliance with the provisions of the Securities and Exchange Rules 1987 and the Securities and Exchange Ordinance 1969 concerning audited financial statements for the year ended on June 30 2000: Disposal of the alleged matters - to concern of Managing Director Bengal Biscuits Limited	Click to View
1417	October 8, 2006	Non-compliance with the provisions of securities related laws in connection with audited financial statements for the year ended on December 31 2005:Disposal - to concerns of Beach Hatchery Limited	Click to View
1418	October 8, 2006	Non-compliance with securities related laws: Warning - to concern of Mr Mujibur Rahman Sponsor/Director Midas Financing Limited	Click to View
1419	October 8, 2006	Your appeal for waiver of imposed penalty: In connection with the non-submission of audited financial statements for the year ended on June 30 2005 - to concerns of Pharmaco International Limited	Click to View
1420	October 8, 2006	Non-compliance of securities laws: In connection with the dissemenating price sensitive information regarding AGM held on December 26 2005 : Warning - to concerns of Mona Food Industries Limited	Click to View
1421	October 8, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on July 28 2005 : Warning - to concerns of Padma Printers Limited	Click to View
1422	October 8, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on June 15 2005 : Warning - to concerns of Gachihata Aquaculture Farms Limited	Click to View
1423	October 10, 2006	Order - to concern of Mr Shamsul Alam Shamim Chairman/Director Chittagong Vegetable Oil Industries Ltd	Click to View
1424	October 10, 2006	Order - to concern of Mr AHM Habibullah Managing Director Chittagong Vegetable Oil Industries Ltd	Click to View
1425	October 10, 2006	Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Ltd	Click to View
1426	October 10, 2006	Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Ltd	Click to View
1427	October 10, 2006	Order - to concern of Mr Md Imranul Haque Director Chittagong Vegetable Oil Industries Ltd	Click to View
1428	October 10, 2006	Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Ltd	Click to View
1429	October 10, 2006	Order - to concern of Mr Kaikobad Ahmed Director Chittagong Vegetable Oil Industries Ltd	Click to View
1430	October 10, 2006	Order - to concern of Mr Mainuddin Khan Badol Director Chittagong Vegetable Oil Industries Ltd	Click to View
1431	October 11, 2006	Non-compliance of securities laws concerning price sensitive information: Warning - to concerns of Delta Life Insurance Co Limited	Click to View
1432	October 11, 2006	Non-compliance of securities laws: Warning - to concerns of BLI Securities Ltd Stock Dealer (DSE Member No 175)	Click to View
1433	October 11, 2006	Waiver of penalty imposed upon the individual directors in connection with non-holding of AGM in the year 2003 against penal Order No SEC/Enforcement/142/2002/526 dated 22 September 2005 and withdraw the certificate case against the Commission's vide Order No SEC/Enforcement/142/2002/218 dated May 29 2004 - to concerns A B Biscuit Ltd	Click to View
1434	October 11, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on June 30 2005:Warning - to concerns of Bengal Fine Ceramics Limited	Click to View
1435	October 15, 2006	Non-compliance with securities related laws: In connection with the shares of IDLC at CSE: Warning - to concern of CMSL Securities Limited (DSE & CSE Stock Dealer)	Click to View
1436	October 16, 2006	Directive - to concerns of Khaza Mosaic Tiles & Stone Industries Limited	Click to View
1437	October 16, 2006	Non-compliance with securities related laws: Warning - to concerns of Equity Resources Limited (DSE Membership No 030) Attention: Managing Director/Chief Executive Officer	Click to View
1438	October 16, 2006	Non-compliance with securities related laws in connection with unreliable half yearly financial statements for the period ended on December 31 2004: Warning - to concerns of Al-Amin Chemical Industries Limited	Click to View
1439	October 18, 2006	In connection with audited financial statements for the year ended on December 31 2004: Disposal - to concerns of Aziz Pipes Limited	Click to View
1440	October 19, 2006	Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited:Warning - to concern of Managing Director Salta Capital Limited (DSE Member # 030)	Click to View
1441	October 19, 2006	Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited: Warning - to concern of Managing Director Island Securities Limited (DSE Member # 005)	Click to View
1442	October 19, 2006	Non-compliance of securities law concerning payment of declared dividend: Warning - to Concerns Social Investment Bank Limited	Click to View
1443	October 31, 2006	Non-compliance with securities laws in connection with raising of paid up capital: Warning - to Concerns Lotus-Kamal Spinning Mills Limited	Click to View
1444	October 15, 2006	Non-compliance with securities related laws: In connection with the shares of IDLC at CSE: Warning - to concern of Capital Market Services Limited (Merchant Banker)
1445	October 19, 2006	Non-compliance with securities related laws in respect of trading of share of Lafarge Surma Cement Limited:Warning - to concern of Managing Director Salta Capital Limited (DSE Member # 030)

September, 2006

Sl.No	Date	Subject	Commission’s Decision
1446	September 5, 2006	Application for review of penalty imposed vide Commission's Order No SEC/Enforcement/440/2006/807-813 dated July 17 2006 - to concerns of Modern Cement Limited	Click to View
1447	September 6, 2006	Revised Order - to concerns of Giasuddin Ahmed & Co	Click to View
1448	September 6, 2006	Revised Order - to concerns of PFI Securities Limited	Click to View
1449	September 7, 2006	Non-compliance with securities laws in connection with the half yearly financial statements for the period ended on February 28, 2006: Warning - to concerns of The Engineers limited	Click to View
1450	September 7, 2006	Order - to concerns of Latif Securities Ltd (Stock Dealer) DSE Member # 80	Click to View
1451	September 7, 2006	Order - to concerns of Equity Valuation Research and Distribution Ltd (Merchant Banker/Issue Manager)	Click to View
1452	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Bangladeh Hotels Limited	Click to View
1453	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: warning - to concerns of Bangladeh Leaf Tobacco Co Limited	Click to View
1454	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Post-facto approval with warning - to concerns of Ambee Pharmaceuticals Limited	Click to View
1455	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of GMG Industrial Corporation Limited	Click to View
1456	September 11, 2006	Non-compliance of Securities law concerning retention of auditor for a consecutive period exceeding three years: Warning - to concerns of Megna Pet Industries Limited	Click to View
1457	September 11, 2006	Non-compliance of Securities laws in connection with raising of paid up capital: Warning - to concerns of Nor-Pearl Knitwear Ltd	Click to View
1458	September 14, 2006	Order - to concerns of Md Shahidullah (Shyamol) & Co (DSE Member # 3)	Click to View
1459	September 17, 2006	Order - to concern of Mr Masum Ahmed Chowdhury Former Chairman/Director The Oriental Bank Limited	Click to View
1460	September 17, 2006	Order - to concern of Mr Rezaul Karim Former Vice Chairman/Director The Oriental Bank Limited	Click to View
1461	September 17, 2006	Order - to concern of Mr C M Koyes Sami Former Managing Director The Oriental Bank Limited	Click to View
1462	September 17, 2006	Order - to concern of Mr Salman Karim Former Director The Oriental Bank Limited	Click to View
1463	September 17, 2006	Order - to concern of Mr Mehedi Hasan Former Director The Oriental Bank Limited	Click to View
1464	September 17, 2006	Order - to concern of Brigadiar General Md Zakir Hossain PSC(Retd) Former Director The Oriental Bank Limited	Click to View
1465	September 17, 2006	Order - to concern of Mr Nesar uddin Mohammed Oliullah Former Director The Oriental Bank Limited	Click to View
1466	September 17, 2006	Order - to concern of Mr Shahedul Islam Former Director The Oriental Bank Limited	Click to View
1467	September 17, 2006	Order - to concern of Mr Niaz Ahmad Former Director The Oriental Bank Limited	Click to View
1468	September 17, 2006	Order - to concern of Mr Patinson Tempol Former Director The Oriental Bank Limited	Click to View
1469	September 17, 2006	Order - to concern of Mr Peter U Chun Ku Former Director The Oriental Bank Limited	Click to View
1470	September 17, 2006	Order - to concern of Mr Alamgir Kabir Samad Company Secretary The Oriental Bank Limited	Click to View
1471	September 18, 2006	Order - to concern of Mr ABM Kamal Uddin Khan Chairman/Director M Hossain Garments Washing & Dyeing Limited	Click to View
1472	September 18, 2006	Order - to concern of Mrs Yasmin Kamal Director M Hossain Garments Washing & Dyeing Limited	Click to View
1473	September 18, 2006	Order - to concern of Mr Minhaz Bin Kamal Khan Director M Hossain Garments Washing & Dyeing Limited	Click to View
1474	September 19, 2006	Order - to concern of Mrs Dilara Begum Chairperson/Director Saleh Carpet Mills Limited	Click to View
1475	September 19, 2006	Order - to concern of Mrs Shamim Ara Begum Managing Director Saleh Carpet Mills Limited	Click to View
1476	September 19, 2006	Order - to concern of Mr Rezaul Karim Director Saleh Carpet Mills Limited	Click to View
1477	September 19, 2006	Order - to concern of Mr Badrul Haq Director Saleh Carpet Mills Limited	Click to View
1478	September 20, 2006	Order - to concern of Mr Md Iftekharuzzaman Chairman/Director Fine Foods Limited	Click to View
1479	September 20, 2006	Order - to concern of Mr Md Shaheen Quoreshi Managing Director Fine Foods Limited	Click to View
1480	September 20, 2006	Order - to concern of Mr Md Humayun Kabir Director Fine Foods Limited	Click to View
1481	September 20, 2006	Order - to concern of Mr Md Hussain Babu Director Fine Foods Limited	Click to View
1482	September 20, 2006	Order - to concern of Mr Md Mosarrof Hossain Director Fine Foods Limited	Click to View
1483	September 20, 2006	Order - to concern of Mr Md Iqbal Ahmed Director Fine Foods Limited	Click to View
1484	September 20, 2006	Order - to concern of Mrs Hasna Amin Director Fine Foods Limited	Click to View
1485	September 24, 2006	Non-compliance of securities related laws in connection with raising of capital without prior consent of the Commission: Warning - to concerns of Popular Pharmaceuticals Limited	Click to View
1486	September 25, 2006	Order - to concern of Mr Shamsul Alam Shamim Director Chittagong Vegetable Oil Industries Limited	Click to View
1487	September 25, 2006	Order - to concern of Mr Md Nurul Alam Director Chittagong Vegetable Oil Industries Limited	Click to View
1488	September 25, 2006	Order - to concern of Mr Md Amin Director Chittagong Vegetable Oil Industries Limited	Click to View
1489	September 25, 2006	Order - to concern of Mr Md Mohsin Saki Director Chittagong Vegetable Oil Industries Limited	Click to View
1490	September 27, 2006	Order - to concern of Major Mohammed Akhtaruzzaman (Retd) Managing Director Gauchihata Aquaculture Farms Limited	Click to View
1491	September 27, 2006	Order - to concern of Mrs Salma Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1492	September 27, 2006	Order - to concern of Mr Md Shahriar Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1493	September 27, 2006	Order - to concern of Mr Md Sabbir Zaman Director Gauchihata Aquaculture Farms Limited	Click to View
1494	September 17, 2006	Order - to concern of Mr Mujibur Rahman Milon Former Director The Oriental Bank Limited
1495	September 17, 2006	Order - to concern of Mr B M M Mozharul Haque NDC Former Director The Oriental Bank Limited
1496	September 17, 2006	Order - to concern of Mr Azian Bin Hajj Ujir Former Director The Oriental Bank Limited
1497	September 25, 2006	Order - to concern of Mr Md Emranul Haq Director Chittagong Vegetable Oil Industries Limited
1498	September 25, 2006	Order - to concern of Mr A H M Habib Ullah Managing Director Chittagong Vegetable Oil Industries Limited

August, 2006

Sl.No	Date	Subject	Commission’s Decision
1499	August 1, 2006	Non-compliance of securities law in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Imam Button Industries Limited	Click to View
1500	August 1, 2006	Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of German Bangla J.V Food Limited	Click to View
1501	August 1, 2006	Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Arbee Textiles Limited	Click to View
1502	August 1, 2006	Non-compliance with securities laws: In connection with the Furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Lexco Limited	Click to View
1503	August 1, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on September 9, 2005- Warning to concerns of Maq Enterprises Limited	Click to View
1504	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Niloy Cement Industries Limited	Click to View
1505	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Bd.Com Online Limited	Click to View
1506	August 1, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/860)	Click to View
1507	August 1, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 14, 2005- Warning - to concerns of Miracle Industries Limited (SEC/Enforcement/471/2006/861)	Click to View
1508	August 1, 2006	Application for waiver of penalty imposed vide Commission's Order No. SEC/Enforcement/163/2003/656, dated June 15, 2006- to concern of Md. Atiqur Rahman Chowdhury	Click to View
1509	August 1, 2006	Payment of penalty by instalments -to concern of Md. Shafiqur Rahman Chowdhury, Chairman & Managing Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/863)	Click to View
1510	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Nasima Ahmed, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/864)	Click to View
1511	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Maksuda Khatun, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/865)	Click to View
1512	August 1, 2006	Payment of penalty by instalments -to concern of Md. Matiur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/866)	Click to View
1513	August 1, 2006	Payment of penalty by instalments -to concern of Mrs. Safina Rahman Rupa, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/867)	Click to View
1514	August 1, 2006	Payment of penalty by instalments -to concern of Md. Musfiqur Rahman Chowdhury, Director, M/s Rose Heaven Ball Pen Industries Limited (SEC/Enforcement/163/2005/868)	Click to View
1515	August 3, 2006	Non-compliance of securities law in connection with non-submission of half yearly financial statements for the half year ended on December 31, 2005 within time-Warning - to concerns of Pharmaco International Limited	Click to View
1516	August 3, 2006	Non-compliance of securities laws: In connection with the submission of revised half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Daffodil Computers Limited	Click to View
1517	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on March 31, 2006 within stipulated time - Warning - to concerns of Excelsior Shoes Limited	Click to View
1518	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Tamijuddin Textiles Mills Limited	Click to View
1519	August 3, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Sreepur Textile Limited	Click to View
1520	August 3, 2006	Non-compliance of securities laws: In connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within stipulated time - Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/888)	Click to View
1521	August 3, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 28, 2005- Warning - to concerns of Amam Sea Food Limited (SEC/Enforcement/428/2006/889)	Click to View
1522	August 6, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Meghna Life Insurance Co. Limited	Click to View
1523	August 8, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years-Post-facto approval with warning - to concerns of Miracle Industries Limited (SEC/Enforcement/458/2006/896)	Click to View
1524	August 10, 2006	Order - to concerns of Pharmaco International Limited	Click to View
1525	August 13, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Anlima Yarn Dyeing Limited	Click to View
1526	August 13, 2006	Non-compliance of securities laws in connection with the submission of half yearly financial statements for the half year ended on December 31, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Limited	Click to View
1527	August 15, 2006	Non-compliance with securities related laws: In connection with notification concerning adoption of audited financial statements for the year 2003: Disposal - to concerns of Mercantile Bank Limited	Click to View
1528	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Disposal - to concerns of SCL Securities Limited (DSE Member # 121) Attention: The Managing Director	Click to View
1529	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Amanullah: Warning - to concerns of ARC Securities Limited (DSE Member # 100) Attention: The Managing Director	Click to View
1530	August 15, 2006	Non-compliance with securities related laws: In connection with declaration for purchase of Mercantile Bank Limited's shares: Warning - to concern of Mr. Jamsed Reza Khan, Director, Mercantile Bank Limited	Click to View
1531	August 15, 2006	Non-compliance with securities related laws: In connection with purchase of Mercantile Bank Limited's shares for Mr. Jamsed Reza Khan: Warning - to concerns of Nouvelle Securities Limited (DSE stock-dealer) Attention: The Managing Director	Click to View
1532	August 17, 2006	Non-compliance with securities related laws in connection with the financial statements for the year ended on December 31, 2004: Warning with direction for rectification- to concerns of Rahman Chemicals Limited	Click to View
1533	August 27, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004: Disposal - to concerns of Legacy Footwear Limited	Click to View
1534	August 27, 2006	Non-compliance with securities related laws in connection with audited financial statements for the year ended on December 31, 2004 and 2005: Warning - to concerns of Janata Insurance Co Limited	Click to View
1535	August 27, 2006	Non-compliance with securities laws in connection with issue of bonus share: Warning - to concerns of GSP Financing Company Limited	Click to View

July, 2006

Sl.No	Date	Subject	Commission’s Decision
1536	July 4, 2006	Non-compliance of securities laws concerning price sensitive information - Warning - to concerns of Bengal Fine Ceramics Ltd	Click to View
1537	July 4, 2006	Non-compliance with securities laws concerning effecting transfer of shares outside stock exchange without prior permission : Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/748)	Click to View
1538	July 4, 2006	Non-compliance with securities laws concerning declaring transfer of holdings- Warning - to concerns of Sonali Paper & Board Mills Ltd (SEC/Enforcement/435/2006/749)	Click to View
1539	July 4, 2006	Application for review of Commission's Order No. SEC/Enforcement/392/2005/53 & SEC/Enforcement/392/2005/54 both dated January 16, 2006 to concerns of M. Abdul Rashid & Co. (DSE Member No. 35)	Click to View
1540	July 9, 2006	Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning to concern of Proprietor, Mirza Aboo Mohsin & Co. (DP No.138)	Click to View
1541	July 9, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years - Warning - to concerns of Bengal Fine Ceramic Ltd	Click to View
1542	July 9, 2006	Non-compliance of securities law concerning retention of auditor for a consecutive period exceeding three years - Warning - to concerns of Eastern Housing Ltd	Click to View
1543	July 13, 2006	Non-compliance of securities law in connection with submission of half yearly financial statements for the half year ended on March 31, 2006 within time : Warning - to concerns of Dynamic Textile Industries Ltd (SEC/Enforcement/413/2006/799)	Click to View
1544	July 13, 2006	Non-compliance of securities law in connection with the submission of half yearly financial statements for the year ended on December 31, 2005 within time - Warning - to concerns of Mona Food Industry Ltd	Click to View
1545	July 13, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time : Warning - to concerns of Meghna Shrimp Culture Ltd	Click to View
1546	July 13, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on September 30, 2005 within time : Warning - to concerns of Dynamic Textile Industries Ltd ((SEC/Enforcement/413/2006/803))	Click to View
1547	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording 7th AGM held on December 14, 2005 - Warning- to concerns of Bangladesh Welding Electrodes Ltd	Click to View
1548	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of AGM held on December 20, 2005 - Warning- to concerns of Bd.Com Online Ltd	Click to View
1549	July 16, 2006	Non-compliance of securities laws: In connection with submission of audio-visual recording of 41st AGM held on December 15, 2005 - Warning- to concerns of Bangladesh Hotels Ltd	Click to View
1550	July 17, 2006	Order - to concerns of Modern Cement Ltd	Click to View
1551	July 17, 2006	Order - to concerns of P.F.I Securities Ltd	Click to View
1552	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Synthetics Ltd : Caution -to concerns of Beximco Synthetics Ltd & Investment Corporation of Bangladesh	Click to View
1553	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Denims Ltd : Caution -to concerns of Beximco Denims Ltd & Investment Corporation of Bangladesh	Click to View
1554	July 18, 2006	Non-compliance of securities law concerning re-scheduling of payment of principal and interest to institutional debenture holders of Beximco Textile Mills Ltd : Caution -to concerns of Beximco Textile Mills Ltd & Investment Corporation of Bangladesh	Click to View
1555	July 18, 2006	Order - to concerns of Giasuddin Ahmed & Co.	Click to View

June, 2006

Sl.No	Date	Subject	Commission’s Decision
1556	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of Stylecraft Ltd	Click to View
1557	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of J.K. Fabrics Ltd	Click to View
1558	June 5, 2006	Non-compliance of securuties laws - Warning - to concerns of Modern Cement Ltd	Click to View
1559	June 5, 2006	Order - to concerns of Saleh Carpet Mills Ltd	Click to View
1560	June 6, 2006	Non-compliance with securities related laws: Warning to concerns of Rangpur Foundry Ltd	Click to View
1561	June 6, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 11, 2005 - Warning - to concerns of Gemini Sea Food Ltd	Click to View
1562	June 6, 2006	Non-compliance of securities laws: In connection with non-furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Rose Heaven Ball Pen Ltd	Click to View
1563	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 29, 2005 - Warning - to concerns of Gulf Foods Ltd	Click to View
1564	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 27, 2005 - Warning - to concerns of Bangas Ltd	Click to View
1565	June 7, 2006	Non-compliance of securities laws: In connection with the submission of audio-visual recording of AGM held on December 20, 2005 - Warning - to concerns of Rangamati Food Products Ltd	Click to View
1566	June 13, 2006	Non-compliance with securities laws: Warning- to Managing Director of Mercantile Securities Ltd	Click to View
1567	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Purabi General Insurance Co Ltd	Click to View
1568	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Prime Insurance Co Ltd	Click to View
1569	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Pioneer Insurance Company Ltd	Click to View
1570	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of National Tea Company Ltd	Click to View
1571	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Eagle Star Textile Mills Ltd	Click to View
1572	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Atlas Bangladesh Ltd	Click to View
1573	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July 2005 within time: Warning- to concerns of Jago Corporation Ltd	Click to View
1574	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to March 2005 & July to August 2005 within time: Warning- to concerns of Chic Tex Ltd	Click to View
1575	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Therapeutics Bangladesh Ltd	Click to View
1576	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of August 2005 within time: Warning- to concerns of Padma Printers & Colour Ltd	Click to View
1577	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Northern Jute Mfg Co Ltd	Click to View
1578	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Dulamia Cotton Mills Ltd	Click to View
1579	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Aftab Automobiles Ltd	Click to View
1580	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Wata Chemicals Ltd	Click to View
1581	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Stylecraft Ltd	Click to View
1582	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1583	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Sonali Ansh Industries Ltd	Click to View
1584	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Metalex Corporation Ltd	Click to View
1585	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of German Bangla J.V. Food Ltd	Click to View
1586	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Dynamic Textile Industries Ltd	Click to View
1587	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Confidence Cement Ltd	Click to View
1588	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Azadi Printers Ltd	Click to View
1589	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position from September 2004 to August 2005 within time: Warning- to concerns of Amam Sea Food Ltd	Click to View
1590	June 20, 2006	Non-compliance of securities laws: In connection with the Furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning - to concerns of Mona Food Industry Ltd	Click to View
1591	June 20, 2006	Non-compliance of securities laws in connection with the holding of AGM in the year 2005-Warning - to concerns of Ashraf Textile Mills Ltd	Click to View
1592	June 21, 2006	Non-compliance of securities laws- In connection with the disseminating price sensitive information regarding AGM held on December 26, 2005 - Warning - to concerns of Fine Foods Ltd	Click to View
1593	June 22, 2006	Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 28, 2005 - Warning - to concerns of Alhaj Textile Mills Ltd	Click to View
1594	June 22, 2006	Non-compliance of securities laws- In connection with the payment of declared dividend in 2002 of a shareholder Mr. Abdur Razzak -Warning - to concerns of Meghna Shrimp Culture Ltd	Click to View
1595	June 22, 2006	Non-compliance of securities laws- In connection with the submission of audio/visual recording of AGM held on December 12, 2005 - Warning - to concerns of Azadi Printers Ltd	Click to View
1596	June 22, 2006	Non-compliance of securities laws- In connection with furnishing of the audited financial statements for the year ended on September 30, 2005 within time - Warning to concerns of Excelsior Shoes Ltd	Click to View
1597	June 28, 2006	Non-compliance of securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Amin Securities & Consultants Ltd (DP No 118)	Click to View
1598	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Md Fakrul Islam & Co (DP No 158)	Click to View
1599	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Equity Resources Ltd (DP No 40)	Click to View
1600	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Shamsul Huda & Co (DP No 115)	Click to View
1601	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Brotherhood Securities Ltd (DP No 183)	Click to View
1602	June 28, 2006	Non-compliance of Securities laws concerning keeping shares in clearing account on record date - Warning - to concerns of Razzak Securities Ltd (DP No 31)	Click to View
1603	June 29, 2006	Non-compliance of securities laws: In connection with the furnishing of the audited financial statements for the year ended on December 31, 2005 within time: Warning - to concerns of Bangladesh Leaf Tobacco Co Ltd	Click to View
1604	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Tamizjuddin Textile Mills Ltd
1605	June 14, 2006	Non-compliance of securities laws in connection with submission of capital & shareholding position for the month of July 2005 within time: Warning- to concerns of Standard Ceramic Industries Ltd
1606	June 21, 2006	Non-compliance of securities laws regarding execution of sale order of shares - Warning - to concerns of Engr. M.A. Rashid, Director, Peoples Insurance Co Ltd

May, 2006

Sl.No	Date	Subject	Commission’s Decision
1607	May 3, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2005- to concerns of Chicktex Ltd	Click to View
1608	May 3, 2006	Response to appeal for waiver of imposed penalty due to non-submission of audited financial statements for the year ended on June 30, 2005- to concerns of Chicktex Ltd	Click to View
1609	May 7, 2006	Non-cooperation with the enquiry committee of Securities and Exchange Commission: Disposal of the matter with emprimand- attention to Mr. A.K Poddar, Director, Prime Finance and Investment Ltd & PFI Securities Ltd	Click to View
1610	May 7, 2006	Non-compliance with securities related laws: Warning to S.N.M. Securities Ltd(DSE Membership No-07)	Click to View
1611	May 7, 2006	Non-compliance with securities related laws: Warning to concerns of Tripti Industries Ltd	Click to View
1612	May 9, 2006	Non-compliance with securities related laws: Warning to Kazi Mohidur Rab, Authorized Representative, Hazi Mohammad Ali & Co, DSE Membership-30	Click to View
1613	May 9, 2006	Non-compliance with securities related laws: Warning to Md. Rafiuddin Khandkar, Authorized Representative, Hazi Mohammad Ali & Co, DSE Membership-30	Click to View
1614	May 10, 2006	Non-compliance with securities related laws: Warning- attention to MD ,ARC Securities Ltd, DSE Membership-100.	Click to View
1615	May 15, 2006	Non-compliance with securities related laws: Warning -attention to MD/CEO , JIC Securities Ltd, CSE Membership-30	Click to View
1616	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD/CEO, National Securities and Consultants Ltd, CSE Membership-57.	Click to View
1617	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD, Kabir Ahmed & Co, DSE Membership-68.	Click to View
1618	May 15, 2006	Non-compliance with securities related laws: Warning- attention to MD/CEO , D.N. Securities Ltd, CSE Membership-89.	Click to View
1619	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-submission of half yearly financial statements for the year ended on December 31, 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1620	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-submission of audited financial statements for the year ended on June 30, 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1621	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2005- to concerns of Sonali Paper and Board Mills Ltd	Click to View
1622	May 22, 2006	Response to appeal for waiver of imposed penalty due to non-holding of AGM in the year 2003- to concerns of Eagle Box & Cartoon Mfg. Co. Ltd.	Click to View
1623	May 23, 2006	Waiver of penalty- Mr. Khurshed Hossain, Director, Meghna Condensed Milk Industries Ltd.	Click to View
1624	May 23, 2006	Waiver of penalty- Mr. Md. Nazmul Salehin, Director, Meghna Condensed Milk Industries Ltd.	Click to View
1625	May 23, 2006	About waiver of penalty- concerns of Meghna Condensed Milk Industries Ltd.	Click to View
1626	May 23, 2006	Waiver of penalty- MD and Company Secretary, Meghna Shrimp Culture Ltd.	Click to View
1627	May 25, 2006	Order to concerns of Saleh Carpet Mills Ltd	Click to View
1628	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Syed Mahbub Murshed & Co., DP-75	Click to View
1629	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Md. Shahidullah & Co., DP-142	Click to View
1630	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ALOCO, DP-133	Click to View
1631	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Joytun Securities International, DP-145	Click to View
1632	May 28, 2006	Non-compliance of securities laws- Warning to concerns of CMSL Securities Ltd, DP-35	Click to View
1633	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Sylnet Securities Ltd, CSE Member-33	Click to View
1634	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ZATL Securities Ltd, CSE Member-45	Click to View
1635	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ICB Securitie Trading Co. Ltd, DP-15(SEc/Enforcement/383/2005/549)	Click to View
1636	May 28, 2006	Non-compliance of securities laws- Warning to concerns of ICB Securitie Trading Co. Ltd, DP-15(SEc/Enforcement/383/2005/553)	Click to View
1637	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Brotherhood Securities Ltd, DP-183	Click to View
1638	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Moshihor Rahman, DP-32	Click to View
1639	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Imtiaz Hossain & Co. DP-03	Click to View
1640	May 28, 2006	Non-compliance of securities laws- Warning to concerns of SNM Securities Ltd, DP-68	Click to View
1641	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Gateway Equity Resources Ltd. DP-104	Click to View
1642	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Premium Securities Ltd. DP-175	Click to View
1643	May 28, 2006	Non-compliance of securities laws- Warning to concerns of South Asia Securities Ltd. DP-106	Click to View
1644	May 28, 2006	Non-compliance of securities laws- Warning to concerns of Eagle Star Textile Mills Ltd	Click to View
1645	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGMs held on Dec 26, 2005- Warning to concerns of Sonali Aansh Industries Ltd.	Click to View
1646	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 8, 2005- Warning to concerns of Apex Weaving and Finishing Mills Ltd.	Click to View
1647	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 29, 2005- Warning to concerns of Delta Spinners Ltd	Click to View
1648	May 29, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Tallu Spinning Mills Ltd.	Click to View
1649	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 31, 2005-Warning to concerns of Bangladesh Electricity Meter Company Ltd.	Click to View
1650	May 30, 2006	Response to appeal for waiver of imposed penalty to concerns of Bangladesh Zipper Industries Ltd.	Click to View
1651	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 26, 2005- Warning to concerns of Yusuf Flour Mills Ltd.	Click to View
1652	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 22, 2005- Warning to concerns of Sajib Knitwear and Garments Industries Ltd.	Click to View
1653	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Al-Amin Chemical Industries Ltd.	Click to View
1654	May 30, 2006	Non-compliance of securities laws- in connection with submission of audio/visual recording of AGM held on Dec 27, 2005- Warning to concerns of Mithun Knitting & Dyeing Ltd.	Click to View

April, 2006

Sl.No	Date	Subject	Commission’s Decision
1655	April 2, 2006	Non-compliance of securities laws in connection with non-submission of half yearly financial statements for the year ended June 30, 2005 within time: Warning to concerns of Bangladesh Thai Aluminum Ltd	Click to View
1656	April 2, 2006	Non-compliance of securities laws in connection with non-submission of audio/visual recording of AGMs in the years 2001,2002,2003 and 2004- Warning to concerns of Eagle Star Textiles Mills Ltd	Click to View
1657	April 3, 2006	Non-compliance of securities laws- Warning to concerns of Eastern Housing Ltd(Issuer)	Click to View
1658	April 9, 2006	Non-compliance of securities laws-In connection with non-holding of AGM in the year 2003 within time-disposal of alleged matter- to concerns of Sreepur Textile Mills Ltd	Click to View
1659	April 9, 2006	Non-compliance with the provisions of Securities and Exchange Rules 1987 and the Securities and Exchange ordinance, 1969: Warning to concerns of Sreepur Textile Mills Ltd(Issuer)	Click to View
1660	April 9, 2006	Non-compliance of securities laws-Warning to MD, Tamijuddin Textile Mills Ltd(Issuer)	Click to View
1661	April 9, 2006	Response to Appeal for revision of directive sent by Mr. Amanullah, Director, Mercantile Bank Ltd	Click to View
1662	April 10, 2006	Waiver from alleged charge to concern of Raspit Securities and Management Ltd(Merchant Banker)	Click to View
1663	April 10, 2006	Non-compliance of securities laws: Warning to concerns of concern of L.R.K. Securities Ltd(Stock Dealer)	Click to View
1664	April 12, 2006	Order to concerns of Meghna Condensed Milk Industries Ltd	Click to View
1665	April 12, 2006	Order to concerns of Sonali Paper and Board Mills Ltd	Click to View
1666	April 26, 2006	Non-compliance of securities laws-warning to concerns of Mercantile Bank Ltd	Click to View
1667	April 26, 2006	Non-compliance of securities laws in connection with non-submission of half yearly financial statements for the year ended December 31, 2005 within time: Warning to concerns of Bangla Process Industries Ltd	Click to View
1668	April 3, 2006	Non-compliance of securities laws- Warning to concerns of Lanka Bangla Securities Ltd(Stock Dealer)
1669	April 9, 2006	Letter to concerns of M. Hossain Garments Washing and Dyeing Ltd about appel for waiver of imposed penalty

March, 2006

Sl.No	Date	Subject	Commission’s Decision
1670	March 8, 2006	Directive to concerns of One Bank Limited and CDBL	Click to View
1671	March 8, 2006	Directive to concerns of Wonderland Toys Limited	Click to View
1672	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concerns of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/226)	Click to View
1673	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/227)	Click to View
1674	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/228)	Click to View
1675	March 8, 2006	Non-compliance with the provisions of securities laws- Caution to concern of Mutual Trust Bank Limited(SEC/Enforcement/341/2005/229)	Click to View
1676	March 9, 2006	Directive to concerns of Mercantile Bank Limited and CDBL	Click to View
1677	March 14, 2006	Order to concerns of Country Stock(Bangladesh) Ltd(DSE Member No. 099) and DSE	Click to View
1678	March 14, 2006	Order to concerns of Salam and Company Ltd (DSE Member No. 190) and DSE	Click to View
1679	March 14, 2006	Letter of exemption of penalty and warning to Managing Director, Directors and Company Secretary of Social Investment Bank Ltd	Click to View
1680	March 29, 2006	Non-compliance of securities laws in connection with non-submission of audited financial statements for the year ended June 30, 2005 within time: Warning to concerns of Meghna Condensed Milk Industries Ltd	Click to View
1681	March 29, 2006	Non-compliance of securities laws in connection with non-submission of audited financial statements for the year ended June 30, 2005 within time: Warning to concerns of Meghna PET Industries Ltd	Click to View
1682	March 29, 2006	Non-compliance of securities laws-In connection with non-furnishing of the audited financial statements for the year ended on June 30, 2005 within time: Warning to concerns of Eastern Lubricants Blenders Ltd	Click to View
1683	March 29, 2006	Non-compliance of securities laws-In connection with non-holding of AGM in the years 2002 and 2003: Warning to concerns of Tulip Dairy & Food Products Ltd	Click to View
1684	March 29, 2006	Non-compliance of securities laws-warning to M/s Md. Shadullah & Co. DP Participant No. 142, DSE Member No. 91	Click to View
1685	March 29, 2006	Non-compliance of securities laws-warning to concerns of Bangladesh General Insurance Company Ltd	Click to View
1686	March 29, 2006	Non-compliance of securities laws-warning to concerns of Bangladesh Autocars Ltd	Click to View
1687	March 29, 2006	Non-compliance of securities laws-warning to concerns of Karnaphuli Insurance Company Ltd	Click to View
1688	March 30, 2006	Non-compliance of securities laws-warning to Salam & Company Ltd (DSE Member No. 190)	Click to View
1689	March 30, 2006	Non-compliance of securities laws-warning to MD of Al-Amin Chemical Industries Ltd(Issuer)	Click to View
1690	March 30, 2006	Non-compliance of securities laws-warning to MD of Beach Hatchery Ltd (Issuer)	Click to View
1691	March 30, 2006	Non-compliance of securities laws-warning to concerns of Himadri Ltd (Issuer)	Click to View
1692	March 29, 2006	Non-compliance of securities laws-warning to Excelsior Shoes Ltd(Issuer)
1693	March 29, 2006	Non-compliance of securities laws-warning to concerns of Chittagong Vegetable Oil Industries Ltd(Issuer)
1694	March 30, 2006	Non-compliance of securities laws-warning to Arc Securities Ltd (DSE Member No. 100)
1695	March 30, 2006	Non-compliance of securities laws-warning to Premium Securities Ltd(DSE Member No. 181)

February, 2006

Sl.No	Date	Subject	Commission’s Decision
1696	February 2, 2006	Order to Managing Director, all Directors and Company Secretary of Social Investment Bank Ltd.	Click to View
1697	February 9, 2006	Order to concerns of Bangladesh Zipper Industries Ltd.	Click to View
1698	February 14, 2006	Non-compliance of securities law in connection with non-submission of half yearly financial statements for the half year ended on December 31, 2004 within time: Warning to Concerns of Pharmaco International Ltd.	Click to View
1699	February 19, 2006	Order to Managing Director, all Directors and Company Secretary of M. Hossain Garments Washing and Dyeing Ltd.	Click to View
1700	February 19, 2006	Order to M. Shamsur Rahman & Co., DP Participant.	Click to View
1701	February 20, 2006	Order to Square Securities and Management Ltd.	Click to View
1702	February 22, 2006	Order to concerns of Dynamic Textile Industries Ltd.	Click to View
1703	February 23, 2006	Order to concerns of Meghna Shrimp Culture Ltd.	Click to View
1704	February 28, 2006	Order to all directors including managing director of Chictex Ltd. Ref. No. SEC/Enforcement/37/2001/210	Click to View
1705	February 28, 2006	Order to all directors including managing director of Chictex Ltd. Ref. No. SEC/Enforcement/37/2001/215	Click to View
1706	February 28, 2006	Order to all directors including managing director (except selected BSRS director) of Saleh Carpet Mills Ltd. Ref. No. SEC/Enforcement/39/2001/202	Click to View
1707	February 28, 2006	Order to all directors including managing director (except selected BSRS director) of Saleh Carpet Mills Ltd. Ref. No. SEC/Enforcement/39/2001/205	Click to View

January, 2006

Sl.No	Date	Subject	Commission’s Decision
1708	January 3, 2006	Directive to Eagle Box & Carton Manufacturing Ltd Ref: No SEC/Enforcement/215/2004/10	Click to View
1709	January 3, 2006	Directive to Eagle Box & Carton Manufacturing Ltd Ref: No SEC/Enforcement/215/2004/111	Click to View
1710	January 5, 2006	Order to Meghna Shrimp Culture Ltd Ref: No SEC/Enforcement/114/2002/16	Click to View
1711	January 16, 2006	Order to M/s M. Abdul Rashid & Co. (DSE Member No. 35) Ref: No SEC/Enforcement/392/2005/53	Click to View
1712	January 16, 2006	Order to M/s M. Abdul Rashid & Co. (DSE Member No. 35) Ref: No SEC/Enforcement/392/2005/54	Click to View
1713	January 23, 2006	Letter to Registrar of Joint Stock Companies and Farms about dismissal of companies for violating company law 1994	Click to View

December, 2005

Sl.No	Date	Subject	Commission’s Decision
1714	December 7, 2005	Non-compliance of securities laws- warning to concerns of Modern Industries Ltd	Click to View
1715	December 7, 2005	Non-compliance of securities laws- warning to concerns of Eagle Star Textile Mills Ltd	Click to View
1716	December 7, 2005	Non-compliance of securities laws in connection with non-submission of half yearly statements for the half year ended on June 30, 2005 within time: - Warning to concerns of Bangladesh Hotels Ltd	Click to View
1717	December 12, 2005	Non-compliance of securities laws- warning to concerns of Pharmaco International Ltd	Click to View
1718	December 12, 2005	Non-compliance of securities laws- warning to concerns of Meghna Shrimp Culture Ltd	Click to View
1719	December 14, 2005	Non-compliance of securities laws- warning to M/s Haji Mohammad Ali & Co, DSE Membership No-30	Click to View
1720	December 14, 2005	Non-compliance of securities laws- warning to Mr. Asaduzzaman, Director, Uttara Bank Ltd	Click to View
1721	December 15, 2005	Non-compliance of securities laws in connection with non-furnishing of audited financial statements for the year ended on December 31, 2004 within time: - Warning to concerns of Bangladesh Thai Aluminium Ltd	Click to View
1722	December 18, 2005	Order to concerns of J.H. Chemicals Ltd	Click to View
1723	December 19, 2005	Non-compliance of securities laws- warning to concerns of Giasuddinn Ahmed & Co., Depository Participant(DP), DSE Member No-186	Click to View
1724	December 19, 2005	Non-compliance of securities laws- warning to concerns of Dynamic Securities Consultants Ltd., Depository Participant(DP), DSE Member No-126	Click to View
1725	December 19, 2005	Non-compliance of securities laws- warning to concerns of Kazi Feroz Rashid & Co., Depository Participant(DP), DSE Member No-29	Click to View
1726	December 19, 2005	Non-compliance of securities laws- warning to concerns of PFI Securities Ltd., Depository Participant(DP), DSE Member No-79 & CSE Member No-95	Click to View
1727	December 19, 2005	Non-compliance of securities laws- warning to concerns of Saad Securities Ltd., Depository Participant(DP), DSE Member No-118	Click to View
1728	December 19, 2005	Non-compliance of securities laws- warning to concerns of LRK Securities Ltd, Depository Participant(DP), DSE Member No-26	Click to View
1729	December 19, 2005	Non-compliance of securities laws- warning to concerns of AB & CO., Depository Participant(DP), DSE Member No-43	Click to View
1730	December 19, 2005	Non-compliance of securities laws- warning to concerns of Jobair & Co.., Depository Participant(DP), DSE Member No-93	Click to View
1731	December 19, 2005	Non-compliance of securities laws- warning to concerns of Jamal Ahmed & Co., Depository Participant(DP), DSE Member No-97	Click to View
1732	December 19, 2005	Non-compliance of securities laws- warning to concerns of N R Islam & Co., Depository Participant(DP), DSE Member No-128	Click to View
1733	December 19, 2005	Non-compliance of securities laws- warning to concerns of Arafat Securities., Depository Participant(DP), DSE Member No-94	Click to View
1734	December 19, 2005	Non-compliance of securities laws- warning to concerns of Shamsul Huda & Co.., Depository Participant(DP), DSE Member No-117	Click to View
1735	December 19, 2005	Non-compliance of securities laws- warning to concerns of Western Securities Investment Management Ltd., Depository Participant(DP), CSE Member No-120	Click to View
1736	December 19, 2005	Non-compliance of securities laws- warning to concerns of SNM Securities Ltd., Depository Participant(DP), DSE Member No-07	Click to View
1737	December 19, 2005	Non-compliance of securities laws- warning to concerns of Kazi Feroz Rashid & Co.., Depository Participant(DP), DSE Member No-29	Click to View
1738	December 19, 2005	Non-compliance of securities laws- warning to concerns of Hedayetullah securities Ltd., Depository Participant(DP), DSE Member No-140	Click to View
1739	December 19, 2005	Non-compliance of securities laws- warning to concerns of Chittagong Ltd., Depository Participant(DP)	Click to View
1740	December 29, 2005	Directive to concern of United Commercial Bank Ltd(Ref SEC/Enforcement/108/2002/705)	Click to View
1741	December 29, 2005	Directive to concern of United Commercial Bank Ltd (Ref SEC/Enforcement/108/2002/706)	Click to View

November, 2005

Sl.No	Date	Subject	Commission’s Decision
1742	November 28, 2005	Waiver of penalty imposed upon the individual directors in connection with the non-holding of AGM in the years 2001, 2002 and 2003 against penal order No. SEC/Enforcement/191/2003/246 dated 23/25 May 2005-Warning of Dhaka Vegetable Oil Industries Ltd	Click to View
1743	November 28, 2005	Your request letter dated 26/9/2005 for waiver of penalty imposed upon the individual directors in connection with non-submission of audited financial statement for the year ended on 30/6/2004 against Commission’s penal Order No.SEC/Enforcement/169/2003/473 dated 11/9/2005 to concerns of Khaza Mosaic Tiles and Stone Industries Limited	Click to View

October, 2005

Sl.No	Date	Subject	Commission’s Decision
1744	October 9, 2005	Directive to concerns of Metalex Corporation Ltd	Click to View
1745	October 12, 2005	Order to concerns of Karim Pipe Mills Ltd (Ref: sec/Enforcement/141/2002/561)	Click to View
1746	October 12, 2005	Order to concerns of Dynamic Textile Industries Ltd	Click to View
1747	October 20, 2005	Directive to concerns of Farhad Securities Ltd	Click to View
1748	October 20, 2005	Order to concerns of Capital Market Services Ltd (Merchant Bank)	Click to View
1749	October 23, 2005	Order to concerns of Md. Ali Hossen and Co.	Click to View
1750	October 24, 2005	Non-compliance of securities related laws - Warning to A. B. Ispahani & Co (DSE Membership No. 001).	Click to View
1751	October 24, 2005	Order to concerns of M. Securities Ltd	Click to View
1752	October 6, 2005	Non-compliance of securities related laws in connection with furnishing of the audited financial statements for year ended on June 30, 2001, 2002, 2003 and 2004- warning to concerns of Tulip Dairy and Food products Ltd
1753	October 12, 2005	Order to concerns of Karim Pipe Mills Ltd (Ref: sec/Enforcement/141/2002/563)
1754	October 18, 2005	Non-compliance of securities related laws in connection with holding of AGMs in the year 2003 and 2004 - Warning to Eagle Star Textile Mills Ltd
1755	October 24, 2005	Non-compliance of securities related laws in connection with holding of AGMs in the year 2003 - Warning to Maq Enterprises Ltd

September, 2005

Sl.No	Date	Subject	Commission’s Decision
1756	September 4, 2005	Directive to concerns of M/s Khaza Mosaic Tiles & Stone Industries Ltd	Click to View
1757	September 4, 2005	Directive to concerns of M/s Meghna Vegetable Oil Industries Ltd	Click to View
1758	September 4, 2005	Directive to concerns of M/s GEM Knitwear and Fabrics Ltd	Click to View
1759	September 4, 2005	Directive to concerns of M/s United Commercial Bank Ltd	Click to View
1760	September 4, 2005	Directive to concerns of M/s J.H. Chemical Industries Ltd	Click to View
1761	September 4, 2005	Directive to concerns of M/s Saleh Carpet Mills Ltd	Click to View
1762	September 4, 2005	Directive to concerns of M/s Rupan Oil & Feeds Ltd	Click to View
1763	September 4, 2005	Directive to concerns of M/s AB Biscuit Co. Ltd	Click to View
1764	September 4, 2005	Directive to concerns of M/s Raspit Inc.(Bangladesh) Ltd	Click to View
1765	September 11, 2005	Order to concerns of Khaza Mosaic Tiles and Stone Industries Ltd	Click to View
1766	September 11, 2005	Order to concerns of J.H. Chemical Industries Ltd	Click to View
1767	September 15, 2005	Non-compliance of securities laws in connection with furnishing of half yearly financial statements for half years ended December 31, 2004 - Warning to the concerns of M. Hossain Garments Washing & Dyeing Ltd (SEC/Enforcement/223/2004/498)	Click to View
1768	September 22, 2005	Order to concerns of AB Biscuit Company Ltd	Click to View
1769	September 3, 2005	Non-compliance of securities Laws: Warning to Md. Shohrawardi, Sponsor/Director of Alhaj Taxtile Mills Ltd, 19 Dilkusha C/A, Dhaka-1000
1770	September 28, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003- Warning to the concerns of Meghna Shrimp Culture Ltd (SEC/Enforcement/196/2003/549)

August, 2005

Sl.No	Date	Subject	Commission’s Decision
1771	August 23, 2005	Order to concerns of Rupan Oil and Feeds Ltd (SEC/Enforcement/71/2001/428)	Click to View
1772	August 23, 2005	Order to concerns of Rupan Oil and Feeds Ltd (SEC/Enforcement/71/2001/430)	Click to View
1773	August 28, 2005	Non-compliance of securities Laws in connection with holding of AGM in the year 2003-Warning to concerns of Pharmaco International Ltd (SEC/Enforcement/86/2002/438)	Click to View
1774	August 29, 2005	Delayed payment of dividend: Warning to concerns of Rose Heaven Ball Pen Ltd (SEC/Enforcement/232/2004/442	Click to View
1775	August 31, 2005	Non-compliance of securities law in connection with holding of AGM in the year 2003-Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/451)	Click to View
1776	August 31, 2005	Retension of statutory auditor for the year 2004: Warning to concerns of Peoples Insurance company Ltd (SEC/Enforcement/331/2005/447)	Click to View
1777	August 31, 2005	Non-compliance of securities laws in connection with furnishing of half yearly financial statements for half years ended December 31, 2003 and 2004- Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/449)	Click to View
1778	August 31, 2005	Non-compliance of securities laws in connection with furnishing of audited financial statements for year ended June 30, 2004- Warning to concerns of Bangladesh Chemical Industries Ltd (SEC/Enforcement/212/2004/450)	Click to View

July, 2005

Sl.No	Date	Subject	Commission’s Decision
1779	July 5, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2000, 2001,2002, and 2003-WARNING to Bangladesh Shipping Corporation	Click to View
1780	July 5, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2004 -WARNING to Quasem Textile Mills Ltd	Click to View
1781	July 10, 2005	Order to EXIM Bank of Bangladesh Ltd, Syed Mohammad Anowar Hossain and Syed Md Anowar Hossen of “Bastobaion” Green Taj Centre, 3^rd floor, , H-81, R-8/A, Dhanmondi, Dhaka	Click to View
1782	July 11, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2004 -WARNING to Quasem Silk Mills Ltd	Click to View
1783	July 13, 2005	Order to Saleh Carpet Mills Ltd	Click to View
1784	July 17, 2005	Non-compliance of securities laws in connection with submission of half yearly financial statements for the half year ended on Dec 31, 2003-Warning to Meghna Pet Industries Ltd	Click to View
1785	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2001- 2003 -WARNING to Meghna Pet Industries Ltd	Click to View
1786	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Chic Tex Ltd	Click to View
1787	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Bangladesh Electricity Meter Company Ltd	Click to View
1788	July 17, 2005	Non-compliance of securities laws in connection with submission of FS for the year ended June 30, 2003 -WARNING to Perfume Chemical Industries Ltd	Click to View
1789	July 17, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Perfume Chemicals Industries Ltd	Click to View
1790	July 23, 2005	Non-compliance of securities laws in connection with holding of AGM in the years 2001- 2003 -WARNING to Meghna Condensed Milk Industries Ltd	Click to View
1791	July 23, 2005	Non-compliance of securities laws in connection with submission of FS for the year ended Dec 31, 2003 -WARNING to Meghna Condensed Milk Industries Ltd	Click to View
1792	July 27, 2005	Order to Karim Pipe Mills Ltd	Click to View
1793	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended June 30, 2004 -WARNING to Fine Foods Ltd	Click to View
1794	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended Dec 31, 2004 -WARNING to Federal Insurance Co. Ltd	Click to View
1795	July 30, 2005	Non-compliance of securities laws in connection with submission of audited FS for the year ended June 30, 2004 -WARNING to Sonali Paper & Board Mills Ltd	Click to View
1796	July 30, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Gachihata Aquaculture Farms Ltd	Click to View
1797	July 30, 2005	Non-compliance of securities laws in connection with holding of AGM in the year 2003 -WARNING to Excelsior Skoes Ltd	Click to View
1798	July 11, 2005	Non-compliance of securities laws-Warning to Country Stock (Bangladesh) Ltd
1799	July 13, 2005	Non-compliance of securities laws-Warning to Jahangir Kabir Chowdhury & Co.( Stock Dealer), DSE

June, 2005

Sl.No	Date	Subject	Commission’s Decision
1800	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-submission of FS for year ended June 30, 2003)	Click to View
1801	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-submission of FS for year ended Dec 31, 2003	Click to View
1802	June 1, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Luggage Industries Ltd (Non-holding of AGM for 2003)	Click to View
1803	June 25, 2005	Order to Dhaka Bank Ltd (DSC & CSE Stock Dealer)	Click to View
1804	June 30, 2005	Non-compliance of Securities Laws- WARNING to Chittagong Vegetable Oil Industries (Non-submission of FS for year ended June 30, 2004)	Click to View
1805	June 30, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Dyeing and Finishing Industries Ltd (Non-holding of AGM for 2003)	Click to View
1806	June 30, 2005	Non-compliance of Securities Laws- WARNING to Bangladesh Dyeing and Finishing Industries Ltd for non-submission of FS for the year ended Dec 31, 2003)	Click to View
1807	June 30, 2005	Non-compliance of Securities Laws- WARNING to Mona Food Industries Ltd (Non-holding of AGM for 2004)	Click to View
1808	June 26, 2005	Contravention of Commission’s Order No. এসইসি/এসআরএমআইডি/২০০০-৯৮৫/২২৪৮/প্র-০২/১ তারিখঃ ১৯ ডিসেম্বর, ২০০০ ইং, gazetted on 25.02.2001- WARNING to Karnafuli Insurance Ltd	Click to View
1809	June 30, 2005	Exemption from penalty imposed upon the BSRS nominee director Saleh Carpet Mills Ltd for non-holding of AGM in the year 2003
1810	June 30, 2005	Exemption from penalty imposed upon the BSRS nominee director Saleh Carpet Mills Ltd for non-submission of FS for the year ended Dec 31, 2003

May, 2005

Sl.No	Date	Subject	Commission’s Decision
1811	May 4, 2005	Order to Ashraf Textile Mills Ltd	Click to View
1812	May 15, 2005	Order to Mona Food Industries Ltd	Click to View
1813	May 15, 2005	Order to Eagle Box Carton and Manufacturing Ltd	Click to View
1814	May 23, 2005	Non-compliance of Securities Laws- WARNING ZEM Knitwear Fabrics Co. Ltd	Click to View
1815	May 23, 2005	Order to Dhaka Vegetable Oil Industries Ltd	Click to View
1816	May 26, 2005	Order to Saleh Carpet Mills Ltd.	Click to View
1817	May 28, 2005	Order to Eagle Box Carton and Manufacturing Ltd	Click to View

April, 2005

Sl.No	Date	Subject	Commission’s Decision
1818	April 5, 2005	Non-compliance of Securities Laws-WARNING to Prime Insurance Company Ltd.	Click to View
1819	April 5, 2005	Non-compliance of Securities Laws-WARNING to Texpic Industries Ltd	Click to View
1820	April 5, 2005	Non-compliance of Securities Laws-WARNING to Excelsior Shoes Ltd	Click to View
1821	April 5, 2005	Order to Saleh Carpet Mills Ltd.	Click to View
1822	April 10, 2005	Show Cause to Meghna Shrimp Culture Ltd relating to penalty	Click to View
1823	April 12, 2005	Order to Mr. A.R. Khan, Bangladesh Welding Electrodes Ltd	Click to View
1824	April 12, 2005	Order to Mr. Aminur Reza Khan, Bangladesh Welding Electrodes Ltd	Click to View
1825	April 12, 2005	Order to Mrs. Hosneara Khan, Bangladesh Welding Electrodes Ltd	Click to View
1826	April 12, 2005	Order to Mr. S.M. Nurul Islam, Bangladesh Welding Electrodes Ltd	Click to View
1827	April 26, 2005	Order to Saleh Carpet Mills Ltd.	Click to View

March, 2005

Sl.No	Date	Subject	Commission’s Decision
1828	March 16, 2005	SHOW CAUSE to Wata Chemicals Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1829	March 16, 2005	SHOW CAUSE to Quasem Textile Mills Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1830	March 16, 2005	SHOW CAUSE to Quasem Silk Mills Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1831	March 16, 2005	SHOW CAUSE to Mona Food Industries Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1832	March 16, 2005	SHOW CAUSE to Mita Textiles Ltd due to non-compliance of the commission’s Directive (Non-holding of AGM for 2004)	Click to View
1833	March 19, 2005	Non-compliance of Securities Laws-(cancellation of irrevocable declaration for buy of shares)- WARNING to Mr. Jhahedul Alam, Sponsor of Standard Bank Ltd	Click to View
1834	March 19, 2005	Non-compliance of Securities Laws-(cancellation of irrevocable buy orders)- WARNING to Mr. Md. Shahedul Alam, Sponsor of Standard Bank Ltd	Click to View
1835	March 20, 2005	Commission’s Directive to Rose Heaven Ball Pen Ltd for non-holding of AGM in 2004	Click to View
1836	March 21, 2005	Non-compliance of Securities Laws- -(cancellation of irrevocable declaration for sel of shares) -WARNING to Mr. Md. Shah Alam, Director, Prime Insurance Company Ltd.	Click to View
1837	March 21, 2005	Non-compliance with the Depositories Act, 1999, and the Central Depository Bangladesh Ltd By Law 9.1.6- WARNING to Quasem Drycells	Click to View
1838	March 28, 2005	Order to Md. Shahidullah & Co(DSE member-3)	Click to View
1839	March 31, 2005	Order to Raspit Inc(BD) Ltd related to AGM	Click to View
1840	March 31, 2005	Order to Raspit Inc(BD) Ltd related to half yearly FS	Click to View
1841	March 31, 2005	Order to Pharmaco International Ltd	Click to View
1842	March 31, 2005	Order to BD Dyeing and Finishing Industries Ltd related to AGM	Click to View
1843	March 31, 2005	Order to BD Dyeing and Finishing Industries Ltd related to FS	Click to View
1844	March 31, 2005	Order to J.H. Chemical Industries Ltd	Click to View

February, 2005

Sl.No	Date	Subject	Commission’s Decision
1845	February 26, 2005	Non-compliance of securities laws (Price sensitive information and change of record date)- WARNING to Green Delta Insurance Company Limited	Click to View

January, 2005

Sl.No	Date	Subject	Commission’s Decision
1846	January 3, 2005	Non-compliance of securities laws (change of book closure date)- WARNING to MIDAS Financing Limited	Click to View
1847	January 16, 2005	Contravention/violation of provision of the Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April, 2001-Warning	Click to View

November, 2004

Sl.No	Date	Subject	Commission’s Decision
1848	November 10, 2004	Order to Meghna Condensed Milk Ltd	Click to View
1849	November 10, 2004	Order to Meghna Pet Industries Ltd	Click to View

September, 2004

Sl.No	Date	Subject	Commission’s Decision
1850	September 9, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No. SEC/Enforcement/248/2004/311 (submission of the audited financial statements for the year(s) 1999 and 2000)	Click to View
1851	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/309 (submission of the audited financial statements for the year(s) 1999 and 2000) to Dhaka Vegitable Industries Ltd	Click to View
1852	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/305 (submission of the audited financial statements for the year(s) 2002 and 2003) to Orion Infusion Ltd	Click to View
1853	September 19, 2004	SHOW CAUSE in connection with the matter of non-compliance of the Commission’s Directive No.SEC/Enforcement/248/2004/311 (submission of the audited financial statements for the year(s) 2002 and 2003) to Sonali Paper and board Mills Ltd	Click to View
1854	September 22, 2004	Order to L.R.K Securities Ltd	Click to View

August, 2004

Sl.No	Date	Subject	Commission’s Decision
1855	August 3, 2004	Directive for Non-compliance of securities laws – WARNING to Mr. Perwaizuddin Director , Mr. Mahtabuddin, Director Perfume Chemical Industries Limited	Click to View
1856	August 3, 2004	Directive for Submission of audited financial statements for the years ended December 31, 2001 and 2002 to Maq Paper Industries Limited	Click to View
1857	August 22, 2004	Directive to The City Bank Limited for furnishing of audited financial statements of 2002-2003 to Stock Exchanges	Click to View
1858	August 22, 2004	Directive to United Commercial Bank Limited for furnishing of audited financial statements of 1997-2003 to the Stock Exchanges	Click to View
1859	August 22, 2004	Directive to Saleh Carpet Mills Ltd. for furnishing of audited financial statements of 2002 to the Stock Exchanges	Click to View
1860	August 22, 2004	Directive to Orion Infusion Limited. for furnishing of audited financial statements of 2002 to the Stock Exchanges	Click to View
1861	August 22, 2004	Directive to Bangladesh Services Ltd. for furnishing of audited financial statements of 2000-2002 to the Stock Exchanges	Click to View
1862	August 22, 2004	Directive to Dhaka Vegetable Oil Industries Ltd. for furnishing of audited financial statements of 1999-2000 to the Stock Exchanges	Click to View
1863	August 22, 2004	Directive to Sonali Paper & Board Mills Ltd. for furnishing of audited financial statements of 1999-2000 to the Stock Exchanges	Click to View
1864	August 22, 2004	Directive to Pubali Bank Limited. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
1865	August 22, 2004	Directive to Bangladesh Electricity Meter Company Limited for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
1866	August 22, 2004	Directive to Sreepur Textile Mills Limited. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
1867	August 22, 2004	Directive to Eagle Box & Carton Mfg. Co. Ltd. for furnishing of audited financial statements of 2002-2003 to the Stock Exchanges	Click to View
1868	August 22, 2004	Directive to Texpick Industries Ltd. for furnishing of audited financial statements of 2000-2003 to the Stock Exchanges	Click to View
1869	August 22, 2004	Directive to Meghna Vegetable Oil Industries Ltd. for furnishing of audited financial statements of 2000-01, 2001-02 and 2002-03 to the Stock Exchanges	Click to View
1870	August 25, 2004	Directive to Dynamic Textile Industries Limited in order to take necessary measures for rectification in annual report and in financial statements	Click to View

July, 2004

Sl.No	Date	Subject	Commission’s Decision
1871	July 14, 2004	Failure to pay off the dividend declared by Anlima Yarn Dyeing Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
1872	July 14, 2004	Failure to pay off the dividend declared by Bangas Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
1873	July 14, 2004	Failure to pay off the dividend declared by Tallu Spinning Mills Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
1874	July 14, 2004	Failure to pay off the dividend declared by Mithun Knitting & Dyeing (CEPZ) Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View

June, 2004

Sl.No	Date	Subject	Commission’s Decision
1875	June 17, 2004	Failure to pay off the dividend declared by Central Insurance Company Limited within 60 days of declaration in terms of the erstwhile CCI’s Notification No. SRO. 385-Law/91 dated 15^th December 1991, being the order made under section 2G of the Securities and Exchange Ordinance, 1969.	Click to View
1876	June 26, 2004	Non payment of client’s money and non delivery of share by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali and Company (DSE Member No. 49)	Click to View

May, 2004

Sl.No	Date	Subject	Commission’s Decision
1877	May 2, 2004	Non holding of annual general meeting by Karim Pipe Mills Ltd.	Click to View
1878	May 23, 2004	Appeal against Commission’s order dated 22/03/2004 imposing panalty of Taka 1.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after the date of the order) on Mr. Khan Mohammad Iqbal, Chairman & Managing Director of Sonali Paper & Board Mills Ltd. for non holding of annual general meeting.	Click to View
1879	May 24, 2004	Alleged trading of Uttara Bank shares by one of the directors of the bank through M/s. Haji Mohammad Ali & Co., DSE membership No. 165 without depositing money etc.	Click to View
1880	May 29, 2004	Non holding of annual general meeting by A. B. Biscuit Company Limited.	Click to View

April, 2004

Sl.No	Date	Subject	Commission’s Decision
1881	April 13, 2004	Monthly Report of April 2004	Click to View

March, 2004

Sl.No	Date	Subject	Commission’s Decision
1882	March 22, 2004	Non holding of annual general meeting by Paragon Leather & Footwear Industries Ltd.	Click to View
1883	March 22, 2004	Non holding of annual general meeting by Sonali Paper & Board Mills Ltd.	Click to View

February, 2004

Sl.No	Date	Subject	Commission’s Decision
1884	February 18, 2004	Alleged contravention of the provisions of regulation 13 of the Settlement of Stock Exchange Transactions Regulations, 1998 of Dhaka Stock Exchange Limited, rule 4 and rule 8 of the Securities and Exchange Rules, 1987, rule 3 (2) of the Margin Rules, 1999, আচরণ বিধি ২ (১) ও ৭ [সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুেমাদিত প্রতিনিধি) বিধিমালা, ২০০০ এর দ্বিতীয় তফসিল এ বিধতৃ ষ্টক ডিলার, ষ্টক ব্রোকারদের আচরণ বিধি] of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (স্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিত প্রতিনিধি) বিধিমালা, ২০০০ by Vanik Bangladesh Securities Ltd., [DSE Member No. 132].	Click to View

January, 2004

Sl.No	Date	Subject	Commission’s Decision
1885	January 1, 2004	Review petition against Commission’s order No. SEC/Enforcement/187/2003-233 dated 20 November 2003 canceling registration certificate of Merchant Bank Prime Securities and Financial Services Limited.	Click to View
1886	January 1, 2004	Non holding of annual general meeting by Rupan Oil & Feeds Ltd.	Click to View
1887	January 22, 2004	Violation of rule 12, Sub-rule (3A), rule 13 of the Securities and Exchange Rules, 1987 (not submitting financial statement for 2000-2001 and half-yearly financial statements for the half-year ended 31 December 2001) by Mona Food Industries Ltd.	Click to View

November, 2003

Sl.No	Date	Subject	Commission’s Decision
1888	November 20, 2003	Non-payment of yearly fee by Merchant Bank Prime Securities and Financial Services Limited.	Click to View

October, 2003

Sl.No	Date	Subject	Commission’s Decision
1889	October 26, 2003	Failure to comply with the condition of the prospectus regarding payment of 15% dividend to the preference shareholders as well as the provision of securities laws regarding payment of dividend by Beach Hatchery Ltd.	Click to View
1890	October 26, 2003	Contravention of the provision of wewa 10 (1) and (2) and wewa 33(1) (O) of the বিধি ৩৩(১) (ঙ) ড় of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (মার্চেন্ট ব্যাংকার ও পোর্টফোলিও ম্যানেজমেন্ট) বিধিমালা, ১৯৯৬ [failure to deposit annual fees in due time] as well as failure to comply with the condition 2, 8 and 13 of the Commission’s letter নিবন্ধন- ১.০৮৮/৯৯-৫২৯ তারিখ ৩১/৮/১৯৯৯ by Merchant Banker Mercantile Securities Ltd.	Click to View
1891	October 26, 2003	Contravention of the provisions of rule 4, sub-rule 1; rule 8, sub-rules, clause (cc) and (CCC) of Securities and Exchange Rules, 1987 and regulation 13 of Settlement of Stock Exchange Transactions Regulation, 1998 by stock dealer Surma Securities Holding Co. Ltd. (DSE Member No. 111).	Click to View
1892	October 28, 2003	It appears from the Commission’s appointed auditor’s [auditor appointed by the Commission under rule 12, sub-rule 3, as amended, of the Securities and Exchange Rules, 1987, to re-audit the financial statements of Bangladesh Dyeing & Finishing Industries Ltd. for the year ending on 31 December 2001] report that the issuer, among others, failed to keep proper books of accounts as per law, preserve appropriate and documentary evidence in support of transactions etc.	Click to View
1893	October 28, 2003	It appears from the Commission’s appointed auditor’s [auditor appointed by the Commission under rule 12, sub-rule 3, as amended, of the Securities and Exchange Rules, 1987, to re-audit the financial statements of Bangladesh Zipper Industries Ltd. for the year ending on 30 June 2001] report, among others, that the issuer - (i) did not maintain proper books of accounts required to reflect its state of affairs and to substantiate its expenditures; (ii) did not produce sufficient and appropriate audit evidence to the auditor for audit; (iii) has suffered huge financial loss due to unexplained bank transactions with its sister concerns and huge quantity of sales to sister concerns etc.	Click to View
1894	October 28, 2003	Alleged contravention of the condition (a) of the Commission’s Notification No. SEC/SRMI/2000-953/1950 dated 24^th October 2000, gazette on 7^th November 2000.	Click to View

September, 2003

Sl.No	Date	Subject	Commission’s Decision
1895	September 1, 2003	Non-rectification of books of accounts of 1998-99 in line with audit report submitted by SEC appointed auditor by M. Hossain Garments Washing and Dying Ltd.	Click to View
1896	September 17, 2003	Violation of Commission’s order No. SEC/Sec-7/99-140 dated 28 April 1999 (non-transfer of lodged share within stipulated time) by United Commercial Bank Ltd.	Click to View
1897	September 17, 2003	Violation of wewa 13 (4) of the সিকিউরিটিজ ও এক্সচেঞ্জ কমিশন (ষ্টক ডিলার, ষ্টক ব্রোকার ও অনুমোদিতি প্রতিনিধি) বিধিমালা, 2000 & condition 10 of the Stock Dealer Registration Certificate (non submission of financial statement) and Section 6(3) of the Securities and Exchange Ordinance, 1969 (Non-response to commission letter) by Chittagong Stock Exchange broker/dealer Raja Securities Ltd. (CSE Member No. 074).	Click to View
1898	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. Siraj Uddin Haider of Usmania Glass sheet Factory Ltd.	Click to View
1899	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. Mohammad Sadek of Usmania Glass sheet Factory Ltd.	Click to View
1900	September 17, 2003	Violation of Commission’s Notification No. SEC/SRMID/ 2000-953/313/Admin-06 dated 25 March 2001 and gazetted on 16 April 2001 (non-submission of written report of buy/sell of share) by Director/Sponsor Mr. M. R. Raskin of Usmania Glass sheet Factory Ltd.	Click to View

August, 2003

Sl.No	Date	Subject	Commission’s Decision
1901	August 4, 2013	Non co-operation with SEC appointed auditor by Bangladesh Luggage Industries Ltd.	Click to View
1902	August 4, 2013	Non-payment of audit bill by M. Hossain Garments Washing and Dying Ltd.	Click to View
1903	August 17, 2013	Violation of license condition No. 11 (for non participation of trading activities during 2001-2002) by Chittagong Stock Exchange broker Unity Shares Trade Ltd. (CSE Member No. 77).	Click to View

July, 2003

Sl.No	Date	Subject	Commission’s Decision
1904	July 1, 2003	Non payment of declared dividend of 2001-2002 by Gachihata Acquaculture Farms Limited within stipulated time.	Click to View
1905	July 1, 2003	Non payment of declared dividend of 2001-2002 by Raspit Data Management & Telecommunication Limited within stipulated time.
1906	July 1, 2003	Appeal against Commission’s order No. SEC/Enforcement/158/2003-75 dated 28 April 2003 (for non-disclosure of Price Sensitive information) imposing Taka one lac penalty on Mr. Md. Rahmatullah, Managing Director of Apex Tannery Ltd.	Click to View
1907	July 3, 2003	Appeal against Commission’s order No. SEC/Enforcement/158/2003-75 dated 28 April 2003 (for non-disclosure of Price Sensitive information) imposing Taka one lac penalty on Mr. Md. Rahmatullah, Managing Director of Apex Tannery Ltd.	Click to View
1908	July 22, 2003	Sale of bonus share of shareholder by Pubali Bank Ltd. violating advise of SEC.	Click to View
1909	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Ekram Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
1910	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Rahat Saleha, Sponsor of Ashraf Textile Mills Limited.	Click to View
1911	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Shamsun Nessa Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
1912	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. M. Ataullah, Sponsor of Ashraf Textile Mills Limited.	Click to View
1913	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Salima Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
1914	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Haider Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
1915	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Asgar Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
1916	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Asgar Ali Mirdha, Sponsor of Ashraf Textile Mills Limited.	Click to View
1917	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Ferdousi Begum, Sponsor of Ashraf Textile Mills Limited.
1918	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Rabeya Akhter, Sponsor of Ashraf Textile Mills Limited.	Click to View
1919	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Umme Homaira, Sponsor of Ashraf Textile Mills Limited.	Click to View
1920	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by theSponsor/Director without prior notification) by Mr. Shafiul Alam, Sponsor of Ashraf Textile Mills Limited.	Click to View
1921	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Hamida Begum, Sponsor of Ashraf Textile Mills Limited.	Click to View
1922	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Ms. Sabrina Akhter, Sponsor of Ashraf Textile Mills Limited	Click to View
1923	July 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001 and gazetted on 16 April 2001 (buy/sell of securities by the Sponsor/Director without prior notification) by Mr. Al-Haj Mohd. Salah Uddin Ahmed, Sponsor of Ashraf Textile Mills Limited.	Click to View

June, 2003

Sl.No	Date	Subject	Commission’s Decision
1924	June 7, 2003	Request to allow two months to comply with Commission’s directive (to deliver shares and to make due payments) dated 24 May 2003 by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali & Co. (DSE Member No. 49).	Click to View
1925	June 18, 2003	Complaints against past & present Management of German Bangla J. V. Food Ltd. for misusing IPO fund.	Click to View

May 2003

Sl.No	Date	Subject	Commission’s Decision
1926	May 12, 2003	Non payment of client’s money and non delivery of share by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali and Company (DSE Member No. 49)	Click to View
1927	May 24, 2003	Violation of Commission’s Notification No. SEC/SRMI/2000-953/1950 dated 24 October 2000 and gezetted on 07/11/2000 and Notification No.GmBwm/ GmAviGgAvBwW/2000-985/2248/cÖ-02/1 ZvwiL 19 wW‡m¤^i 2000Bs gezetted on 25/02/2001 (non-disclosure of price sensitive information) by Padma Cement Ltd	Click to View
1928	May 24, 2003	Violation of rule 11 of the Securities and Exchange Commission (Stock Dealer, Stock Broker & Authorized Representative) Rule, 2000 (violation of code of conduct) by Dhaka Stock Exchange dealer Maitrayee Biswas & Co. (DSE Member No. 14)	Click to View
1929	May 24, 2003	Complaints from the customer for non delivery of shares and non payment of money by Dhaka Stock Exchange dealer Syed Tawfiq Hossain Ali & Co. (DSE Member No. 49).	Click to View

April 2003

Sl.No	Date	Subject
1930	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to buy shares of Highspeed) by Mr. K.M. Mahmudur Rahman, Managing Director Highspeed Shipbuilding & Heavy Engineering Co. Ltd. Letter issued with warning to comply with all securities laws in future.
1931	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to by shares of Samorita Hospital) by Sondhani Credit Co-operative Society Ltd.. Letter issued with warning to comply with all securities laws in future.
1932	April 23, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/313/Admin-06 dated 25^th March 2001, Gazetted on 16^th April 2001 (not submitting report of intention to by shares of Niloy Cement Industries Ltd.) by Mr. Abdul Matlub Ahmed, Managing Director Niloy Cement Industries Ltd. Letter issued with warning to comply with all securities laws in future.
1933	April 23, 2004	Violation of rule 4 and 8 of the Securities and Exchange Rules, 1987 (submitting sell offers of ten clients using same client code) by Dhaka Stock Exchange dealer Globe Securities Ltd. (DSE Member No. 189). Letter issued with warning to comply with all securities laws in future.
1934	April 27, 2003	Violation of rule 12, Sub-rule (3A), Sub-rule 4, Sub-rule 6 of the Securities and Exchange Rules, 1987 (not submitting financial statement for 30^th June 2001 in time) by Tamijuddin Textile Mills Ltd. Letter issued with warning to comply with all securities laws in future.
1935	April 28, 2003	Appeal against Commission’s order dated 17^th June, 2002 imposing penalty of Taka 2.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 60 days) on Mr. Md. Nurul Alam, Ex Director, J. H. Chemical Industries Ltd. Appeal allowed and penalty withdrawn.
1936	April 28, 2003	Violation of Commission’s Notification No. SEC/SRMID/2000-953/1950 dated 24^th October, 2000, Gazetted on 7^th November, 2000 and Notification No, SEC/SRMID/2000-985/2248/Pro-02/1 dated 19^th December 2000, Gazetted on 25^th February 2001 (non disclosure of price sensitive information) by Apex Tannery Limited. Penalty of Taka 1.00 lac imposed on Mr. A. K. M. Rahmatullah, Managing Director of Apex Tannery Ltd.

February 2003

Sl.No

Date

Subject

Commission’s Decision

1937

February 26, 2003

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

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

1938

February 26, 2003

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

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

January 2003

Sl.No	Date	Subject
1939	January 5, 2003	Appeal against Commission’s order dated 23/10/2002 imposing panalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Md. Shariful Islam, Managing Director of Meghna Shrimp Culture Ltd. for non payment of declared dividend. Appeal rejected
1940	January 6, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Estern Insurance Co. Ltd. (CSE Member No. 098). Letter issued with warning to comply with all securities laws in future.
1941	January 8, 2003	Violation of rule 13 of the Securities and Exchange Rules, 1987 (for delayed submission of Half Yearly Accounts) by M. Hossain Garments Washing & Dyeing Ltd. Letter issued with warning to comply with all securities laws in future.
1942	January 8, 2008	Violation of condition (c) of the Commission’s order No. SEC/CFD –71/2001/Admin/02/05 dated 3^rd January 2002 (for non submission of audio visual tape of AGM to the Commission) by Arbee Textiles Ltd. Letter issued with warning to comply with all securities laws in future.
1943	January 8, 2008	Violation of condition (b) of the Commission’s order No. SEC/ SRMID/2000-953/Admin/02/04 dated 10^th October 2002 (appointment of same Auditor for more then three years) by Saleh Carpet Mills Ltd. Letter issued with warning to comply with all securities laws in future.
1944	January 29, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Trendset Securities Ltd. (CSE Member No. 77) Letter issued with warning to comply with all securities laws in future.
1945	January 29, 2003	Violation of license condition No. 11 (for non participation of trading activities during 2001) by Chittagong Stock Exchange dealer Legend Capital Management Ltd. (CSE Member No.109) Letter issued with warning to comply with all securities laws in future.

December 2002

Sl.No

Date

Subject

Commission’s Decision

1946

December 23, 2002

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

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

November 2002

Sl.No

Date

Subject

Commission’s Decision

1947

November 16, 2002

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

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

1948

November 21, 2002

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

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

1949

November 21, 2002

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

October 2002

Sl.No	Date	Subject
1950	October 10, 2002	Violation of Securities and Exchange Rules, 1987 by Dhaka Stock Exchange dealer Doha Securities (DSE Member No. 127)
1951	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Kanchan Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1952	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Kanchan Devi Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1953	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mrs. Vagabati Devi Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1954	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Uttam Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1955	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 15.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. Ashok Kejriwal, Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1956	October 23, 2002	Appeal against Commission’s order dated 19/09/2002 imposing, penalty of Taka 5.00 lacs (and also additional penalty of Taka 10,000 per day if default continuous after 15 days) on Mr. D.N. Kejriwal, Managing Director of Doel Group for non payment of undistributed dividend and due principal and interest of debenture by Bangladesh Dyeing and Finishing Industries Ltd., Bangladesh Zipper Industries Ltd., Bangladesh Chemical Industries Ltd. and Bangladesh Luggage Industries Ltd.
1957	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
1958	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
1959	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
1960	October 23, 2002	Non payment of due principal and interest of debenture of Bangladesh Welding Electrodes Ltd.
1961	October 23, 2002	Non payment of declared dividend of 2001 by Meghna Shrimp Culture Ltd.
1962	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
1963	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
1964	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
1965	October 23, 2002	Non-cooperation by Dhaka Vegetable Oil Industries Ltd. with Commission appointed auditor to audit the company’s financial statement of 1999-2000.
1966	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd.
1967	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd.
1968	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd. Commission’s Decision Penalty of Taka 1.00 lac on Mrs. Rukhsana Sultana, Director, if the company fails to submit audited financial statements to the Commission within next 30 days from the order dated 23/10/2002.
1969	October 23, 2002	Non submission of audited financial statements to the Commission for the year 2000 & 2001 by Pharmaco International Ltd. Penalty of Taka 1.00 lac on Mrs. Rashida Matin, Director, if the company fails to submit audited financial statements to the Commission within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
1970	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 15.00 lacs on Mr. Md. Obaidul Karim, Chairman & Managing Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
1971	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mrs. Arzuda Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
1972	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mr. Salman O. Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.
1973	October 23, 2002	Non holding of annual general meeting for 2001 by Orion Infusion Ltd. Penalty of Taka 3.00 lacs on Mrs. Zarin Karim, Director, if the company fails to hold its annual general meeting within next 30 days from the order dated 23/10/2002. An additional penalty of Taka 10,000 per day will be imposed if the default continues after 30 days.

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