Supervision & Regulation of Intermediaries (SRI) Department

SRI department deals with the compliance issues of all securities laws applicable for Market Intermediaries (MI) as well as policy matters and initiatives relating to issuance of required directive/guideline to protect the interest of the investors, structural capacity building and operational growth of them (MI). Intermediaries of the Capital Market are Stock Brokers, Stock-Dealers, Depository Participants, Merchant Bankers (MB), Asset Management Companies, Credit Rating Companies, Securities Custodians, Market Makers, Security lenders and Borrowers, Fund Managers etc.

Major Functions of SRI Department:

  • Supervise the activities of MI.
  • Conduct following Inspections:

      -Monthly (regular)

     -Special

                -Offsite

  • Conduct Enquiry/Investigation.
  • Entertain Complaints.
  • Conduct meetings with MI on different issues.
  • Prepare periodical reports relating to functional activities of MI.
  • Issue circulars/directives/guidelines to protect the interest of the investors.
  • Adopt policies to regulate business of MI.
  • Approves the appointment of Managing Director/CEO of Merchant Bankers.
  • Conduct training programs to enhance capacity of the employees of MI.
  • Co-ordinate and correspond with following government agencies: 

             -Bangladesh Bank.

            -Anti Corruption Commission.

            -National Board of Revenue.

            -Others.

The department is headed by Mr. Md. Anowarul Islam, Executive Director 

Officers of the Supervision & Regulation of Intermediaries (SRI) Department:

Executive Director:    
Mr. Md. Anowarul Islam Executive Director   
     
Director:
Mr. Md. Monsur Rahman Director   
     
Additional Director:
Mr. Md. Kawsar Ali Additional Director   
Mr. Abul Kalam Azad Additional Director  
     
Joint Director:    
Mr. Mohammad Rakibur Rahman Joint Director   
Ms. Anu Dey Joint Director   
 
Deputy Director:
Mr. Mohammad Emdadul Haque Deputy Director   
     
Assistant Director:    
Mr. Md. Tahazzad Hossain  Assistant Director  
MS. Nuzhat Khadiza Mim Assistant Director  
Mr. Md. Maruf Hassan Assistant Director  
Mr. Amit Kumar Saha Assistant Director  
Mr. Md. Ashraful Hasan Assistant Director  
Ms. Maksuda Mila Assistant Director  
Mr. Ali-Ahsan Assistant Director