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)



  • 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.


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

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

Executive Director:    
Mr. Md. Anowarul Islam Executive Director (General)  
Mr. Md. Monsur Rahman Director (General)  
Additional Director:
Mr. Md. Kawsar Ali Additional Director (General)  
Mr. Abul Kalam Azad Additional Director (General)  
Joint Director    
Mr. Mohammad Rakibur Rahman Joint Director (General)  
Ms. Anu Dey Joint Director (General)  
Deputy Director:
Mr. Mohammad Emdadul Haque Deputy Director (General)