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. Farhad Ahmed, Executive Director.

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