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:

Name Designation  E-mail Address Telephone Number
Mr. Md. Anowarul Islam Executive Director maislam@sec.gov.bd +88-02-55007142
Mr. Md. Monsur Rahman Director  monsur@sec.gov.bd +88-02-55007118
Mr. Mohammad Golam Kibria Additional Director kibria@sec.gov.bd +88-02-55007157
Mr. Abul Kalam Azad Additional Director akazad@sec.gov.bd +88-02-55007158
 Ms. Anu Dey Joint Director  anu@sec.gov.bd +88-02-55007131-2 Ext-1326
Mr. Md. Abdus Salim Deputy Director  salim@sec.gov.bd  
Mr. Mohammad Emdadul Haque Deputy Director  emdad@sec.gov.bd +88-02-55007131-2 Ext-1415
Mr. Md. Tahazzad Hossain  Assistant Director shaheen@sec.gov.bd  
MS. Nuzhat Khadiza Mim Assistant Director nuzhatmim@sec.gov.bd  
Mr. Md. Maruf Hassan Assistant Director maruf@sec.gov.bd  
Mr. Amit Kumar Saha Assistant Director amit@sec.gov.bd  
Mr. Md. Motiur Rahman Assistant Director motiur.ib@sec.gov.bd  
Ms. Maksuda Mila Assistant Director maksuda.mila@sec.gov.bd  
Mr. Ali-Ahsan Assistant Director ahsan@sec.gov.bd  
Mr. Md. Sazzad Hossain Assistant Director sazzad@sec.gov.bd