JUL-SEP 2008

SEC SURVEILLANCE
Daily Market Surveillance:
The main tasks of Surveillance Department is to watch/monitor and analyze the trading activities of both stock
exchanges through non-trading on-line surveillance system. The Department surveils the trade and reports about
unusual trading to the authority on daily, weekly and monthly basis.
Investigation and Enquiry:
The Commission conducts inspection and investigation on the affairs of issuers, exchanges and intermediaries to
ensure integrity of the market system. During the period the following companies/stock-brokers/stock-dealers
activities have been investigated:
Nature of Enquiry & Investigation
Unusual, manipulative and suspicious shares trading of
Keya Cosmetics Limited through spreading rumor.
Customer complaints regarding defalcation of deposited
securities.
Customer complaints concerning fake BO Accounts with
fake Bank Accounts in different names.
Investigation & Enquiry Against
Keya Cosmetics Limited (Issuer)
Lanka Bangla Finance Ltd. (Issuer, Merchant
Banker & Portfolio Manager)
MAH Securities Ltd. (Member of DSE)
Premier Bank Ltd.(Issuer)
Moshihor Securities Ltd. (Member of DSE)
Regular Inspection:
As part of regular monthly inspection, SEC's inspection team visited and inspected the affairs of following
intermediaries during the period:
Nature of Inspection
Monthly regular inspection: July 2008
Monthly regular inspection: August 2008
Monthly regular inspection: September 2008
Inspection Against
Alpha Equities Ltd. (DSE Membership # 56)
IDLC Securities Ltd. (CSE Membership # 119)
ALOCO (DSE Membership # 139)
Norban Securities Ltd. (CSE Membership # 99)
United Financial Trading Co. Ltd. (DSE Membership # 227)
Lanka Bangla Securities Ltd. (CSE Membership # 91)
10
Securities and Exchange Commission
Bangladesh