JUL-SEP 2008
JUL-SEP 2008
JUL-SEP 2008
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SEC ENFORCEMENT ACTIONS<br />
During July-September <strong>2008</strong> the following enforcement actions against registered stock-dealers, stock-brokers,<br />
issuer companies and chartered accountants were taken by the Commission for non-compliance of the securities<br />
laws:<br />
Against Issuer Company:<br />
SEC ENFORCEMENT ACTIONS<br />
Violation<br />
Delayed submission of audited financial statement<br />
Failure to submit audited financial statement<br />
Failure to submit the half yearly financial statement<br />
Failure to prepare the half yearly financial statement as per<br />
BAS-34<br />
Correct and full information not reflected in the financials<br />
statements<br />
Non compliance of securities law<br />
Failure to prepare the half yearly financial statement as per<br />
BAS-34<br />
Delayed submission of the audited financial statement<br />
Delayed submission of the annual report<br />
Non compliance of securities law in connection with audited<br />
financial statements<br />
Failure to comply with securities related laws<br />
Failure to submit the half yearly financial statement<br />
Non-compliance of securities law in connection with the<br />
fixing the date of AGM, time and venue, declaring dividend in<br />
the same board of directors meeting<br />
Correct and full information not reflected in the finalcial<br />
statements<br />
No. of Issuer<br />
Companies<br />
1<br />
4<br />
1<br />
1<br />
2<br />
2<br />
2<br />
4<br />
1<br />
7<br />
3<br />
1<br />
1<br />
1<br />
Nature of Action<br />
Penalty<br />
Penalty<br />
Penalty<br />
Penalty<br />
Penalty<br />
Penalty<br />
Warning<br />
Warning<br />
Warning<br />
Warning<br />
Warning<br />
Warning<br />
Warning<br />
Diretive<br />
Securities and Exchange Commission<br />
Bangladesh<br />
19
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