JUL-SEP 2008
JUL-SEP 2008
JUL-SEP 2008
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Against Chartered Accountant Firm:<br />
Violation<br />
Failure to submit qualified audit report of the issuer.<br />
Failure to comply with securities related laws regarding<br />
financial statements of the issuers.<br />
No. of Chartered<br />
Accountant Firm:<br />
1<br />
3<br />
Nature of Action<br />
Penalty<br />
Warning<br />
Against Stock Broker:<br />
Violation<br />
Doing Short-Sale for its cliants<br />
Non compliance of securities law<br />
No. of<br />
Stock broker<br />
1<br />
1<br />
Nature of Action<br />
Penalty<br />
Warning<br />
Against Depository Participants:<br />
Violation<br />
Failure to comply with securities related laws.<br />
No. of Depository<br />
Participants<br />
5<br />
Nature of Action<br />
Warning<br />
20<br />
Securities and Exchange Commission<br />
Bangladesh
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