Securities and Exchange Commission of Pakistan — Judgments of 2011
44 reported judgments of the Securities and Exchange Commission of Pakistan from 2011.
- INVESTEC MUTUAL FUND LTD. 2011 CLD 4
Sections 305, 309 (c), 158, 233 and 245 of the Non-Banking Finance Companies (Establishment and Regulation) Rules, 2003, RR 37, 38, 39 and 40 against the various provisions of the Summit Regulatory Fr…
- SALMAN MAJEED SECURITIES (S. M. C. PRIVATE) LIMITED 2011 CLD 256
The 8th, 12th and 3rd Schedule movement of sub-account holders 'securities from the central account to the home account moved the company from the central account to the CDC sub-account holders' secur…
- SHOW-CAUSE NOTICE ISSUED TO IRFAN ASLAM 2011 CLD 317
Section 15 The sale and purchase transaction internally through the stock exchange, both textile mills and cotton mills, in the present case, the public limited companies were listed on the stock exch…
- SHOW-CAUSE NOTICE ISSUE TO FAIRTRADE CAPITAL SECURITIES (PRIVATE) LIMITED 2011 CLD 345
Section 5A and 22 Brokers and Agents Registration Rules 2001, Code of Conduct 12 and Third Schedule Penalty After examining Karachi Automated Trading System (KATS) data, it noted It was reported that …
- SHOW-CAUSE NOTICE ISSUED TO SALMAN MAJEED SECURITIES (SMC-PRIVATE) LIMITED 2011 CLD 367
8, 12 and Third Schedule The Company's account from the securities' central account related to CDC sub-account holders regarding the implementation of misleading and inaccurate information regarding t…
- ZAHIDJEE TEXTILE MILLS LIMITED 2011 CLD 383
Misrepresentation of Sections 492, 472 and 476 of the Company's annual audited accounts for the corresponding year revealed that the Company's accounts disclosed receivables against the settlement of …
- SHOW-CAUSE NOTICE ISSUE TO ELAHI COTTON MILLS LIMITED 2011 CLD 537
Sections 4, 5, 25 and 26 Acquire substantial share of the company Increase the shareholding holding of the voting share of the company by 25%, the noncompliance of the commission directive information…
- BAWANY AIR PRODUCTS LIMITED 2011 CLD 571
Section 15A&15E (3) Inbound Trading Prohibited on Stock Exchange Deals Insider Trading Respondent, who was the Chief Executive and Public Limited Company Director A Director, was listed on the Karachi…
- EAST WEST INSURANCE COMPANY LIMITED 2011 CLD 580
Failure to meet the standards of sections 11 (1) (f), 12, 59A (1) and 156 sound and deft management impose penalties during the insurance company's site inspection It is noted that any policy, The com…
- PATTOKI SUGAR MILLS LIMITED 2011 CLD 589
Section 15A & 15B Fine Insider Trading Practices Internal Fines For the relevant period on the Karachi Stock Exchange trading data, it has been observed that the Company's share price has seen a sudde…
- PAKISTAN SUGAR MILLS ASSOCIATION 2011 CLD 599
Sections 173, 476 and 492, without summoning and making false statements, approving the resolution, the Supreme Court, in its order, directed the Securities and Exchange Commission to investigate the …
- J.K. SPINNING MILLS LIMITED 2011 CLD 614
Sections 208, 473 and 476 Investments in affiliated company without the approval and approval of the shareholders were acting as financier in the respective company and transferred the funds of the pu…
- INDUS FRUIT PRODUCTS LIMITED 2011 CLD 624
Failure to hold an annual general meeting of a penal company requiring its annual general meeting within the stipulated period under section 158 (1) of the Ordinance, 1984, of the Articles 158 and 476…
- EAST WEST INSURANCE COMPANY LIMITED 2011 CLD 627
Sections 11 (1) (d), 41 (1), 59A (i) and 156 require insurance arrangements and the need to maintain insurance insurance arrangements apply the default penalty applicable executive order On the inspec…
- PAK PANTHER SPINNING MILLS LIMITED 2011 CLD 634
Applicants for transfer of shares, 76, 77 for, such 78 and 78 A petition denied the transfer appellant who purchased the shares in payment of US $, requesting the Registrar that the company To direct …
- MUHAMMAD LATIF AND MUHAMMAD INAM 2011 CLD 640
Section 2 (CD), 3 (1), 20 and 22 standard contract list / transaction involving the firm's partners, filing a complaint against the registered firm's partners / found involved in the standard contract…
- INDUS FRUIT PRODUCTS LIMITED 2011 CLD 645
Failure to hold the Company's Annual General Meeting of the Fines in Sections 158, 170, 171 and 476, which required its annual general meeting to be held within the stipulated period for the relevant …
- RECOVERY OF TENDERABLE GAIN 2011 CLD 872
Section 224 Companies (General Provisions and Forms) Rules, 1985, R 16 Purchase and sale transactions by the director of the company, the tender profits obtained by such transactions failed, the benef…
- ADAM SECURITIES (PVT.) LIMITED 2011 CLD 1043
The sale and sale of shares in violation of Section 5A&22 Rules and regulations are repeatedly sold to the Company's Director-imposed fines in such a way that the purchase and sale orders are consiste…
- SALMAN ALI HUSSAIN v. DIRECTOR (SMD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1073
Section 224 Securities and Exchange Commission of Pakistan Act (XLII of 1997), Section 33 The incorporation of a company officer into insider trading penalty Enforcement of a penal appellant, employed…
- GHULAM MUHAMMAD, CHIEF EXECUTIVE OFFICER AND DIRECTOR OF EXCEL INSURANCE COMPANY LIMITED 2011 CLD 1085
Sections 15A&15E illegally sells shares in their personal account through the director The director and a chief executive officer of the unofficial company, started buying shares of other companies on…
- PEARL CAPITAL MANAGEMENT (PVT.) LIMITED 2011 CLD 1111
Third Schedule Rules for Short Sale Under Section 22 Brokers and Agents Registration Rules, 2001, Ready Market, 2002, CLS 2 (a), 5 (b) and 8 (i) Pre-existing Interest Selling shares without violating …
- HASHMI CAN COMPANY LIMITED v. DIRECTOR (ENFORCEMENT) SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1141
Sections 227 and 472 Securities and Exchange Commission of Pakistan Act (XLI of 1997), Section 33 Provident Fund Payment Failure to submit payment due against Provident Fund, was not paid by the Compa…
- YOUNUS DAWOOD (CHIEF EXECUTIVE) v. DIRECTOR (ENFORCEMENT) /ADDITIONAL REGISTRAR OF COMPANIES, SECURITIES AND EXCHANGE COMMISSION OF PAK 2011 CLD 1149
Sections 208, 476 and 160 (I) (b) Securities and Exchange Commission of Pakistan Act (XLII of 1997), Section 33 Section RO 865 (I) / 2000 dated 6000000 and prior approval of shareholders in 12 compani…
- INTERMARKET SECURITIES LIMITED 2011 CLD 1163
Broker Rules 2001, RR 8, 12 and Third Regulations Code, Cls A 2 and A 5 Implementation of a penal company which was a member of the stock exchange and registered with, without pre-interest in the shar…
- Syed MAJEEDULLAH I-IUSSAINI, CEO v. DIRECTOR (NBFCD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1174
Section 224 Moderba Companies and Moderba (Floating and Control) Ordinance (XXI of 1980), Section 11 and 32 Moderba Rules, 1981, and Rules for Moderba Rules, 1981, R10 Moderba, by Reglan 7 (3) Company…
- SHOW CAUSE NOTICE NO. S.M.(B.O.)C.O.222/1(150)11 2011 CLD 1181
Failure to file a beneficial ownership return on the fixed forms of Sections 222 (2) (b) and 224 (4), within a fixed period, which holds more than ten percent of the securities of the bank issuing com…
- KHUSHI MUHAMMAD, CHIEF EXECUTIVE OFFICER OF ADAM JEE PLASTIC INDUSTRIES (PVT.) LIMITED v. JOINT REGISTRAR OF COMPANIES (CRO, FAISALABAD) 2011 CLD 1192
Sections 37 and 38 of the Securities and Exchange Commission of Pakistan Act (XLI of 1997), section 33 filed a petition for revocation of the company name certificate in connection with the certificat…
- AZGARD NINE LIMITED v. DIRECTOR (ENFORCEMENT), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1211
Charges for exchange / exchange of shares in the name of the complainant against the issuance of counterfeit certificates of Section 75 Securities and Exchange Commission of Pakistan Act (XLII of 1987…
- FAROOQ HASSAN, EXECUTIVE DIRECTOR (MANAGEMENT ASSOCIATION OF PAKISTAN) v. DIRECTOR (CL) 2011 CLD 1228
Sections 42, 476 and 506 (2) of the Companies (General Provisions and Forms) Rules, 1985, Section 6 and 35 of the Securities and Exchange Commission of Pakistan Act (XLII of 1997), Section 33 of the A…
- VAZIR ALI F. MUHAMMAD, CHIEF EXECUTIVE (FORMER) v. DIRECTOR (ENFORCEMENT)/ADDITIONAL REGISTRAR OF COMPANIES 2011 CLD 1249
Section 3 (A) and 237 Securities and Exchange Commission of Pakistan Act (XLI of 1997), Section 33 Failure to prepare and link its financial statements to the Company, financing the Group's consolidat…
- Agha FAQUIR MUHAMMAD v. REGISTRAR OF COMPANIES 2011 CLD 1268
Sections 37 and 42 Securities and Exchange Commission of Pakistan Act (XLII of 1997), Section 33 refuses to register company name Appeal against the Appellant, 1984, Appeal for Achievement of Name of …
- EAST WEST INSURANCE COMPANY LIMITED v. EXECUTIVE DIRECTOR (INSURANCE), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1402
Sections 20 (4) (R) and 33 Insurance Ordinances (2000 XXIIX of 2000), Sections 2 (XXV), (ii), 11 (1) (D), 41 59A and 156 are the same. Issuing Different Policies on Risk Different policies were issued…
- TAHIR HASSAN v. EXECUTIVE DIRECTOR (E & M), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1425
Sections 245 and 196 Securities and Exchange Commission of Pakistan (Appellate Bench Procedure) Rules, 2003, R3 Securities and Exchange Commission of Pakistan Act (XLII of 1997), Section 33 Half yearl…
- ZAFAR MOTI CAPITAL SECURITIES (PVT.) LIMITED v. DIRECTOR (SMD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1457
Sections 33 and 43 (b) of the Securities and Exchange Ordinance (XVII of 1969), Section 22 Brokers and Agents Registration Rules, 2001, Third Schedule, Cls A (2) and A (5) for sale by Company shopping…
- MUHAMMAD HANIF Y. BAWANY v. DIRECTOR (SMD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1479
Section 33 Securities and Exchange Ordinance (XVII of 1969), Sections 15A, 15B, 15C&15E Company Insider Trading Chief Executive Officer, who attended the meeting of the Company's Board of Directors, w…
- JAWAD AHMED, TREASURY MANAGER, TREET CORPORATION LIMITED 2011 CLD 1504
Internal Trade Board Insider Information Tees relating to the shares of the Board of Trustees of the Company's Funds, certain powers have been assigned to the Investment Advisory Committee, the Commit…
- FAROOQ IBRAHIM v. EXECUTIVE DIRECTOR (CLD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1536
Section 245 of the Securities and Exchange Commission of Pakistan Act (XLII of 1997), the quarterly account submission with a delay of 22 months to section 33, claimed that the company's filing of the…
- MUHAMMAD ASHRAF KHAN v. EXECUTIVE DIRECTOR (CLD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1546
Sections 245 and 453 of the Securities and Exchange Commission of Pakistan Act (XLI of 1997), Section 33 of the Jammu and Kashmir Interim Constitution Act (VIII of 1974), Section 31 (2) (a), Third Sch…
- ADAM SECURITIES (PVT.) LIMITED v. DIRECTOR (SMD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1560
Section 33 Securities and Exchange Ordinance (XVII of 1969), Section 5A & 22 Brokers and Agents Registration Rules, 2001, R12 and Third Schedule Wash Trades Karachi Auto Exchange Trading System (KATS)…
- MRA SECURITIES (PVT.) LIMITED v. DIRECTOR (SMD), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2011 CLD 1619
Sections 33 and 43 (b) Securities and Exchange Ordinance (XVII of 1969), Sections 5A & 22 Brokers and Agents Registration Rules, 2001, RR 8, 12 and Third Schedule Short Sale for Ready Market Regulatio…
- SHOW CAUSE NOTICE ISSUED TO MUHAMMAD ATIF MALIK 2011 CLD 1633
Section 15E (3) was a corporate member of the Insider Trading Company Stock Exchange and worked with the Company as a potential Vice President and Head of International Sales, as part of its employmen…
- TRG PAKISTAN LIMITED 2011 CLD 1647
Sections 158, 233, 282, M & 476 Non-Banking Finance Companies (Establishment and Regulations) Rules, 2003, R7 (1) (DB) Failure to hold annual general meeting and present annual account and balance she…
- AL-HAMRA HILLS (PRIVATE) LIMITED 2011 CLD 1783
Approval for Issuance of Shares on Exemptions of Securities and Exchange Commission Sections 82, 84, 86, 196, 476 and 492 Filed by the Company, Request for Commission Approval for Issuance of Shares, …
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