Securities and Exchange Commission of Pakistan — Judgments of 2015
31 reported judgments of the Securities and Exchange Commission of Pakistan from 2015.
- PAK KUWAIT TAKAFUL COMPANY LIMITED 2015 CLD 345
Sections 174, 186, 187 (h), 188, 189 and 209 (2) Appointment of Directors of a Company Each private company shall have, under the provisions of section 11 provisions, no less than two directors, and e…
- Col. (R) ASGHAR ALI MALIK, CHIEF EXECUTIVE OFFICER v. HEAD OF DEPARTMENT (ENFORCEMENT) SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2015 CLD 385
Sections 231, 476 and 492 of the Securities and Exchange Commission of Pakistan Act (XLI of 1997), making false statements of section 33, reveal that the Company's annual audit accounts for the corres…
- D.J.M. SECURITIES (PVT.) LIMITED 2015 CLD 433
Section 6 and 22 Brokers and Agents Registration Regulations 2001, R8 Stock Exchange Members (Inspection Books and Records) Regulations 2001, Rr 3 and 4 Failure to provide the required information, in…
- RAHMAN SARFRAZ RAHIM IQBAL RAFIQ, CHARTERED ACCOUNTANTS 2015 CLD 447
Regulation of Sections 6 and 22 Stock Exchange (Inspection of Books and Records) Rules, 2001, Rr 3 and 4 Securities and Exchange Rules, 1971, on the basis of the inspection report of the \ Net Capital…
- INTERMARKET SECURITIES LIMITED 2015 CLD 472
Section 6 and 22 Brokers and Agents Registration Rules, 2001, R 8 Stock Exchange Members (Inspection Books and Records), 2001, Rr 3, 4 and 7 Securities and Exchange Rules, 1971, Third Schedule Broker …
- MUSSAID HANIF, CHIEF EXECUTIVE v. HEAD OF DEPARTMENT (ENFORCEMENT), SECP 2015 CLD 491
Sections 492 and 476 of the Securities and Exchange Commission of Pakistan Act (XLI of 1997), the payment of profit to Section 33 shareholders, the ban on the issuance of Mains Re said the proposed di…
- ASIM IFTIKHAR (PARTNER, ANJUM ASIM SHAHID REHMAN, CHARTERED ACCOUNTANTS) v. ALI AZEEM IKRAM, HOD, SECP 2015 CLD 503
Sections 255 and 260 of the Securities and Exchange Commission of Pakistan Act (XLI of 1997), failure of section 33 auditors to bring forward material facts related to the matters of the Company Chart…
- WASI SECURITIES (SMC-PRIVATE) LTD. v. CHAIRMAN, SECP 2015 CLD 521
Illegal withdrawal of shares of Sections 33 Securities and Exchange Ordinance (XVII of 1969), Sections 21 and 22 General Regulations, Reglns 2 (a) (1) (d), 2 (a) (1) (i) and 36 (c) Appellant's failure…
- KHALID JAVED SECURITIES PRIVATE LIMITED v. AKIF SAEED 2015 CLD 562
Sections 305 and 309 Securities and Exchange Commission of Pakistan Act (XLI of 1997), Sections 33, Securities and Exchange Ordinance (XVII of 1969), Sections 18, 21 and 22 terminate the Company and c…
- PAK QATAR FAMILY TAKAFUL LIMITED 2015 CLD 582
Sections 18, 21 (5) and 156 of the capital contributions by the shareholders ut legal term fund, distribution of the participant's income account statement ?? 10,000 of the sufficient funds for the re…
- B&B SECURITIES (PRIVATE) LIMITED 2015 CLD 612
Sections 6 and 22 Brokers and Agents Registration Rules, 2001, R8 Central Depository Act (XIX of 1997), Members of the Section 28 Stock Exchange (Inspection of Books and Records) Rules, 2001, RR 3, 4 …
- SHAHEEN INSURANCE COMPANY LIMITED 2015 CLD 621
Failure to appoint section 204A (1) and 498 full time secretary company, being a publicly listed company, was required under section 204A (1) of the Companies Ordinance 1984 that the full time secreta…
- KHAWAJA MUHAMMAD IQBAL, DIRECTOR/CHIEF EXECUTIVE OFFICER OF MAHMOOD TEXTILE MILLS LIMITED 2015 CLD 634
Delays in retiring beneficial ownership of Sections 222 and 224 (4) of the broker / company director, who were required to report beneficial ownership changes on Form 32 within the period set out unde…
- PAKISTAN GENERAL INSURANCE COMPANY LIMITED 2015 CLD 649
Failure to submit the legal minimum amount of Sections 11 (1) (b), 29, 63 (1) and 157, the Company has no right to maintain its legal deposit level in accordance with the provisions of Section 29 and …
- DARSON SECURITIES (PVT.) LIMITED 2015 CLD 683
Section 6 and 22 Brokers and Agents Registration Rules, 2001, R8 Securities and Exchange Rules, 1971, R8 and Third Schedule Stock Exchange Member (Inspection Books and Records) 2001, Rr 3, 4 and 7 in …
- ACE SECURITIES (PVT.) LIMITED 2015 CLD 701
Sections 6 and 22 Securities and Exchange Rules, 1971, Third Schedule Brokers and Agents Registration Rules, 2001, R8 Stock Exchange Members (Inspection of Books and Records) Rules, 2001, Rr 3, 4 and …
- CREATIVE CAPITAL SECURITIES (PVT.) LIMITED 2015 CLD 738
Sections 6 (1) and 22 Registration Rules of Brokers and Agents, 2001, R8 Stock Exchange Members (Inspection of Books and Records) Rules, 2001, Rr 3, 4 and 7 of the Net Capital Balance (NCB) inspection…
- The UNIVERSAL INSURANCE COMPANY LIMITED 2015 CLD 754
After adjusting its outstanding commissions from Sections 99 (4) and 156, the company was admitted by the insurance agent to the premium and by default of section 99 (4) of the Insurance Ordinance 200…
- GHANI OSMAN SECURITIES (PVT.) LIMITED AND HAJI GHANI OSMAN IN HIS CAPACITY AS CHAIRMAN HUM SECURITIE 2015 CLD 768
Section 22 Brokers and Agents Registration Rules, 2001, R 8 In order to resolve these claims and objections of the investors, the suspension of the registration of the company in order to resolve the …
- INDUS MOTOR COMPANY LIMITED 2015 CLD 795
Sections 2 (1) (2), 3 (3) (A), 30 and 37 The dominant position, the misuse of the Inquiry Committee, which was constituted, submitted its inquiry report, stating that the Company Much of the market is…
- APEX CAPITAL SECURITIES (PVT.) LTD. 2015 CLD 810
Sections 6 and 22 of the Central Depository Act (XIX of 1997), Section 24 and 28 of the Stock Exchange Members (Inspection of Boxes and Records) Rules, 2001, Section 3 and 4 of the Securities and Exch…
- MANSOOR ASLAM SERAJ SALEEM SHAHID, CHARTERED ACCOUNTANTS 2015 CLD 822
Sections 6 and 22 are members of the Stock Exchange (Inspection of Books and Records) Rules, 2001, Rr 3 and 4 Securities and Exchange Rules, 1971, R2 (D) and the third Schedule Regulations governing e…
- NATIONAL ASSET MANAGEMENT COMPANY LIMITED v. SHAHID NASEEM, EXECUTIVE DIRECTOR, SPECIALIZED COMPANIES DIVISION, SECURITIES AND EXCHANGE COMMISSIO 2015 CLD 910
Section 33 Ordinance of Companies (XLVII of 1984), Section 282J (1), 282J (2), 282D, 282M (1) Non Banking Finance Companies (Establishment and Regulation) Rules, 2003, RR 5 and 7 (3) NE Regulations, 2…
- S. Z. SECURITIES (PRIVATE) LIMITED 2015 CLD 927
Complaint against the broker company alleging the transfer of shares from house to account in section 24 and 28 of the Central Depositories Act (XIX of 1997), sections 24 and 28, provided that the com…
- SHAHEEN INSURANCE COMPANY LIMITED v. DIRECTOR (INSURANCE), SECURITIES AND EXCHANGE COMMISSION OF PAKISTAN 2015 CLD 967
Failure to meet the requirements of Section 33 Insurance Ordinance (2000x3000 of 2000), Sections 11 (1) (e), 36, 63 and 156 of the minimum solicitation revealed that the insurance company's penalty po…
- ASKARI GENERAL INSURANCE COMPANY LTD. v. EXECUTIVE DIRECTOR (INSURANCE) 2015 CLD 976
Section 33 Insurance Ordinance (2000 X Constitution of 2000), Sections 156, 165 and 166 Insurance Rules, 2002, R23 ??? Issuance of an Objection Certificate for Pak Air Craft Insurance \ Issuance of an…
- HABIB AHMAD v. DIRECTOR (ENFORCEMENT) 2015 CLD 1098
Sections 2 (2) (i) (ii), 208 and 476 Securities and Exchange Commission of Pakistan Act (XLI of 1997), Section 33 examined the investment and annual audited accounts of related companies, showing that…
- HAROON ZAKARIA AND COMPANY CHARTERED ACCOUNTANTS 2015 CLD 1112
Sections 6, 18 and 22 Members of the Stock Exchange (Inspection of Books and Records) Rules, 2001, Rr 3 and 4 Securities and Exchange Rules, 1971, Third Schedule Irregularities in the calculation of T…
- HIGHLINK CAPITAL (PVT.) LIMITED 2015 CLD 1172
Article 18 and 22 Securities and Exchange Rules, 1971, R4 (4) Unauthorized Trading Company by Broker Company Since the opening of its account in the prima facie this particular month, no trading has b…
- DIYANAH ISLAMIC FINANCIAL SERVICES (PVT.) LTD. 2015 CLD 1200
R 5 (4) (5) Renewal of Registration Certificate as a Broker Company prayed for the renewal of the Registration Certificate because the Company had control of a person who was regulated by the Brokers …
- LIVE SECURITIES LIMITED 2015 CLD 1285
Section 6 and 22 members of the Stock Exchange (Inspection Books and Records) Rules, 2001, 3 and 4 books must maintain the company's violation regarding the inspection and record maintained net capita…
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