Term Paper

Topics: Stock market, Stock, Stock exchange Pages: 9 (1913 words) Published: June 4, 2013
Premier University
Assignment On:

“Securities & Exchange Commission in Bangladesh”.

Submitted To:

Submitted By:

Date of Submission: 5th May 2013

Letter of Submission

May 05, 2013
The Supervisor
Mr. Emon Kalyan Chowdhury
Faculty of Business Studies
Premier University, Chittagong.
Subject: Submission of assignment on ‘‘Securities & Exchange Commission in Bangladesh’’.


I have the gratification to inform you that I have accomplished my Assignment at ‘‘Securities & Exchange Commission in Bangladesh’’. I have tried my best to furnish the assignment with relevant data, which I have collected during my study. I shall be glad if you kindly accept this assignment, and I am ready to explain anything to you if you feel necessary.

Thanking you
Yours Faithfully

Md. Rashedul Islam
Student ID# 120152800967
MBA (1 Year)
1st Semester
Premier University, Chittagong.


It really was a great challenge for us to prepare the assignment. First of all, we present our due regards to the almighty, who has provided us the brilliant opportunity to build and complete this assignment successfully with good health & sound mind.

Our course instructor , “Mr. Emon Kalyan Chowdhury”, Dean of Faculties, Faculty of business studies, premier University helped us all the way through. He also gave proper guideline about this assignment and also by not getting irritated with our unlimited questions. We really want to express our gratitude to him for giving valuable advice and time, which helped immensely in preparing this assignment.

Securities and Exchange Commission:
The Bangladesh Securities and Exchange Commission (BSEC) was established on 8th June, 1993.  Earlier its name was Securities and Exchange Commission. Through an amendment of the Securities and Exchange Commission Act, 1993, on 10 December 2012, its name has been changed as Bangladesh Securities and Exchange Commission.  The Chairman and Commissioners of the Commission are appointed by the government and have overall responsibility to formulate securities legislation and administer as well. The Commission is a statutory body and attached to the Ministry of Finance. 

 Mission of the SEC is to:
• Protect the interests of securities investors.
• Develop and maintain fair, transparent and efficient securities markets.  • Ensure proper issuance of securities and compliance with securities laws.  
The Commission's main functions are:
• Regulating the business of the Stock Exchanges or any other securities market. • Registering and regulating the business of stock-brokers, sub-brokers, share transfer agents, merchant bankers and managers of   issues, trustee of trust deeds, registrar of an issue, underwriters, portfolio managers, investment advisers and other intermediaries in the securities market • Registering, monitoring and regulating of collective investment scheme including all forms of mutual funds. • Monitoring and regulating all authorized self regulatory organizations in the securities market. • Prohibiting fraudulent and unfair trade practices relating to securities trading in any securities market. • Promoting investors’ education and providing training for intermediaries of the securities market. • Prohibiting insider trading in securities.

• Regulating the substantial acquisition of shares and take-over of companies. • Undertaking investigation and inspection, inquiries and audit of any issuer or dealer of securities, the Stock Exchanges and   intermediaries and any self regulatory organization in the securities market. • Conducting research and publishing information.                          

Investment in Stock Exchanges:

|What is stock market?...
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