1. PROTECTION OF INVESTORS IN THE CAPITAL MARKET
OF BANGLADESH
(AN EMPIRICAL STUDY ON DHAKA STOCK EXCHANGE
LIMITED AND ITS TREC HOLDERS)
Presented to:
Presented by
Saied Mahmud Zubayer
ID-06, PGDCM 1st Batch
Bangladesh Institute of Capital Market

3. Capital Market

4. Investors ----- Disclosures and
Investor Protection
“Investor” means a customer of a TREC holder of the DSE
placing funds or securities with the TREC holder for carrying out
buy or sale transaction in security listed with DSE/CSE
Dhaka Stock Exchange Limited not only provides an efficient
market but also upholds the interests of the Investors and ensures
settlement of their grievances, whether against the companies or
its trading members
“Investor” means a customer of a TREC holder of the DSE/CSE placing
funds or securities with the TREC holder for carrying out buy or sale
transaction in security listed with DSE/CSE
Dhaka Stock Exchange Limited not only provides an efficient market but
also upholds the interests of the Investors and ensures settlement of
their grievances, whether against the companies or its TREC Holders. It
strives to educate and enlighten the Investors by making available to
them the necessary information

5. Services to Investors

6. Safeguards for Investors
 While Selecting the Broker
 While entering into an Agreement
 While Transacting
 Ensuring Settlement

7. Rights of Investors
 Rights as a Account Holder
 Rights as a shareholder

8. Rights of Investors = Duties and Responsibilities of Investors

9. Duties and Responsibilities of
Investors
 Have to
 Do
 Do not

10. Protection of Investors under Laws
in Capital Market of Bangladesh

11.  Section 20A of Securities and Exchange
Ordinance, 1969
 Rules3(1A), 8A(1)(2) and 8B of Securities and
Exchange Rules, 1987
 Securities and Exchange Commission (Stock
Dealer, Stock Broker and Authorized
Representative), Rules, 2000
 Depository (User) Regulations, 2003
 Regulations 15 and 16 of Dhaka Stock Exchange
(Settlement of Transactions) Regulations, 2013
 Dhaka Stock Exchange (Investors’ Protection
Fund Regulations), 2014

12. Protection of interest of Investors
by DSE
 DSE established Inventors Complaints, Arbitration and
Litigation Department (ICALD) to look after the
interest of investor in compliance with securities
related laws. Monitoring and Compliance department
is also working to ensure proper compliance of
securities related laws by the TREC holder companies
of the Dhaka Stock Exchange Limited in line with the
protection of interest of investors. Inventors
Complaints, Arbitration and Litigation Department
(ICALD) and Monitoring and Compliance department
checks and examines the securities and monies of
investors in the member companies to ensure the
rights of the investors.

13. Process of solving Investors’
grievances
 Complaints against TREC Holder
Companies (Stock Brokers)
 Complaint against Listed companies:

14. Process of solving Investors’
grievances
 Arbitration
 Arbitration Procedure
 Appeal

15. Dhaka Stock Exchange (Investors’ Protection
Fund Regulations), 2014
 Purpose of the Fund
 Lodging of claims and payment against
claims
 Circumstances for considering claims
 Certain claims to be disallowed
 Time limit for lodging claims
 Sources of Contribution of Investor Protection

16. Investors Awareness, Education and
Protection

17. CHALLENGES TO INVESTOR
PROTECTION

18. Conclusion
 What have we learned ?