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Special Monitoring

Monitoring department conducts special monitoring in brokerage house according to BSEC order
through their inspection report. The procedure is as same as general monitoring. Dhaka Stock
Exchange acts as guardian of member companies and as guardian, it always tries to keep member
houses on the track. Monitoring department of DSE conducts monitoring in few houses by rotation
in each month and sends at least five reports to Bangladesh Securities and Exchange Commission
(BSEC). Beyond this conventional report, BSEC conducts monitoring on some houses randomly. If
BSEC finds any irregularity then it sends a directive report to DSE monitoring department to
conduct further monitoring to recheck missing points. Such type of monitoring is called special
monitoring. Some other special monitoring that is conducted includes:

TWS set up monitoring: Monitoring department inspects the set up of TWS according
to TWS installation and user manual.

Room verification: Monitoring department inspects brokerage house office premises

whether they are properly decorated and suitable for business.

DP Monitoring: Monitoring Department inspects DP activities of the brokerage house

regarding their pay in, pay out, and other activities as DP.