| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,15,051
28-DEC-2015
|
|
| 42 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,24,126
10-MAR-2016
|
|
| 43 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,93,54,241
07-APR-2016
|
|
| 44 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY DIVIDEND
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.26,400
28-APR-2016
|
|
| 45 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.14,72,642
30-APR-2016
|
|
| 46 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,18,421
04-MAY-2016
|
|
| 47 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,55,089
04-MAY-2016
|
|
| 48 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.93,13,426
07-JUN-2016
|
|
| 49 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,19,79,031
20-JUN-2016
|
|
| 50 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.74,754
19-JUN-2009
|
|
| 51 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND & BONUS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,19,920
10-JUL-2009
|
|
| 52 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.74,757
10-JUL-2009
|
|
| 53 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,25,000
24-FEB-2010
|
|
| 54 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,53,445
05-APR-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 13/06/2016 REVISED THE AWARD AMOUNT TO RS.4,53,445.00 (INCLUDING DIVIDEND OF RS.10,000.00) FROM RS.4,07,655.00 WHICH WAS AWARDED VIDE ARBITRATION AWARD DATED 05/04/2016
|
| 55 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.858
08-APR-2016
|
|
| 56 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY BROKERAGE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,66,053
11-AUG-2014
|
|
| 57 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,09,000
12-JAN-2015
|
|
| 58 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,00,000
22-JAN-2015
|
|
| 59 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,19,593
15-JAN-2015
|
|
| 60 |
|
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.56,608
09-FEB-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 3 of 4 |
