| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 201 |
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,37,863
16-SEP-2016
|
|
| 202 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,11,629
16-SEP-2016
|
|
| 203 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,75,858
19-SEP-2016
|
|
| 204 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,04,688
21-SEP-2016
|
|
| 205 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,610
21-SEP-2016
|
|
| 206 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,055
21-SEP-2016
|
|
| 207 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,12,404
22-SEP-2016
|
|
| 208 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,884
22-SEP-2016
|
|
| 209 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,77,294
22-SEP-2016
|
|
| 210 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.99,680
22-SEP-2016
|
|
| 211 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,116
22-SEP-2016
|
|
| 212 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.73,142
22-SEP-2016
|
|
| 213 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,36,842
22-SEP-2016
|
|
| 214 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,54,810
22-SEP-2016
|
|
| 215 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,03,404
23-SEP-2016
|
|
| 216 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,684
23-SEP-2016
|
|
| 217 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.12,562
27-SEP-2016
|
|
| 218 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,286
04-OCT-2016
|
|
| 219 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.3,91,385
04-OCT-2016
|
|
| 220 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,32,250
04-OCT-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 11 of 38 |
