| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 301 |
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.55,024
16-NOV-2016
|
|
| 302 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.10,72,432
15-NOV-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 09/02/2017 ALLOWED THE APPEAL AND SET ASIDED IMPUGNED ORDER DATED 15/11/2016 TO THE EXTENT OF THE REJECTION OF THE CLAIM. AWARD PASSED BY THE ORIGINAL ARBITRAL TRIBUNAL STANDS MODIFIED TO RS.36,91,356.33 INCLUSIVE OF THE CREDIT BALANCE IN HIS CASH AND F&O ACCOUNTS. NO COSTS.
|
| 303 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,63,522
08-NOV-2016
|
|
| 304 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,15,388
08-NOV-2016
|
|
| 305 |
|
|
DREAMS BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.85,80,210
08-NOV-2016
|
|
| 306 |
|
|
HDFC SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.18,135
16-FEB-2016
|
|
| 307 |
|
|
HOME TRADE LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,41,294
03-FEB-2010
|
|
| 308 |
|
|
JHAVERI SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
24-AUG-2010
|
COMPANY VIDE INTER-DEPOSITORY TRANSFER INSTRUCTION REPORT DATED 31/12/2018 HAS SETTLED AWARD AMOUNT RS.2,21,297.00
|
| 309 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO REPLENISH / RESTORE / RETURN SHARES
AWARD AMOUNT: RS.500
23-JUN-2015
|
|
| 310 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.41,775
16-JUL-2015
|
|
| 311 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.8,09,257
24-JUL-2015
|
|
| 312 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
DIRECTED TO TRANSFER SHARES
AWARD AMOUNT: RS.14,04,839
02-JUL-2015
|
|
| 313 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.5,15,088
03-AUG-2015
|
|
| 314 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,47,431
03-AUG-2015
|
|
| 315 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,79,200
03-AUG-2015
|
|
| 316 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.37,55,185
12-AUG-2015
|
|
| 317 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,60,164
30-OCT-2015
|
|
| 318 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.23,322
04-NOV-2015
|
|
| 319 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.16,21,476
27-NOV-2015
|
|
| 320 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,97,472
13-FEB-2016
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 16 of 38 |
