| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 521 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.59,620
17-DEC-2014
|
|
| 522 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,55,120
29-DEC-2014
|
|
| 523 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,19,119
30-DEC-2014
|
|
| 524 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.61,099
30-DEC-2014
|
|
| 525 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,24,175
31-DEC-2014
|
|
| 526 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,629
12-JAN-2015
|
|
| 527 |
|
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
|
|
| 528 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,27,131
12-JAN-2015
|
|
| 529 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,926
15-JAN-2015
|
|
| 530 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,00,000
22-JAN-2015
|
|
| 531 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,09,274
22-JAN-2015
|
|
| 532 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.77,115
22-JAN-2015
|
|
| 533 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,225
22-JAN-2015
|
|
| 534 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,97,096
22-JAN-2015
|
|
| 535 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,54,005
20-JAN-2015
|
|
| 536 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,99,849
28-JAN-2015
|
|
| 537 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.98,199
20-JAN-2015
|
|
| 538 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,19,593
15-JAN-2015
|
|
| 539 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.6,535
13-JAN-2015
|
|
| 540 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.4,000
23-JAN-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 27 of 38 |