| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,56,660
29-NOV-2016
|
|
| 42 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,64,424
22-NOV-2016
|
|
| 43 |
|
|
KASSA FINVEST PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND & BONUS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.15,00,000
01-NOV-2016
|
|
| 44 |
|
|
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
|
|
| 45 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
DID NOT PAY DIVIDEND
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,67,048
18-JAN-2016
|
BSE VIDE ITS ARBITRATION AWARD DATED 09/02/2016 PASSED THE CLAIM FOR RS.2,14,580.00, AS THERE WERE DAILY FLUCTUATIONS IN QUOTES OF SCRIPS ON THE EXCHANGE, RESULTING IN RISE AND FALL OF PRICES, HENCE ORIGINAL CLAIM OF THE APPLICANT IS BEING CONSIDERED
|
| 46 |
|
|
MOONGIPA INVESTMENTS LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.57,360
24-MAY-2016
|
|
| 47 |
|
|
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
|
|
| 48 |
|
|
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
|
|
| 49 |
|
|
RELIGARE SECURITIES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,39,581
16-NOV-2009
|
|
| 50 |
|
|
RTG SHARE BROKING LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,34,122
09-OCT-2013
|
|
| 51 |
|
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
18-NOV-2009
|
|
| 52 |
|
|
SHAREKHAN LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
18-NOV-2009
|
|
| 53 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,128
01-JUL-2009
|
|
| 54 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,97,349
29-OCT-2009
|
|
| 55 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.26,889
21-AUG-2009
|
|
| 56 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,559
11-MAY-2009
|
|
| 57 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,01,000
11-MAY-2009
|
|
| 58 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.4,46,823
11-JUN-2009
|
|
| 59 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.17,976
26-MAY-2009
|
|
| 60 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.34,085
29-OCT-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 3 of 6 |
