| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 621 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.43,738
19-MAR-2015
|
|
| 622 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.2,08,116
25-MAR-2015
|
|
| 623 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.94,727
25-MAR-2015
|
|
| 624 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,33,761
25-MAR-2015
|
|
| 625 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.11,789
25-MAR-2015
|
|
| 626 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.6,888
24-MAR-2015
|
|
| 627 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.5,87,536
23-MAR-2015
|
|
| 628 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.3,25,500
23-MAR-2015
|
|
| 629 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,84,309
23-MAR-2015
|
|
| 630 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.97,861
23-MAR-2015
|
|
| 631 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.9,57,659
23-MAR-2015
|
|
| 632 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.6,12,744
23-MAR-2015
|
|
| 633 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,22,673
23-MAR-2015
|
|
| 634 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.5,802
20-MAR-2015
|
|
| 635 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.17,388
20-MAR-2015
|
|
| 636 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.11,200
20-MAR-2015
|
|
| 637 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.85,500
20-MAR-2015
|
|
| 638 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED AWARD AMOUNT: RS.28,880
20-MAR-2015
|
|
| 639 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED AWARD AMOUNT: RS.52,511
31-MAR-2015
|
|
| 640 |
|
UNICON SECURITIES PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED AWARD AMOUNT: RS.1,98,000
30-MAR-2015
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 32 of 38 |