| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 861 |
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,45,669
20-JUN-2011
|
|
| 862 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.20,114
02-FEB-2010
|
|
| 863 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.35,663
18-MAR-2009
|
|
| 864 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,503
12-APR-2010
|
|
| 865 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,53,617
20-MAR-2009
|
|
| 866 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,34,415
09-MAR-2009
|
|
| 867 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.2,46,961
20-MAR-2009
|
|
| 868 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,517
04-AUG-2009
|
|
| 869 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.7,11,409
20-JUN-2011
|
|
| 870 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,85,095
07-AUG-2009
|
|
| 871 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.26,889
21-AUG-2009
|
|
| 872 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,27,336
07-JUL-2009
|
|
| 873 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.22,351
14-AUG-2009
|
|
| 874 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,12,991
10-SEP-2009
|
|
| 875 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
DID NOT REFUND DEPOSIT AMOUNT
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,89,243
10-SEP-2009
|
|
| 876 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.38,416
10-SEP-2009
|
|
| 877 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.89,021
08-OCT-2009
|
|
| 878 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.24,082
08-OCT-2009
|
|
| 879 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,29,732
16-JUN-2009
|
|
| 880 |
|
|
SUNCHAN SECURITIES LTD.
|
|
|
DID NOT DELIVER SHARES
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,92,700
02-JUN-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 44 of 51 |
