Notice No:  20160316-6, Notice Date: 16 Mar 2016

Category:  Compliance, Segment:  General

Subject SEBI Order in the matter Unickon Securities Private Limited (USPL)

To

All Trading Members of the Exchange

Sub:   Order Under sections 11(1), 11(4) and 11(B) of the Securities and Exchange Board of India Act, 1992 in the matter of Unickon Securities Private Limited(USPL).

Attention of the trading members is invited to the Exchange Notice No.20150302-23 dated March 02, 2015 confirming the ex-parte ad-interim Order wherein SEBI vide its order dated May 26, 2014 (issued vide Exchange Notice No.20140526-21 dated May 26, 2014), had inter-alia restrained Unickon Securities Pvt. Ltd. (PAN: AAPFS5325P) and its directors namely, Mr. Gajendra Nagpal (PAN: AADPN5511A) and Mr. Ram Mohan Gupta (PAN: AGDPG7175M) from accessing the securities market and further prohibited them from buying, selling or dealing in securities market, either directly or indirectly or being associated with the securities market in any manner whatsoever, with immediate effect, till further directions.

SEBI now, vide its order no WTM/SR/EFD/17/03/2016 dated March 15, 2016 has inter-alia, issued the following directions :-

i. Prohibited the following entities from accessing the securities market and further prohibited from buying, selling or dealing in securities, either directly or indirectly or being associated with the securities market in any manner whatsoever, for the period as mentioned besides the respective entities:-

Sr. No.Name of the EntitiesPANPeriod
1Unickon Securities Private LimitedAAPFS5325P10 years
2Shri Ram Mohan GuptaAGDPG7175M10 years
3Shri Gajendra NagpalAADPN5511A10 years
4i360 Staffing and Training Solutions Private LimitedAAACI8851P10 years
5Smt Sonia NagpalAAGPN2936G10 years
6Smt Kaushal Kumari Nagpal.Not Provided10 years
7Unickon Fincap Private LimitedAAACU8424F10 years
8Unickon Commodities Private LimitedAAACU7909D10 years
9Unickon Media and Marketing Services Private LimitedAAACU8145K10 years
10Unickon Capital Services Private LimitedAABCU0157G10 years
11Uniwealth Insurance Brokers Private LimitedAAACU9456H10 years
12Unickon Finserve Private LimitedAABCU1083D10 years
13Unickon Asset Reconstruction Company Private LimitedAABCU1082C10 years
14Unickon Properties Com Private LimitedAABCU2503N10 years
15Unickon Financial Consultants Private LimitedAABCU5047P10 years
16Unickon Real Estate Private LimitedAAACU8837C10 years
17Unickon Financial Intermediaries Private LimitedAAACU6952E10 years
18Tripace Marketing Services Private LimitedAACET0039R10 years
19Vighnaharta Direct Insurance Broking Private LimitedAACCV0848E10 years
20Shri Neeraj GroverAFDPG2918P2 years

ii. Further, it is also stated in the aforesaid SEBI Order that Unickon Securities and its Directors, viz. Shri Ram Mohan Gupta and Shri Gajendra Nagpal, have already undergone the restraint for a period of approximately one year and ten months. In view of this factual situation, it is clarified that the restraint already undergone by Unickon Securities and its Directors, viz. Shri Ram Mohan Gupta and Shri Gajendra Nagpal, pursuant to the aforementioned SEBI Orders, shall be reduced while computing the period of restraint being imposed vide this Order.

This Order shall come into force with effect from March 15, 2016.

A copy of the said order is attached herewith and also available on the SEBI website www.sebi.gov.in.

Trading members are advised to take note of the same and ensure compliance.

Ena Janvalekar                                                           Rajeshkumar Dubey

Sr. Manager                                                               Dy. Manager

Surveillance & Supervision                                        Surveillance & Supervision

Date : March 16, 2016

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