Notice No: 20160316-6, Notice Date: 16 Mar 2016
Category: Compliance, Segment: General
Subject SEBI Order in the matter Unickon Securities Private Limited (USPL)
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 Entities||PAN||Period|
|1||Unickon Securities Private Limited||AAPFS5325P||10 years|
|2||Shri Ram Mohan Gupta||AGDPG7175M||10 years|
|3||Shri Gajendra Nagpal||AADPN5511A||10 years|
|4||i360 Staffing and Training Solutions Private Limited||AAACI8851P||10 years|
|5||Smt Sonia Nagpal||AAGPN2936G||10 years|
|6||Smt Kaushal Kumari Nagpal.||Not Provided||10 years|
|7||Unickon Fincap Private Limited||AAACU8424F||10 years|
|8||Unickon Commodities Private Limited||AAACU7909D||10 years|
|9||Unickon Media and Marketing Services Private Limited||AAACU8145K||10 years|
|10||Unickon Capital Services Private Limited||AABCU0157G||10 years|
|11||Uniwealth Insurance Brokers Private Limited||AAACU9456H||10 years|
|12||Unickon Finserve Private Limited||AABCU1083D||10 years|
|13||Unickon Asset Reconstruction Company Private Limited||AABCU1082C||10 years|
|14||Unickon Properties Com Private Limited||AABCU2503N||10 years|
|15||Unickon Financial Consultants Private Limited||AABCU5047P||10 years|
|16||Unickon Real Estate Private Limited||AAACU8837C||10 years|
|17||Unickon Financial Intermediaries Private Limited||AAACU6952E||10 years|
|18||Tripace Marketing Services Private Limited||AACET0039R||10 years|
|19||Vighnaharta Direct Insurance Broking Private Limited||AACCV0848E||10 years|
|20||Shri Neeraj Grover||AFDPG2918P||2 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