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 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

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