U.P. Stock Exchange Limited (Formerly known as The U.P. Stock Exchange Association Ltd.

, Kanpur) occupies a very prominent place among the existing Stock Exchanges in India. The Exchange was inaugurated on 27th August, 1982 by the then Finance Minister Shri Pranab Mukherjee. Right from its inception it has been playing a very prominent role in the development of capital market of Northern India. U.P. Stock Exchange is the only Stock Exchange in whole of Uttar Pradesh and the membership of this Stock Exchange is not restricted to the territories of Uttar Pradesh only. Initially it had 350 members which has now increased to 540 members belonging to almost all important cities of the country. Members living outside Kanpur has contributed a lot by creating the equity cult in whole of the Uttar PradeshU.P. Stock Exchange Limited (Formerly known as The U.P.Stock Exchange Association Ltd., Kanpur) occupies a very prominent place among the existing Stock Exchanges in India. The Exchange was inaugurated on 27th August, 1982 by the then Finance Minister Shri Pranab Mukherjee. Right from its inception it has been playing a very prominent role in the development of capital market of Northern India. U.P. Stock Exchange is the only Stock Exchange in whole of Uttar Pradesh and the membership of this Stock Exchange is not restricted to the territories of Uttar Pradesh only. Initially it had 350 members which has now increased to 540 members belonging to almost all important cities of the country. Members living outside Kanpur has contributed a lot by creating the equity cult in whole of the Uttar Pradesh. Not only this the members are highly qualified and professional and devoted to the cause of capital formation in the country.

The Exchange was initially started in the rented building but with the efforts of our members, a new complex was constructed and was inaugurated by His Excellency Shri R Venkataraman the then President of India on 8th February, 1989. At present we have 843 companies listed with the total capitalization of Rs.81184 Crores. The annual turnover of this Exchange for the last three years are : 1998-99 : 18429 Crores, 1999-2000 : 23876 Crores and 2000-01 : 25112 Crores. Thus every year we have increased our turnover creating more and more awareness among the people of Northern India. This Stock Exchange is wedded to the investors protection and investors education as we have firm conviction that any investor protection cannot be achieved without proper awareness and education of investors. Thus the Exchange has a very active investor service Cell and also a very equipped Research and Development Wing is functioning. We have also a very effectiveThe Exchange has one of the best developed Exchanges of the country so far its infrastructure is concerned. The Ex-Finance Minister Dr. Manmohan Singh, Ex-Commerce Minister Shri Pranab Mukherjee, other Central Ministers and Chief Ministers Uttar Pradesh have visited this Exchange and appreciated its efforts in maintaining the transparency and the integrity of the market. To keep pace of changing technology the Exchange has embarked upon the Project of Screen Based Trading. The On-line Trading based on VECTOR Software supplied by CMC has commenced on UPSE from 11th November 1997. To increase the further business and to facilitate the On-line trading facility to about 22 members at Lucknow an

additional trading floor has been established at Lucknow. At present at the Additional Trading Floor at Lucknow 22 Lucknow based members have been allotted Computer Terminals which have been connected with UPSE main Server via VSAT. As per recent decision of SEBI for the revival of the smaller Stock Exchanges in the country, they can obtain the membership of big Stock Exchanges like, BSE, NSE, CSE etc. through forming a subsidiary company of the Exchange and in turn the members of the Exchange can trade through the said subsidiary as sub-broker(s). Accordingly we have incorporated a wholly owned subsidiary namely UPSE Securities Ltd. and obtained the membership of BSE to enable the members of UPSE on BOLT.

LIST OF CHAIRMAN SINCE MARCH 31, 2008 S/No 01 02 03 NAME Mr. K.D.GUPTA Mr. ASHOK SHARMA Mr. K.D.GUPTA DATE OF APPOINTMENT 31.03.2008 07.11.2009 23.10.2010 DATE OF CESSATION 07.11.2009 23.10.2010 CONTINUE....

LIST OF PRESIDENTS SINCE JUNE 15, 1982

S/No 01 02 03 04 05 06 07 08 09

NAME Dr. G.H.SINGHANIA Dr. K.B.AGARWAL Mr. P.K.JAIN Mr. G.L. JHANWAR Dr. K.B.AGARWAL Dr. G.H.SINGHANIA Mr. R.K.TANDON Mr. D.D. SARDA Mr. T.N.BANSAL

DATE OF APPOINTMENT 15.06.1982 20.05.1985 19.12.1990 20.11.1992 06.10.1993 15.10.1994 21.12.1996 22.11.1997 26.09.1998

DATE OF CESSATION 20.05.1985 19.12.1990 20.11.1992 06.10.1993 15.10.1994 21.12.1996 22.11.1997 26.09.1998 14.04.1999

10 11 12 13

Mr. HARI KRISHAN GARG Mr. R.K.AGARWAL Mr. S.K.MAHESHWARI Mr. HARI KRISHAN GARG

14.04.1999 18.12.1999 07.11.2000 22.12.2001

18.12.1999 06.11.2000 22.12.2001 12.07.2002

LIST OF VICE-PRESIDENTS SINCE JUNE 15, 1982

S/No 01 02 03 04 05 06 07 08 09 10 11

NAME Dr. K.B.AGARWAL Mr. P.K.JAIN Mr. G.L.JHANWAR Mr. D.D.SARDA Mr. R.K.TANDON Mr. HARI KRISHAN GARG Mr. T.N.BANSAL Dr. SUDHIR AGARWAL Mr. R.K.AGARWAL Mr. AVINASH KHANDELWAL Mr. SATISH CHANDRA GUPTA

DATE OF APPOINTMENT 15.06.1982 20.05.1985 19.12.1990 20.11.1992 15.10.1994 21.12.1996 22.11.1997 26.09.1998 14.04.1999 18.12.1999 11.04.2001

DATE OF CESSATION 20.05.1985 19.12.1990 20.11.1992 15.10.1994 21.12.1996 22.11.1997 26.09.1998 14.04.1999 18.12.1999 11.04.2001 12.07.2002

system of readdressing the investors complaint

S.N O

MEM_ NO 10/044 1-7 10/052

SEBI_NO

DATE_OF REG_D _AD 18.03.198 8 29.06.198 ATE 17-121992 17-12-

MEM_NAME

FIR_NAME

OFF_ADD1 86/11, KALPI ROAD, 253,

OFF_ADD2

INB10034 0518 INB10034

AJAY GARG

AJAY GARG & CO. AJAY

DEPUTY KA PARAO, KANPUR

AJAY

1-9

0616

1992 JAYASWAL

JAYASWAL & CO.

ANANDPU RI, 39/1386, SARAFFA MARKET, 51/47, NAYAGANJ , 124-A/371, KANPUR CHANDNI CHOWK MARKET,

10/046 2-0

INB10034 0812

30.09.198 8

17-12-

AJAY KUMAR

A.KUMAR & CO.

1992 KABRA

10/053 2-4

INB10034 0714

26.08.198 9

17-12-

AJAY KUMAR

AJAY GUPTA & CO.

1992 GUPTA

10/045 2-2

INB10034 0910

28.05.198 8

17-12-

AJAY KUMAR

1992 MEHRA

MEHRA BROS.

GOVIND NAGAR,

KANPUR

10/002 0-9

INB10034 1018

21.07.198 2

17-12-

AJAY KUMAR

SAHU INVESTORS

SAHU BUILDING,

1992 SAHU

HAZRAT GANJ,

10/003 8-1

INB10034 1312

23.05.198 7

17-12-

AJIT KUMAR

AJIT KUMAR JAIN

JAIN BUILDING

73/3-C, COLLIE BAZAR,

1992 JAIN

10/054 1-3

INB10034 1410

27.10.198 9

17-121992

AKHILESH KUMAR CHATURVEDI

A.K.CHATURV EDI & CO.

14/113, CIVIL LINES, 37/53, IST PADAM TOWER I

10/050 4-9

INB10034 1811

25.11.198 8

17-12-

AMAR NATH

1992 GUPTA

AMAR & CO.

FLOOR, GILIS BAZAR,

SHIVALA ROAD,

10

10/002 2-5

INB10034 1919

21.07.198 2

17-12-

AMAR NATH

AMAR NATH KHETAN SATISH KUMAR AGARWAL

74/237, DHAN KUTTI, 7/95, TILAK NAGAR, 412,

KANPUR - 208 001

1992 KHETAN

11

10/070 8-4

INB10070 3016

23.03.199 5

15-03-

SANJAY

KANPUR - 208 002

1995 AGARWAL

12

10/044 0-9

INB10034 2918

23.05.198 7

17-12-

ANIL KUMAR

1992 BHATIA

ANIL & CO.

PADAM TOWER,

14/113, CIVIL LINES,

13

10/001 3-6

INB10034 3819

21.07.198 2

17-121992

ANOOP KISHORE RASTOGI A.K.RASTOGI

48/180, GENERAL GANJ, KANPUR

14

10/066 1-4

INB10051 7815

14.08.199 2

18-03-

MANJULA

CRB SECURITIES

C/O SHRI C.R.BHANS ALI

34 B AARTI BUILDING,

1993 BHANSALI

15

10/003 5-7

INB10034 5513

23.05.198 7

17-12-

ATUL

ATUL KANODIA & CO.

511, KRISHNA TOWERS, 140, ANANDPU RI, 37/1 A, THE MALL, C-46, ECIVIL LINES,

1992 KANODIA

16

10/079 1-2

INB10096 7717

25/26.4.9 7

31-071997

AMIT JINDAL

AMIT JINDAL ASSOCIATES BHOLENDRA K. GUPTA & CO.

KANPUR - 208 023

17

10/044 3-3

INB10034 6914

18.03.198 8

17-121992

BHOLENDRA KUMAR GUPTA

KANPUR

18

10/050 0-6

INB10034 7414

25.11.198 8

17-121992

BRIJ PRABHAT SRIVASTAVA

BRIJ SRIVASTAVA & CO.

PARK, MAHANAG AR EXTENSIO N 25, SYNDICAT E BANK COLONY 684, PADAM TOWER, 35, KHUN KHUN JI ROAD, 55/97, KANPUR - 208 CHOWK, CIVIL LINES, LUCKNOW - 226 006

19

10/048 3-2

INB10034 7815

25.11.198 8

17-12-

CHETAN

CHETAN SHARMA & CO.

7TH MAIN, 3RD CROSS,BANASH ANKARI

1992 SHARMA

20

10/059 6-1

INB10035 9118

28.06.199 1

17-12-

MANGI LAL

M.L.BOTHRA & CO.

1992 BOTHRA

21

10/006 9-1 10/063

INB10034 8217 INB10051

21.07.198 2 25.03.199

17-12-

DEEP KUMAR

KAPOOR & CO. RAJESH

1992 KAPOOR 18-03RAJESH

22

4-7

7316

1993 CHURIWAL

CHURIWAL & CO.

GENERAL GANJ,

001

23

10/008 0-2

INB10034 9216

20.09.198 5

17-12-

DILIP KUMAR

ANURADHA CONSULTANT S

60/52, NAYAGANJ , KANPUR

1992 AGARWAL

24

10/009 3-4

INB10052 5611

21.07.198 2

02-041993

GEETA GEETA OMAR SHARE ENTERPRISES

244, PADAM TOWERS,

14/113, CIVIL LINES,

25

10/009 1-8

INB10035 0215

21.07.198 2

17-12-

GHANSHYAM

409, IFMAC PADAM TOWERS, 164, LUKER GANJ, 49/62, BAGLA BUILDING, 505, CITY CENTRE, 558 MANISH & CO. PADAM TOWERS I H.P.INVESTOR S 14/113, CIVIL LINES, 51/56, SITA RAM MARKET, 85/72, LAXMI

14/113, CIVIL LINES,

1992 DAS GUPTA

26

10/010 5-1

INB10035 0411

23.05.198 7

17-121992

GHANSHYAM DAS CHHABARIA

G.D.CHHABAR IA & CO.

ALLAHABAD 211 001

27

10/048 4-1

INB10035 0518

25.11.198 8

17-12-

GHANSHYAM

GHANSHYAM DASS & CO.

1992 DWEVEDI

NAYAGANJ,

28

10/066 3-1

INB10051 8814

09.10.199 2

18-03-

VIJAY

V.M.ENTERPR ISES

1993 MEHROTRA MANISH KUMAR GUPTA HANUMAN PRASAD KANUDIA HARI HAR

63/2, THE MALL,

29

10/084 8-0

INB10103 4214

07.05.199 8

01-071998

14/113, CIVIL LINES

30

10/011 5-9

INB10052 5915

21.07.198 2

02-041993

KANPUR

31

10/011 2-4 10/011 3-2

INB10035 1713 INB10035 1811

21.07.198 2 21.07.198 2

17-12-

H.N.SHUKLA & CO. H.K.GARG & CO.

1992 NATH SHUKLA 17-12HARI

NAYAGANJ,

32

1992 KRISHNA

KANPUR

GARG 10/066 4-9 INB10051 8618 09.10.199 2 18-03TRILOK TRILOK CHAND JAIN

PURWA, 77/146, LATOUCHE ROAD, 75/232, H.M.CHAWRA SUBZI MANDI, 119/3, G.T.ROAD, KANPUR 209, VARDAAN COMPLEX, II FLOOR

33

1993 CHAND JAIN HEMENDRA KUMAR M. CHAWRA MANJEET

34

10/011 1-6

INB10035 2516

26.08.198 2

17-121992

35

10/064 6-1

INB10051 7012

06.05.199 2

18-03-

1993 SINGH SETHI

C.M.SETHI

JARIB CHOWKI,

CABIN 36 10/012 3-0 INB10035 2810 10.05.198 4 17-12ISHWAR LAL ARUN MUNJE & CO. NO.233,PA DAM TOWERS 1992 MUNJE

UPSE BUILDING, 14/113, CIVIL LINES

37

10/013 7-0

INB10035 3711

23.05.198 7

17-12-

JINENDRA

H-373, J.K.JAIN & CO. INDERLOK COLONY,

KRISHNA NAGAR,KNPLUCKNOW RD.,

1992 KUMAR JAIN

38

10/012 8-1

INB10035 3819

20.12.198 5

17-12-

JITENDRA

ARCH ENTERPRISES

40/69-B, HOSPITAL ROAD, PARADE,

1992 JAIN

39

10/012 9-9

INB10035 4015

24.12.198 7

17-12-

JOGINDER

R.MEHTA & CO.

53/8, NAYAGANJ , KANPUR

1992 MEHTA

19 ATF U P 40 10/015 3-1 INB10035 5014 21.07.198 2 17-12KANHAIYA 1992 LAL JAIN JAIN & CO. STOCK EXCHANG E ASSN 78/284, LATOUCHE ROAD,

AROHI TRADE CENTRE, CHOWK

41

10/017 3-6

INB10038 3310

23.05.198 7

17-12-

KEDAR NATH

K.N. RANASARIA

1992 RANASARIA

KANPUR

42

10/016 7-1

INB10035 5611

21.07.198 2

17-12-

KHEM CHAND

KHEM CHAND BHATIA & CO.

416, PADAM TOWER, ROOM NO

14/113, CIVIL LINES,

1992 BHATIA

43

10/014 1-8

INB10035 6219

29.12.198 3

17-121992

KRISHNA KUMAR BHATIA

N.C.BHATIA & CO.

413, PADAM TOWER - I, 673, PADAM TOWER-I, 111A/396,

14/113, CIVIL LINES,

44

10/014 5-1

INB10046 4220

21.07.198 2

22-121992

KRISHAN KUMAR TANDON KRISHAN MOHAN SHUKLA

KRISHAN KUMAR & CO.

14/113, CIVIL LINES,

45

10/016 2-1

INB10035 6415

25.03.198 5

17-121992

MOHAN & CO.

ASHOK NAGAR,

KANPUR

46

10/059 1-0

INB10037 5112

28.06.199 1

17-12-

SHASHI

SHASHI KAPOOR & CO.

428, PADAM TOWERS, 28/135, DWARKA DISH ROAD, 189, N KANPUR - 208 001 CIVIL LINES,

1992 KAPOOR

47

10/058 7-1

INB10034 2516

28.06.199 1

17-121992

ANAND KUMAR SARASWAT

ANAND KUMAR SARASWAT

48

10/052 8-6

INB10035 8315

26.08.198 9

17-12-

MAHENDRA

MAHENDRA KUMAR JAIN

BLOCK, KALPANA PLAZA,

ROOM NO. 506, BIRHANA ROAD,

1992 KUMAR JAIN

49

10/021 1-2

INB10035 8618

23.05.198 7

17-121992

MAHESH CHANDRA BAJPAI M.C. BAJPAI

541, PADAM TOWER,

14/113, CIVIL LINES,

50

10/056 4-2

INB10034 6816

22.09.199 0

17-12-

BHARAT

BHARAT KUMAR & CO.

542, PADAM TOWER,

14/113, CIVIL LINES,

1992 KUMAR

51

10/020 7-4

INB10035 9813

23.05.198 7

17-12-

MANOHAR

1992 LAL MANWANI

RAVI & CO.

397, PADAM

14/113, CIVIL LINES,

TOWER, F/501, 52 10/020 4-0 INB10036 0518 31.03.198 6 17-12MAYUR MAYUR M.PAREKH VISHAL APARTME NT, 10/020 5-8 INB10036 0714 18.11.198 6 17-12MOHAN LAL MOHAN LAL BANSAL 73/20, COLLECTO R GANJ 15, 54 10/020 6-6 INB10036 1018 23.05.198 7 17-12MUKESH MANCHANDA & CO. CHANDER NAGAR MARKET, 10/076 9-6 INB10095 0215 04.10.199 6 27-12ANIL KUMAR ANIL KUMAR AGARWAL PRAVEEN KUMAR ARORA & CO. KISHORE INVESTMENT 110/06, NEHRU NAGAR, 7/13, BAMBA ROAD, 48/143, RAJ NIKETAN, A 505 58 10/024 2-2 INB10036 4818 21.07.198 2 17-12PRITI 1992 KAPOOR P.KAPOOR FORTUNA APARTME NTS PAVAS STOCK PAVAS STOCK BROKERS LTD. RAKESH CHANDRA VAISH RAKESH KUMAR MANGLIK RAM GOPAL BROKERS LTD. RAKESH CHANDRA VAISH R.K.MANGLIK & CO. RAM GOPAL & CABIN NO.664, PADAM TOWER I, 59/39, BIRHANA ROAD GEETA BHAWAN, 16/26, KANPUR 14/113, CIVIL LINES, JOPLING ROAD GENERAL GANJ, KAUSHAL PURI, KANPUR 1992 MANCHANDA ALAMBAGH, KANPUR - 1 M.V.ROAD, ANDHERI (EAST) 1992 M.PAREKH

53

1992 BANSAL

55

1996 AGARWAL PRAVEEN KUMAR ARORA NIKUNJ

56

10/053 1-9 10/058 3-9

INB10036 4113 INB10036 2311

26.08.198 9 22.09.199 0

17-121992 17-12-

57

1992 RASTOGI

59

10/087 5-7

INB10106 3536

07.08.199 9

07-091999

60

10/047 3-5

INB10036 8011

30.09.198 8

17-121992

61

10/032 5-9 10/032

INB10036 8716 INB10036

23.05.198 7 23.05.198

17-121992 17-12-

141, NARHI,

62

KANPUR

4-1

9216

1992 AGARWAL

CO.

CIVIL LINES,

63

10/047 2-7

INB10036 9715

30.09.198 8

17-12-

RAM NATH

R.N.BHARGAV A & CO.

11/313, SOUTER GANJ, 33/146, KANPUR

1992 BHARGAVA

64

10/028 8-1

INB10037 0019

21.07.198 2

17-121992

RAM CHANDRA MEHROTRA RAMESH CHANDRA KHANNA RAMAN SECURITIES PVT.LTD.

RAM & COMPANY

GAYAPRAS AD STREET

KANPUR

65

10/028 6-4

INB10037 0411

21.07.198 2

17-121992

AAR KHANNA & CO. RAMAN SECURITIES PVT.LTD.

128/149- H BLOCK, 107/266, BRAHMA NAGAR, FLAT

KIDWAI NAGAR,

66

10/094 7-8

INB10125 6734

17.04.200 6

29-032006

KANPUR - 208 012

67

10/055 4-5

INB10037 1615

29.06.199 0

17-12-

RISHABH

1992 KUMAR OMAR

OMAR & CO.

No.604, SANGEETA APPART.,

14/59-A, CIVIL LINES,

68

10/063 7-1

INB10051 7218

25.03.199 2

18-03-

OM PRAKASH

385, BAJAJ & CO. PADAM TOWER,

14/113, CIVIL LINES,

1993 BAJAJ

69

10/036 0-7

INB10037 2213

21.07.198 2

17-121992

SANJAY KUMAR MAHESHWARI

SANJAY KUMAR MAHESHWARI

402, PADAM TOWER,

14/113, CIVIL LINES,

70

10/092 7-3

INB10118 2039

11.04.200 1

12-042002

JLG SECURITIES PVT.LTD.

JLG SECURITIES PVT.LTD.

15/20-C, CIVIL LINES, CABIN NO.419, PADAM TOWERS, 681,

KANPUR - 208 001

71

10/087 0-6

INB10106 2918

07.08.199 9

02-09-

SANJAY

SHREE JAGANNATH SECURITIES SAROJ & CO

14/113, CIVIL LINES,

1999 AGARWAL

72

10/065

INB10051

06.05.199

18-03-

SANJAY

14/113, CIVIL

6-8

7414

1993 AGARWAL

PADAM TOWER,

LINES,

73

10/050 7-3

INB10037 3613

25.11.198 8

17-121992

SATISH CHANDRA GUPTA

SATISH S. GUPTA

B-580, KAMLA NAGAR, AGRA

74

10/040 1-8

INB10046 4523

23.05.198 7

22-121992

SATYA NARAYAN NEWATIYA SATYA PRAKASH MITTAL

SATYA NARAYAN NEWATIYA

53/1, NAYAGANJ , 624, KANPUR - 1

75

10/034 5-3

INB10037 3819

20.09.198 5

17-121992

MITTAL & CO.

SADAR BAZAR,

LUCKNOW - 226 001

76

10/037 0-4

INB10037 4015

21.07.198 2

17-12-

SAVITA

TRUSTWEL INVESTMENT S

S-305, GREATER KAILASH 1, 161/145, NEW DELHI - 48

1992 MALHOTRA

77

10/035 6-9

INB10037 4113

21.07.198 2

17-12-

SAVITA RANI

SANGAM & CO.

SWAMI VIVEKANA ND MARG C/OQUALIK

(SOUTH MALAKA),

1992 AGARWAL

78

10/062 1-5

INB10034 5014

28.09.199 1

17-12-

ASHOK

ASHOK SAHANI

EMS FINE CHEMICAL S P.LTD.

5531,BASTI HARPHUL SINGH

1992 SAHANI

79

10/036 5-8

INB10037 4417

21.07.198 2

17-121992

SHAILENDRA KUMAR TANDON SHANKER LAL

SHAILENDRA KUMAR TANDON SHANKER LAL MANWANI

375 PADAM TOWER,

14/113, CIVIL LINES,

80

10/039 6-8

INB10037 4710

23.05.198 7

17-12-

117/N/5, KAKADEO 201/204,

1992 MANWANI

KANPUR

81

10/038 6-1

INB10037 5210

31.03.198 6

17-121992

SHASHI PRABHA MITTAL

R.N.MITTAL & CO.

JAWALA MANSION, 4/2,

ASAF ALI ROAD,ADJD.S.E.BULD.,

82

10/059 4-4

INB10036 1615

28.06.199 1

17-12-

NAVIN KUMAR

N.K. MAHESHWARI & CO.

562, PADAM TOWER, 2ND

14/113, CIVIL LINES

1992 MAHESHWARI

83

10/039 1-7

INB10052 6718

06.03.198 7

02-04-

SUNIL KUMAR

LAXMI & SONS.

FLOOR, PADAM TOWER, FLAT NO.

14/113, CIVIL LINES,

1993 AGARWAL

84

10/039 7-6

INB10037 7913

23.05.198 7

17-12-

SUNIL KUMAR

1992 GUPTA

SUNIL BROS.

5, PRABHU RACHNA, 112, U P

13-386-D, CIVIL LINES,

85

10/035 5-1

INB10046 4827

21.07.198 2

22-12-

SURINDER

R.MEHTA & CO.

STOCK EXCHANG E,

PADAM TOWERS, CIVIL LINES,

1992 MEHTA

86

10/042 2-1

INB10037 9617

23.05.198 7

17-12-

UDAY

UDAY MERCHANT

250/252, LUCKY MANSION,

BAZAR GATE STREET, FORT,

1992 MERCHANT

SDL SHARE 87 10/090 0-1 INB10112 4338 16.05.200 0 23-08AND P LTD 10/042 7-1 INB10038 0714 21.07.198 2 17-12VEENA 2000 ST.BROKERS

SDL SHARE AND STOCK BROK.P LTD

12/36/136, GWALTOLI,

KANPUR

88

VEENA PANDEY

C/O M/S PANDEY & CO. C-2/65,

24/24, KARACHI KHANA,

1992 PANDEY

89

10/062 7-1

INB10037 0910

31.01.199 2

17-12-

RAJAN

R.SEHGAL & CO.

SUSHANT LOK PHASE-I

GURGAON, HARYANA - 122 001

1992 SEHGAL

90

10/093 5-4 10/050

INB10119 0214 INB10038

09.03.200 2 25.11.198

30-01-

SANDEEP

KEWAL KRISHAN & SONS PRABHAT &

59/41, BIRHANA ROAD, ROOM

KANPUR - 208 001 14/113, CIVIL

2003 AGARWAL 17-12VIMAL KUMAR

91

1-4

1410

1992 SHARMA

CO.

NO.254, PADAM TOWER II, ROOM

LINES,

92

10/043 4-4

INB10038 2419

21.07.198 2

17-121992

VIVEK SARAN

SARAN & CO.

NO.120, PADAM TOWER II,

14/113, CIVIL LINES,

93

10/056 5-1

INB10035 2017

22.09.199 0

17-12-

HARISH

HARISH SHAH & CO. SHREE GANESH & CO. SHUBHAM & CO.

55/112, GENERAL GANJ, 309, CITY CENTRE, 55/50, GENERAL GANJ, S/O S KANPUR

1992 KUMAR SHAH

94

10/061 8-5

INB10034 9813

28.09.199 1

17-12-

GANESH MAL

1992 JAIN SUSHIL KUMAR TULSYAN

THE MALL,

95

10/058 1-2

INB10037 8618

18.03.199 1

17-121992

KANPUR - 208 001

96

10/090 6-1

INB10114 3916

25.08.200 0

16-11-

RANBIR

SIMAR INVESTOR

RANJIT SINGH CHADHA CABIN

120/920, BUNG NO.10,SARGOD HA COLONY

2000 SINGH

97

10/061 5-1

INB10036 0117

28.08.199 1

17-121992

MANOJ KUMAR KHEMKA

R.KHEMKA & CO.

NO.536, 14/113 CIVIL LINES PADAM TOWER

98

10/060 3-7

INB10035 9216

28.08.199 1

17-12-

MANJOO

MANJOO MISRA

106/261-A, ANAND BAGH, CABIN KANPUR

1992 MISRA

99

10/060 5-3

INB10034 3613

28.08.199 1

17-121992

ANJU JHUNJHUNWA LA ANJU & CO.

NO.13 MERCHAN T CHAMBER,

14/76, CIVIL LINES,

100

10/067 2-0

INB10057 7619

06.10.199 3

23-03-

ANIL KUMAR

P.R.KHANDEL WAL & CO.

CABIN NO.111, PADAM

14/113, CIVIL LINES,

1994 GUPTA

TOWER, 10/067 5-4 INB10058 6512 06.12.199 3 03-05ROHIT ROHIT MEHROTRA & CO. 317, CITY CENTRE, 130/L102 10/068 1-9 INB10058 6111 06.12.199 3 03-05KANHAIYALAL KANHAIYALAL GUPTA 1/190, KIDWAI NAGAR, 10/092 5-7 INB10117 9217 11.04.200 1 06-032002 304, JITESH SHAH JITESH SHAH JHAJARIA MARKET, NISHITH NISHITH GUPTA CHANDAK AND COMPANY ROOM NO.18, 3RD FLOOR, 32/131, MANI RAM BAGIA, H10/071 3-1 INB10076 3819 02.05.199 5 30-081995 SUDESH KUMAR NANDA 23,CONNA SKN CAPITAL SERVICES UGHT CIRCUS N.DELHI11 0001 MEHROTRA INVESTMENT S 604,BHANDARI HOUSE,91,NEHR U PLACE KANPUR 24/147-A, KALPANA PLAZA, GENERAL GANJ, 1994 GUPTA KANPUR

101

1994 MEHROTRA

THE MALL,

103

104

10/070 6-8

INB10069 3016

24.11.199 4

07-02-

1995 GUPTA

105

0/0715 -7

INB10078 7218

02.05.199 5

14-09-

KEDAR NATH

1995 CHANDAK

106

107

10/071 6-5

INB10078 6914

02.05.199 5

14-09-

SHYAM

128/79, B BLOCK,

1995 MEHROTRA

KIDWAI NAGAR,

108

10/072 1-1

INB10072 6219

01.07.199 5

07-06-

RAJESH

HARYANA SECURITIES

404, PADAM TOWER-I, 60/52, NAYA GANJ, 50/168, NAUGHAR A, KANPUR KANPUR CIVIL LINES,

1995 AGRAWAL

109

10/072 8-9

INB10083 1018

20.10.199 5

22-11-

PRASHANT

PRASHANT JAIN

1995 JAIN

110

10/072 7-1

INB10083 1116

20.10.199 5

22-11-

HEMANT

H.K.JALAN & CO.

1995 KUMAR JALAN

111

10/074 6-7

INB10092 3515

27.03.199 6

01-07-

PRITHVI RAJ

P.R. SECURITIES

49/57, NAYA GANJ, KANPUR

1996 AGARWAL

112

10/075 8-8

INB10095 2614

27.03.199 6

14-01-

ANUPAMA

1997 JOHARI

JOHARI & CO.

21, ASHOK MARG,

LUCKNOW

113

10/075 3-0

INB10096 1214

27.03.199 6

11-04-

HARI RAM

HARI INVESTMENT S GANGA

424, PADAM TOWER,

14/113, CIVIL LINES,

1997 AGARWAL

114

10/076 1-1

INB10094 2712

20.05.199 6

06-11-

KAMLA RANI

NARAIN KAPOOR & SONS

35, KHUN KHUN JI ROAD, 78/63, LATOUCHE ROAD, 16/95, THE MALL, FLAT CHOWK,

1996 KAPOOR

115

10/078 5-8

INB10096 5817

14.03.199 7

10-06-

JAI PRAKASH

BANSAL SECURITIES SHREE TIRUPATI SHARES

KANPUR - 208 001

1997 BANSAL INDER NARAIN GUPTA

116

10/085 0-1

INB10103 8819

24.07.199 8

16-091998

KANPUR

117

10/085 7-9

INB10104 0419

22.08.199 8

07-101998

ANAND KUMAR DALMIA

SHREE BAIDYANATH SECURITIES

NO.Q/4/3 PADAM APARTME NTS

16/16, CIVIL LINES,

118

10/086 1-7

INB10104 3017

03.11.199 8

21-12-

CHANDRAKER

CHANDRAKER TRIVEDI & CO.

118/621, KAUSHALP URI, 49/78-A, NAUGHAR A, 13/04, SAFED COLONY,

KANPUR - 208 012

1998 TRIVEDI

119

10/086 5-0

INB10106 5911

29.05.199 9

12-101999

TANEJA AJAY TANEJA INVESTMENT S

KANPUR

120

10/086 6-8

INB10106 0110

29.05.199 9

20-07-

JAI RAM

JAI RAM DUBEY & CO.

1999 DUBEY

JUHI,

121

10/086 8-4

INB10106 5812

29.05.199 9

12-10-

ARUN KUMAR

C/O M/S KAMLA & CO. GUPTA JWELLERS

169-A MANGLA VIHAR-II, 60 FEET ROAD

1999 GUPTA

122

10/080 4-8

INB10099 9537

23.12.199 7

31-121997

NAGORY INVESTMENT S PVT.LTD.

NAGORY INVESTMENT S PVT.LTD.

7/197, SWAROOP NAGAR, ROOM

KANPUR - 208 002

123

10/080 5-6

INB10099 8930

23.12.199 7

31-12-

ARP SHARES

ARP SHARES PVT.LTD.

NO.118, PADAM TOWER II,

1997 PVT.LTD

CIVIL LINES,

BNK 124 10/084 3-9 INB10100 0439 23.12.199 7 31-12INVESTMENT LTD. C & C STOCK BROKERS PVT.LTD. 1997 SERVICES P

BNK INVESTMENT SERVICES P.LTD. C & C STOCK BROKERS PVT.LTD.

43-A, CANTONM ENT ROAD, CABIN NO.675, PADAM TOWER I 259, PADAM TOWERS, 121, RATAN DEEP COMPLEX, 13/386-D, PRABHU RACHNA,

OPP.:HUSSAING ANJ POWER HOUSE,

125

10/085 3-6

INB10103 9437

22.08.199 8

16-091998

14/113, CIVIL LINES,

126

10/078 0-7

INB10095 5434

01.04.199 7

03-03-

KESHAV

KESHAV FINCON LTD.

14/113, CIVIL LINES,

1997 FINCON LTD.

127

10/080 8-1

INB10099 9831

23.12.199 7

31-121997

D.K.TANDON SECURITIES PVT.LTD.

D.K.TANDON SECURITIES PVT.LTD. PIYUSH ST.BROKING SERV.PVT.LT D KANUDIA CAPT.& MAN.SER.PVT. LTD

CIVIL LINES,

128

10/083 2-3

INB10102 3134

23.12.199 7

24-031998

PIYUSH ST.BROKING SERV.PVT.LT KANUDIA

FLAT No.3 & 4, CIVIL LINES,

129

10/076 7-0

INB10093 3132

10.09.199 6

26-08-

CAPT.& D.

C-20, SARVODA YA NAGAR,

P.O.SHASTRI NAGAR

1996 MAN.SER.P.LT

130

10/081 9-6

INB10103 1533

23.12.199 7

21-051998

HARVINDER SECURITIES PVT.LTD. INDER SECURITIES PVT.LTD. K.BAJAJ

HARVINDER SECURITIES PVT.LTD. INDER SECURITIES PVT.LTD. K.BAJAJ SHARE BROKERS PVT.LTD. TULSIAN STOCK BROKERS PVT.LTD. KUSUM STOCK BROKERS PVT.LTD. AGARWAL SH.& STOCK.BROK. P.LTD. MMR FINANCIAL SERVICES PVT.LTD ASTHA SECURITIES PVT.LTD. J V STOCK BROKING PVT.LTD. ENIGMA FINANCIAL SERV.PVT.LT

125-K-17, GOVIND NAGAR, 39/6, MESTON ROAD, 8/2, ALLEN GANJ ROAD,

KANPUR - 208 006

131

10/083 4-0

INB10102 3639

23.12.199 7

24-031998

KANPUR

132

10/080 2-1

INB10102 4132

23.12.199 7

24-03-

SHARE PVT.LTD. TULSIAN

1998 BROKERS

KANPUR

133

10/081 0-2

INB10099 9038

23.12.199 7

31-12-

STOCK PVT.LTD. KUSUM

410, PADAM TOWERS-I, ROOM NO.671, PADAM TOWER, CABIN NO.13, BASEMENT 3, BASEMENT , PADAM TOWERS, 261, PADAM TOWERS, 15/63-M, CIVIL LINES, 55/31, SEHGAL MARKET,

14/113, CIVIL LINES,

1997 BROKERS

134

10/082 7-7

INB10102 3530

23.12.199 7

24-03-

STOCK PVT. LTD. AGARWAL

14/113, CIVIL LINES,

1998 BROKERS

135

10/083 1-5

INB10104 0138

23.12.199 7

07-10-

SH.& P.LTD. MMR

PADAM TOWER, CIVIL LINES,

1998 STOCK.BROK.

136

10/081 3-7

INB10099 9430

23.12.199 7

31-12-

FINANCIAL PVT.LTD

1997 SERVICES

CIVIL LINES,

137

10/077 8-6

INB10094 5238

17.12.199 6

29-111996

ASTHA SECURITIES PVT.LTD. J V STOCK BROKING PVT.LTD. ENIGMA FINANCIAL SERV.PVT.LT

14/113, CIVIL LINES,

138

10/079 9-8

INB10099 9332

14.11.199 7

01-041998

KANPUR - 208 001

139

10/081 4-5

INB10102 3233

23.12.199 7

24-031998

KAHOO KOTHI,

D 10/083 8-2 INB10097 8636 23.12.199 7 19-121997 P.K.CAPITAL SERVICES PVT.LTD. BEDI SAXENA INVEST.CO.PV T.LTD. V.K.SINGHANI A& CO.PVT.LTD. MAUZAMPURI 143 10/081 6-7 INB10100 0634 23.12.199 7 31-12A T.LTD 1997 FINL.SERV.PV

D P.K.CAPITAL SERVICES PVT.LTD. BEDI SAXENA INVEST.CO.PV T.LTD. V. K. SINGHANIA & CO.PVT.LTD. MAUZAMPURI A FINL.SERV.PV T.LTD. 431, PADAM TOWER I, 17/14, THE MALL, MERCHAN T CHAMBER 49/13, GENERAL GANJ, 1943-A, OPP.: NANA RAO PARK CIVIL LINES,

140

141

10/077 6-2

INB10094 3230

17.12.199 6

21-111996

142

10/084 2-1

INB10098 1330

23.12.199 7

30-121997

14/76, CIVIL LINES,

KANPUR - 208 001

144

10/083 9-1

INB10097 8431

23.12.199 7

19-12-

R.G.FINSTOC

R.G.FINSTOC K PVT.LTD.

AWAS VIKAS COLONY,

HANSPURAM, NAUBASTA,

1997 K PVT.LTD.

145

10/076 2-9

INB10093 3034

25.06.199 6

26-081996

SURINDER SECURITIES PVT.LTD.

SURINDER SECURITIES PVT.LTD.

CABIN NO.739, 5TH FLOOR, U.P.STOCK EXCHANGE

146

10/083 5-8

INB10102 2631

23.12.199 7

23-031998

APOORVA SECURITIES PVT.LTD.

APOORVA SECURITIES PVT.LTD.

SHOP NO.35, CHOWK,

LUCKNOW - 226 003

147

10/083 3-1

INB10102 7739

23.12.199 7

21-041998

RAJRATAN FINANCIAL SER.PVT.LT. AJAY SECURITIES PVT.LTD SAKSHAM

RAJRATAN FINANCIAL SER.PVT.LT. AJAY SECURITIES PVT. LTD. SAKSHAM STOCK

122, PADAM TOWER II, 119/505, DARSHAN PURWA, 210, KUSUM KALPI ROAD, CIVIL LINES,

148

10/082 3-4

INB10102 3332

23.12.199 7

24-031998

149

10/085 4-4

INB10104 0930

22.08.199 8

28-10-

1998 STOCK

CHOWK,

BROKERS PVT.LTD.

BROKERS PVT.LTD.

DEEP COMPLEX,

S.K.JINDAL 150 10/081 8-8 INB10100 0135 23.12.199 7 31-12SHARE P.LTD 1997 BROKERS

S.K.JINDAL SHARE BROKERS P.LTD

113, U.P.STOCK EXCHANG E BLDG. 836, 14/113, CIVIL LINES,

151

10/081 7-0

INB10100 0233

23.12.199 7

31-121997

N.P.C.SHARE BROKERS PVT.LTD.

N.P.C.SHARE BROKERS PVT.LTD.

PADAM TOWERS, 6TH FLOOR, 127/1149 `A'-W-1, SAKET NAGAR, 423, PADAM TOWERS,

14/113, CIVIL LINES,

152

10/082 6-9

INB10102 4231

23.12.199 7

24-031998

KARTIKEYA SECURITIES PVT.LTD.

KARTIKEYA SECURITIES PVT.LTD.

KANPUR

153

10/082 9-3

INB10102 3936

23.12.199 7

24-031998

NAVIN SECURITIES PVT.LTD. MALAY

NAVIN SECURITIES PVT.LTD. MALAY INVST.& FIN.SER.PVT.L TD. A.M.SHARE BROKERS PVT.LTD. SAMRIDHI SHARE & STOCK BRO.LTD KCK INVEST. & FINANCE PVT.LTD. G.L.SHARMA

14/113, CIVIL LINES,

154

10/074 2-4

INB10083 0439

20.10.199 5

22-11-

INVST.& TD. A.M.SHARE BROKERS PVT.LTD. SAMRIDHI

413, PLAZA KALPANA,

24/147-A, BIRHANA ROAD,

1995 FIN.SER.PVT.L

RADHA KIRPA, OFFICE NO.104 CABIN NO.380, PADAM TOWER II, 87-88, SHAHPUR, PANKI, `SATYAM' 4/276, PARWATI KALPI ROAD, 14/113, CIVIL LINES, 49/52 GENERAL GANJ

155

10/080 3-0

INB10099 9733

23.12.199 7

01-041998

156

10/079 7-1

INB10097 8333

14.11.199 7

19-12-

SHARE & BRO.LTD

1997 STOCK

157

10/081 5-3 10/084

INB10103 5039 AWAITED

23.12.199 7 27.02.199

15-071998

KCK INVEST. & FINANCE PVT.LTD. G.L.SHARMA

158

6-3

STOCK BROK.PVT.LT D. SAKSHI

STOCK BROK.PVT.LT D. SAKSHI STOCKS & SHARES PVT.LTD VIKALP SECURITIES LTD. NIKHIL SECURITIES LTD. GLOBE STOCKs & SECURT.LTD DRB SECURITIES PVT.LTD. KRISHNA HARE KRISHNA CRD. SEC. GIRISH AGARWAL 24/7, BIRHANA ROAD, 712, PADAM TOWER,U. P.S.E 58/16-A, IST FLOOR, 2/448-B, NAWABGA 117/326, `O' BLOCK, 36/1, KAILASH MANDIR, 26/73, KARACHI KHANA, 127/24, W1, SAKET NAGAR, SAHA COURT, IST FLOOR, 60/1, NAYAGANJ ,

BAGLA ROAD,

159

10/071 8-1

INB10085 8538

02.05.199 5

11-01-

STOCKS & PVT.LTD

KANPUR - 208 001

1996 SHARES

160

10/072 0-1

INB10072 6335

21.06.199 5

07-061995

VIKALP SECURITIES LTD. NIKHIL SECURITIES LTD. GLOBE STOCKs & SECURT. LTD. DRB SECURITIES PVT.LTD. KRISHNA

KANPUR 208 001

161

10/072 2-0

INB10074 9939

16.08.199 5

07-071995

KANPUR

162

10/074 5-9

INB10085 1330

17.01.199 6

11-011996

8, GANESH CHANDRA AVENUE,

163

10/078 1-5

INB10096 5933

14.03.199 7

10-061997

KANPUR

164

10/084 5-5

INB10103 1830

27.02.199 8

28-05-

HARE CRD. SEC.

1998 KRISHNA

GEETA NAGAR,

165

10/087 2-2

INB10106 3015

07.08.199 9

02-09-

GIRISH

1999 AGARWAL

KANPUR

166

10/087 7-3

INB10108 0514

20.01.200 0

07-032000

PRAKASH CHANDRA AGARWAL MULTI STOCK BROKING PVT.LTD. MANOJ

PRAKASH CHANDRA AGARWAL MULTI STOCK BROKING PVT.LTD. MANOJ ASSOCIATES

14/113, CIVIL LINES,

167

10/087 9-0 10/088 2-0

INB10108 2031 INB10108 9416

20.01.200 0 16.03.200 0

15-032000 26-04-

BIRHANA ROAD,

168

2000 VERMA

KANPUR

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169

10/088 4-6

INB10111 9916

16.03.200 0

01-082000

170

10/089 1-9

INB10110 5816

16.03.200 0

31-05-

GOPAL DAS

2000 GAUR AAYUSHI

171

10/089 2-7

INB10109 3731

16.03.200 0

09-05-

STOCK PVT.LTD.

2000 BROKERS

172

10/089 5-1

INB10111 1913

16.05.200 0

11-072000

SANJIV KUMAR AGARWAL VISHAL

SHARDA NAGAR,

173

10/089 6-0

INB10111 1814

16.05.200 0

11-07-

KANPUR - 208 012

2000 BAJPAI

101/65, TALAQ MOHAL,

KAYASTHANA ROAD,

176

38/166, IST FLOOR,

2000 GUPTA

GILISH BAZAR,

177

10/091 8-4

AWAITED

16.11.200 0

AJAY KUMAR GUPTA

RAMA NATH GUPTA

8/61, GANGA GHAT, 37/17, 1ST

OPP.: MISRA COLONY GATE,

178

10/091

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16.11.200

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PRONTO

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9038

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FLOOR,

BUILDING, THE MALL,

179

10/092 8-1

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11.04.200 1

26-02-

SHARAD

11A/366, ASHOK NAGAR, 709/541, ATTARSUI YA, 3/36, VISHNUPU RI, W/O SHRI

KANPUR - 208 012

2002 GUPTA

180

10/092 9-0

INB10117 8516

11.04.200 1

26-02-

SYED JAWAD

SJH SECURITIES

ALLAHABAD 211 003

2002 HUSAIN

181

10/093 9-7

INB10119 4117

20.11.200 2

14-05-

RENU

J.P.SINGHAL & CO.

KANPUR - 208 002

1903 SINGHAL

182

10/094 2-7

INB10120 6812

14.05.200 4

07-07-

MANJU

MANJU A. ASSOCIATES

AWADHES H KUMAR SHUKLA

1/129, NAWABGANJ,

2004 SHUKLA

183

10/094 3-5

INB10121 4931

29.11.200 4

16-112004

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ANJU SHARE BROKERS (P) LTD.

ROOM NO.6, 10TH FLOOR, 17-A, POKHARP UR, 104A/138, RAM BAGH, CABIN

SOM DATT PLAZA, 10 THE MALL,

184

10/094 4-3

INB10122 5317

05.01.200 5

03-06-

MUNNA LAL

M.L.GUPTA & CO.

2005 GUPTA KAMTA PRASAD PANDEY

KANPUR

185

10/094 5-1

INB10122 2918

21.02.200 5

25-042005

SANKALP INVESTMENT

KANPUR

186

10/094 6-0

INB10125 6817

15.09.200 5

29-032006

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MAHALUXMI STOCKS

NO.556, PADAM TOWER,

14/113, CIVIL LINES,

187

10/094 0-1

INB10119 6930

18.07.200 3

11-072003

KANODIA SHARE & SEC.PVT.LTD.

KANODIA SHARE & SEC.PVT.LTD. R.N.NEOTIA & CO.

686, PADAM TOWER, U.P.S.E., 49/34, GENERAL KANPUR - 208 001 14/113, CIVIL LINES,

188

10/094 8-6

INB10127 7219

28.08.200 6

16-112006

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189

190

10/065 5-0

INB10056 3613

09.07.199 2

17-021994

OLD RAJINDER NAGAR

191

10/004 4-6

INB10034 3212

23.05.198 7

17-12-

10, ASAF ALI ROAD,

1992 MITTAL

192

10/095 0-8

INB10129 3919

30.01.200 8

22-02-

PRATIMA

BALAJI INVESTMENT

312 KAN CHAMBER S

14/113, CIVIL LINES,

2008 AWASTHI

CABIN 193 10/095 1-6 INB10132 5117 27.09.200 8 02-01CHITRA 2009 AGARWAL MOHINI & CO. NO.236, PADAM TOWER II BANSAL 194 10/087 4-9 INB10106 4336 07.08.199 9 17-09SHAREVEST LTD. PRADEEP KUMAR BANSAL 1999 SERVICES BANSAL SHAREVEST SERVICES LTD. PRADEEP KUMAR BANSAL 708, KRISHNA TOWER 101,NAMA N CENTRE, OPP. DENA BANK 14/113, CIVIL LINES,

7TH FLOOR, CIVIL LINES,

195

10/073 3-5

INB10085 9813

20.10.199 5

11-011996

G BLOCK, BANDRA KURLA COMPLEX

196

10/095 2-4

INB10132 5216

14.11.200 8

02-01-

PRITEE

VAIBHAV SECURITIES

101, ASHIRWAD COMPLEX

2/448, NAWABGANJ

2009 AGARWAL

197

10/095 3-2 10/095

INB10134 2617 INB10138

11.06.200 9 23.02.201

25-062009 18-06-

KHUSHAL DAS

KHUSHAL DAS & SONS SARSWAT

240, PADAM TOWER-II 128/126-H

14/113, CIVIL LINES KIDWAI NAGAR

198

ADITI

4-1

6812

2010 AGARWAL

INTERNATION AL ARSP SHARES & STOCK BROKING

BLOCK,

119/130-A, OM NAGAR, GUMTI NO.5 KANPUR - 208 012

199

10/095 5-9

INB10126 5115

26.08.201 0

21-011911

ANAND KUMAR PATHAK

s. .

Dear Investor, Now that you have become a stakeholder in a listed company, we welcome you to the securities market. Securities and Exchange Board of India, a statutory body constituted by the Government of India, stands committed to the assigned objective of protecting investors in the securities market. Ensuring disclosure of full, fair and adequate information has been the hallmark of our regulatory principle. In continuation of our efforts in that direction, we thought it fit and timely to write to you making you aware of

the rights that you have as a stakeholder in a company, the responsibilities that are cast on you, the risks that you have assumed, the procedures relating to trading and transfer of the securities and the remedies for problems that you may encounter. We hope that this material will give you appropriate guidance, though in brief, whenever you have a question in your mind. For detailed guidance, you may approach your broker, the investor service centres of the stock exchanges, and of course, the Investor Guidance Division of the Securities and Exchange Board of India. Securities and Exchange Board of India Risk Revisited When you invested, you did so with certain expectations about the performance of the company, the prospects of income from and/or the capital growth of the securities that you now hold, the corporate benefits that may accrue to you etc. While making that investment decision, you should have, obviously, taken note of and duly evaluated the attendant risks that go with such expectations. You would remember that one such risk is that your expectations on income and/or growth may not materialise. You would also recall that if you are an investor in the debt instruments, you can have recourse against the company, besides the market, for redeeming them. But, as an equity holder of a company, in order to realise the value of such investment, you have recourse only to the market. And you would recollect that the dis-investment may result in capital losses also. Further, you would have also noted that apart from the above mentioned investment risks, you also face the risk of running into problems with the trading and transfer of the securities.

Your Rights
As a shareholder in a company, you enjoy certain rights, which are as follows:

to receive the share certificates, on allotment or transfer as the case may be, in due time. to receive copies of the abridged Annual Report, the Balance sheet and the P&L A/c and the Auditors Report. to participate and vote in General Meetings either personally or through proxies. to receive Dividends in due time once approved in General Meetings. To receive corporate benefits like rights, bonus etc. once approved. to apply to Company Law Board(CLB) to call or direct the Annual General Meeting. to inspect the minute books of the General Meetings and to receive copies thereof. to proceed against the company by way of civil or criminal proceedings. to apply for the winding-up of the Company.

to receive the residual proceeds Besides the above rights which you enjoy as an individual shareholder, you also enjoy the following rights as a group

to requisition an Extra-ordinary General Meeting. to demand a poll on any resolution. to apply to CLB to investigate the affairs of the company. to apply to CLB for relief in cases of oppression and/or mismanagement. As a debenture-holder, you have the right to receive interest/ redemption in due time. to receive a copy of the trust deed on request. to apply for winding up of the company if the company fails to pay its debt. to approach the Debenture trustee with your grievance. You may note that the above mentioned rights may not necessarily be absolute. For example, the right to transfer securities is subject to the companys right to refuse transfer as per statutory provisions. Your Responsibilities While you may be happy to note that you have so many rights as a stakeholder in the company, that should not lead you to complacency ; because you have also certain responsibilities to discharge. To be specific,

to remain informed to be vigilant to participate and vote in general meetings. to exercise your rights on your own or as a group

Trading of securities
You have the right to sell the securities that you hold at a price and time that you may choose. You can do so personally with another person or through a recognised stock exchange. Similarly you have the right to buy securities from anyone or through a recognised stock exchange at a mutually acceptable price and time. Whether it is a sale or purchase of securities, effected directly by you or through an exchange, all trades should be executed by a valid, duly completed and stamped transfer deed. If you choose to deal (buy or sell) directly with another person, you are exposed to counter party risk, i.e., the risk of non-performance by that party. However, if you deal through a stock exchange, this counter party risk is reduced due to trade/settlement guarantee offered by the stock exchange mechanism. Further, you also have certain protections against defaults by your broker. When you operate through an exchange, you have the right to receive the best price prevailing at that time for the trade and the right to receive the money or the shares on time. You also have the right to receive a contract note from the broker confirming the trade and indicating the time of execution of the order and other necessary details of the trade. You also have the right to receive good delivery and the right to insist on rectification of bad delivery. If you have a dispute with your broker, you can resolve it through arbitration under the aegis of the exchange. If you decide to operate through an exchange, you have to avail the services of a SEBI registered broker/sub-broker. You have to enter into a broker-client agreement and file a client registration form. Since the contract note is a legally enforceable document, you should insist on receiving it. You have the obligation to deliver the shares in case of sale or pay the money in case of purchase within the time prescribed. In case of bad delivery of securities by you, you have the responsibility to rectify them or replace them with good ones.

Transfer of securities
Transfer of securities mean that the company has recorded in its books, a change in the title of ownership of the securities effected either privately or through an exchange transaction. To effect a transfer, the securities should be sent to the company along with a valid, duly executed and stamped transfer deed duly signed by or on behalf of the transferor (seller) and transferee (buyer). It would be a good idea to retain photo-copies of the securities and the transfer deed when they are sent to the company for transfer. It is essential that you send them by registered post with acknowledgement due and watch out for the receipt of the acknowledgement card. If you do not receive the confirmation of receipt within a reasonable period, you should immediately approach the postal authorities for confirmation. Sometimes, for your own convenience, you may choose not to transfer the securities immediately. This may facilitate easy and quick selling of the securities. In that case you should take care that the transfer deed remains valid. However, in order to avail the corporate benefits like the Dividends, Bonus or Rights from the company, it is essential that you get the securities transferred in your name. On receipt of your request for transfer, the company proceeds to transfer the securities as per provisions of the law. In case they cannot effect the transfer, the company returns back the securities giving details of the grounds under which the transfer could not be effected. This is known as Company Objection. When you happen to receive a company objection for transfer, you should proceed to get the errors/ discrepancies corrected. You may have to contact the transferor (the seller) either directly or through your broker for rectification or replacement with good securities. Then you can resubmit the securities and the transfer deed to the company for effecting the transfer. In case you are unable to get the errors rectified or get them replaced, you have recourse to the seller and his broker through the stock exchange to get back your money. However, if you had transacted directly with the seller originally, you have to settle the matter with the seller directly. Sometimes, your securities may be lost or misplaced. You should immediately request the company to record a stop transfer of the securities and simultaneously apply for issue of duplicate securities. For effecting stop transfer, the company may require you to produce a court order or the copy of the FIR filed by you with the Police Further, to issue duplicate securities to you, the company may require you to submit indemnity bonds, affidavit, sureties etc. besides issue of a public notice. You have to comply with these requirements in order to protect your own interest. Sometimes, it may so happen that the securities are lost in transit either from you to the company or from the company to you. You have to be on your guard and write to the company within a month of your sending the securities to the company. The moment it comes to your notice that either the company has not received the securities that you sent or you did not receive the securities that the company claims to have sent to you, you should immediately request the company to record stop transfer and proceed to apply for duplicate securities.

Depository and dematerialisation

Shares are traditionally held in physical or paper form. This method has its own inherent weaknesses like loss/theft of certificates, forged/fake certificates, cumbersome and time consuming procedure for transfer of shares etc. Therefore, to eliminate these weaknesses, a new system called Depository System has been established. A depository is a system which holds your shares in the form of electronic accounts in the same way a bank holds your money in a savings account.

Depository System provides the following advantages to an investor.

Your shares cannot be lost or stolen or mutilated. You never need to doubt the genuineness of your shares i.e., whether they are forged or fake. Share transactions like transfer, transmission etc. can be effected immediately. Transaction costs are usually lower than on the physical segment. There is no risk of bad delivery. Bonus /Rights shares allotted to you will be immediately credited to your account. You will receive the statement of accounts of your transactions/ holdings periodically. When you decide to have your shares in electronic form, you should approach a Depository Participant (DP) who is an agent of the depository and open an account. You should surrender your share certificates in physical form and your DP will arrange to get them sent to and verified by the company and on confirmation credit your account with an equivalent number of shares. This process is known as de-materialisation. You can always reverse this process if you so desire and get your shares reconverted into paper format. This process is known as re-materialisation. Share transactions (like sale or purchase and transfer/transmission etc.) in the electronic form can be effected in a much simpler and faster way. All you need to do is that after confirmation of sales/purchase transaction by your broker, you should approach your DP with a request to debit/credit your account for the transaction. The Depository will immediately arrange to complete the transaction by updating your account. There is no need for separate communication to the company to register the transfer.

Grievance Redressal
There will be occasions when you have a grievance against the company in which you are a stake-holder. It may be that you have not received the share certificates on Allotment or on transfer; it may be that you did not receive the dividend/interest warrant or refund order; perhaps you did not receive the Annual accounts etc. while you would first approach the company in that regard, you may not be satisfied with the companys response there to. You would like to know whom you should turn to get your grievance redressed. The following table would provide you the guidance in this regard.

Nature of grievance In case of any Public Issue, non-receipt of Refund order Interest on delayed refund. Allotment advice Share certificates Duplicates for all of the above Re-validations.

Can be taken up with

- SEBI - Dept. Of Company Affairs - Dept. Of Company Affairs - Stock Exchange - Registrars to the issue - Registrars to the issue

In case of a listed security, non-receipt of the certificates after: transfer transmission conversion - SEBI - SEBI

endorsement consolidation splitting duplicates of securities

- SEBI - Dept. of Company Affairs - Stock Exchange - Stock Exchange - Stock Exchange

Regarding listed Debentures, non-receipt of interest due redemption proceeds interest on delayed payment - SEBI - Dept. of Company Affairs - The Debenture Trustees - Stock Exchange Regarding bad delivery of shares Regarding shares or debentures in unlisted companies Deposits in collective investment schemes like plantations etc. Units of Mutual Funds Fixed Deposits in Banks and Finance Companies Fixed Deposits in manufacturing companies SEBI Reserve Bank OF India Dept. of Company Affairs Bad delivery cell of the stock exchange. Dept. of Company Affairs SEBI

Investor Information Centres have been set up in every recognised stock exchange which in addition to the complaints to the securities traded/listed with them, will take up all other complaints regarding the trades effected in the exchange and the relevant member of the exchange. Moreover two other avenues are always available to the investors to seek redressal of their complaints which are through

Complaints with Consumers Disputes Redressal Forums Suits in the Court of Law.

Offices of SEBI

SEBI Offices Head Office : Mittal Court, B Wing, 1st Floor, 224 Nariman Point, MUMBAI - 400 021
Northern Regional office: Block No.1, Rajendra Bhawan, Rajendra Place, Dist.

Jurisdiction For the companies having their Registered Offices in

Gujarat, Maharashtra, Madhya Pradesh, Goa, Daman Diu, Dadra and Nagar Haveli.
Haryana, Himachal Pradesh, Jammu and Kasmir, Punjab,

Centre, NEW DELHI-110 008 Eastern Regional Office: FMC Fortuna, 5th Floor, 234/3A AJC Bose Road, CALCUTTA- 700 020 Southern Regional Office: 3rd Floor, DMonte Bldg. No.32, DMonte Colony, TTK Road, Alwarpet, CHENNAI-600 018

Rajasthan, Uttar Pradesh, Delhi and Chandigarh. Assam, Bihar, Manipur, Meghalaya, Nagaland, Orissa, West Bengal, Sikkim, Arunachal Pradesh, Mizoram, Tripura, Andaman and Nicobar Islands Andhra Pradesh, Karnataka, Kerala, Tamilnadu, Pondicherry, Lakshadweep and Minicoy

KEY TERMS
Arbitration : Settlement of claims differences or disputes between one member and another and between a member and his clients, authorised clerks, sub-brokers, etc., through appointed arbitrators. It is a quasi-judicial process that is faster and is an inexpensive way of resolving a dispute. The Exchange facilitates the process of arbitration between the members and their clients. The disputes between the parties are resolved through an arbitration in accordance with the bye-laws of the exchange. Auction : An auction is a mechanism utilised by the Exchange to fulfil its obligation to a counter party member when a member fails to deliver good securities or make the payment. Through auction, the Exchange arranges to buy good securities and deliver them to the buying broker or arranges to realise the cash and pay it to the selling broker. Bad delivery cell : When a delivery of shares turns out to be bad because of company objection etc., the investor can approach the bad delivery cell of the stock exchange through his broker for correction or replacement with good delivery. Bid and offer : Bid is the price of a share a prospective buyer is prepared to pay for a particular scrip. Offer is the price at which a share is offered for sale. Brokerage : Brokerage is the commission charged by the broker for purchase/sale transaction through him. The maximum brokerage chargeable, as stipulated by SEBI, is at present 2.5% of the trade value. Carry forward trading : Carry forward trading has evolved in response to local needs in India and it refers to the trading in which the settlement is postponed to the next account period on payment of contango charges (kn own as vyaj badla) in which the buyer pays interest on borrowed funds or the backwardation charges (known as undha badla) in which the short seller pays a charge for borrowing securities. Circuit breakers : It is a mechanism by which Exchanges temporarily suspend the trading in a security when its prices are volatile and tend to breach the price band. Clearing : Clearing refers to the process by which all transactions between members is settled through multilateral netting. Company objection : An investor sends the certificate along with the transfer deed to the company for transfer. In certain cases the

registration is rejected because of signature difference, or if the shares are fake, forged or stolen etc;. In such cases the company returns the shares along with a letter which is termed as a company objection. Cum-bonus : The share is described as cum-bonus when a purchaser is entitled to receive the current bonus. Cum-rights : The share is described as cum-rights when a purchaser is entitled to receive the current rights. Day order : A day order, as the name suggests, is an order which is valid for the day on which it is entered. If the order is not matched during the day, at the end of the trading day the order gets cancelled automatically. Dematerialisation: Dematerialisation is the process by which shares in the physical/paper form are cancelled and credit in the form of electronic balances are maintained on highly secure systems at the depository. Ex-bonus : The share is described as ex-bonus when a purchaser is not entitled to receive the current bonus, the right to which remains with the seller. Ex-rights : The share is described as ex-rights when a purchaser is not entitled to receive the current rights, the right of which remains with the seller. Forward trading : Forward trading refers to trading where contracts traded today are settled at some future date at prices decided today. Good-bad delivery : A share certificate together with its transfer form which meet all the requirements of title transfer from seller to buyer is called good delivery in the market. Delivery of a share certificate, together with a deed of transfer, which does not meet requirements of title transfer from seller to buyer is called a bad delivery in the market. Insider trading : Trading in a Companys shares by a connected person having non -public, price sensitive information, such as expansion plans, financial results, takeover bids, etc., by virtue of his association with that Company, is called insider trading. Jumbo certificate : A jumbo share certificate is a single composite share certificate formed by consolidating/aggregating a large number of market lots. Market lot : Market lot is the minimum number of shares of a particular security that must be transacted on the Exchange. Multiples of the market lot may also be transacted. No-delivery period : Whenever a book closure or record date is announced by a company, the Exchange sets a no-delivery period for that security. During this period, trading is permitted in that security. However, these trades are settled only after the nodelivery period is over. This is done to ensure that investors entitlement for corporate benefits is clearly determined. Odd lot : A number of shares that are less than the market lot are known as odd lots. Under the scrip based delivery system, these shares are normally traded at a discount to the prevailing price for the marketable lot. Order driven trading : It is a trading initiated by buy/sell orders from investors/brokers.

Over the counter trading : Trading in those stocks which are not listed on a stock exchange. Pay-in : Pay-in day is the designated day on which the securities or funds are paid in by the members to the clearing house of the Exchange. Pay-out : Pay-out is the designated day on which securities and funds are paid out to the members by the clearing house of the Exchange. Price band : The daily/weekly price limits within which price of a security is allowed to rise or fall. Price rigging : When a person or person acting in concert with each other collude to artificially increase or decrease the prices of a security, that process is called price rigging. Quote driven trading : Trading where brokers/market makers give buy/sell quote for a scrip simultaneously. Record date : Record date is the date on which the beneficial ownership of an investor is entered into the register of members. Such a member is entitled to get all the corporate benefits. Rematerialisation of shares : It is the process through which shares held in electronic form in a depository are converted into physical form. Screen based trading : When buying/selling of securities is done using computers and matching of trades is done by a stock exchange computer. Settlement : It refers to the scrip-wise netting of trades by a broker after the trading period is over. Settlement guarantee : Settlement guarantee is the guarantee provided by the clearing corporation for settlement of all trades even if a party defaults to deliver securities or pay cash. Splitting/Consolidation : The process of splitting shares that have a high face value into shares of a lower face value is known as splitting. The reverse process of combining shares that have a low face value into one share of higher value is known as consolidation. Spot trading : Trading by delivery of shares and payment for the same on the date of purchase or on the next day. Stop transfer : The instruction given by a registered holder of shares to the company to stop the transfer of shares as a result of theft, loss etc,. Trade guarantee : Trade guarantee is the guarantee provided by the clearing corporation for all trades that are executed on the Exchange. In contrast the settlement guarantee guarantees the settlement of trade after multilateral netting. Trading for delivery : Trading conducted with an intention to deliver shares as opposed to a position that is squared off within the settlement.

Transfer deed : A transfer deed is a form that is used for effecting transfer of shares or debentures and is valid for a specified period. It should be sent to the company along-with the share certificate for registering the transfer. The transfer deed must be duly stamped and signed by or on behalf of the transferor and transferee and complete in all respects. Transmission : Transmission is the lawful process by which the ownership of securities is transferred to the legal heir/s of the deceased. The readers are requested to refer to the specific Acts, rules and regulations for exact details and clarifications and are reminded that this booklet does not purport to explain the laws or rules in force, with respect to any particular fact pattern. Answers to questions involving particular facts depend upon interpretations, administrative decisions and court actions. While every effort has been made to ensure the accuracy and completeness of the information contained, the Board assumes no liability for any errors or omission of information given above.

Search Your Circulars

Notice No. UPSE/LC/PRV NO-56 UPSE/LC/PRV NO-55 UPSE/2012-13/31 UPSE/A & A/2012-13/30 UPSE/LC/PRV NO-54 UPSE/LC/SN-01/2012-2013/29 UPSE/LC/PRV NO-53 UPSE/Mem/2012-13/28 UPSE/2012-13/27 UPSE/A & A/2012-13/26 UPSE/LC/PRV NO-52 UPSE/LC/PRV NO-51

Date

Subjects

10.07.2012 Quarterly Unidited Financial Results 09.07.2012 AGM and Quarterly Unidited Financial Results 06.07.2012 Reduction of Time-line for Transfer of Equity Shares 06.07.2012 Review of Notice no. 25 dated 2nd July 2012 06.07.2012 Quarterly Unidited Financial Results 04.07.2012 Securities Admitted to Deal on the Stock Exchange 04.07.2012 AGM 03.07.2012 Deceased Trading MemberShip 02.07.2012 Broad Guidelines on Algorithmic Trading 02.07.2012 Opening of office on Saturdays 02.07.2012 Unaudited Financial Results 28.06.2012 AGM for Year end 31.03.12 and Disclosures under the SEBI(Substantial Acquisition of Shares and Takeover) Regulation 2011PRV 50--- AGM for Year end 31.03.12

UPSE/LC/PRV NO-50 UPSE/2012-13/24 UPSE/2012-13/25 UPSE/LC/PRV NO- 46 UPSE/LC/PRV NO- 47 UPSE/LC/PRV NO- 48 UPSE/LC/PRV NO- 49 UPSE/2012-13/23 UPSE/2012-13/22 UPSE/2012/MEM/21 UPSE/2012/RESG./T.MEM/149/20 UPSE/LC/PRV NO-45 UPSE/LC/PRV NO-44 UPSE/LC/PRV NO-43 UPSE/LC/PRV NO-42 UPSE/LC/PRV NO-41 UPSE/LC/PRV NO-40 UPSE/LC/PRV NO-39 UPSE/LC/PRV NO-38 UPSE/LC/PRV NO-37 UPSE/LC/PRV NO-36 UPSE/LC/PRV NO-35 UPSE/LC/PRV NO-34 UPSE/LC/PRV NO-33 UPSE/LC/PRV NO-32 UPSE/LC/PRV NO-31 UPSE/LC/PRV NO-30

26.06.2012 Quarterly Audited Financial Results 26.06.2012 Clarification to the Guidelines for Business Continuity Plan (BCP) and Disaster Recovery(DR) 26.06.2012 Holiday on 27th June, 2012 on account of Corporation Elections in Kanpur 19.06.2012 Disclosures under the SEBI(Substantial Acquisition of Shares and Takeover) Regulation 2011 20.06.2012 AGM for Year end 31.03.12 21.06.2012 Allotment of equity Shares 25.06.2012 AGM for Year end 31.03.12 18.06.2012 Establishment of Connectivity with both depositories 18.06.2012 Redressal of Complaints through SCORES 15.06.2012 Cancellation of SEBI Registration Certificate 14.06.2012 Resignation from the Trading Membership of the Exchange. 14.06.2012 Audited Financial Results for quarter end 31.03.12 11.06.2012 Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011 05.06.2012 AGM for Year end 31.03.12 04.06.2012 AGM 01.06.2012 31.05.2012 AGM for Year end 31.03.12 30.05.2012 Audited Financial Results for quarter end 31.03.12 29.05.2012 AGM for the Year ended 31.03.12 28.05.2012 AGM for the Year ended 31.03.12 25.05.2012 Unaudited Financial Results for quarter end 31.03.12 24.05.2012 Audited Financial Results for quarter end 31.03.12 23.05.2012 Audited Financial Results for quarter end 31.03.12 22.05.2012 Audited Financial Results for quarter end 31.03.12 21.05.2012 Audited Financial Results for quarter end 31.03.12 18.05.2012 Audited Financial Results for quarter end 31.03.12 17.05.2012 Audited Financial Results for quarter end 31.03.12

UPSE/LC/PRV NO-29 UPSE/LC/PRV NO-28 UPSE/LC/PRV NO-27 UPSE/LC/PRV NO-26 UPSE/LC/PRV NO-25 UPSE/LC/PRV NO-24 UPSE/LC/PRV NO-23 UPSE/LC/PRV NO-22 UPSE/LC/PRV NO-21 UPSE/LC/PRV NO-20 UPSE/2012-13/Mem/019 UPSE/2012-13/Mem/018 UPSE/2012-13/017

16.05.2012 Audited Financial Results for quarter end 31.03.12 15.05.2012 14.05.2012 Unaudited Financial Results for quarter end 31.03.12 11.05.2012 Audited Annual Accounts and recommendation of st dividead for the year ended 31 march.2012 10.05.2012 Unaudited Financial Results for quarter end 31.03.12 09.05.2012 Unaudited Financial Results for quarter end 31.03.12 08.05.2012 Unaudited Financial Results for quarter end 31.03.12 07.05.2012 Unaudited Financial Results for quarter end 31.03.12 04.05.2012 Unaudited Financial Results for quarter end 31.03.12 03.05.2012 Unaudited Financial Results for quarter end 31.03.12 04.06.2012 22.05.2012 21.05.2012 In the High Court of Judicature at Bombay:
(i) Writ Petition NO.1899 of 2011-Srinivas Talluri Vs. SEBI and (ii) Writ Petition No.1900 of 2011-Subramani Gopalkrishnan Vs. SEBI

UPSE/2012-13/Surv./016 UPSE/2012-13/015

18.05.2012 Guidelines and Report Fromat for Interual Audit of Stock Brokers/Clearing Members. 11.05.2012 Investment by Qualified Foreign Investors (QFI) in Indian Equity Shares.

UPSE/2012/RESG/T.MEM/160/013 04.05.2012 UPSE/2012-13/012 24.04.2012 Establishment of Connectivity with both depositories NSDL and CDSL - Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement. 23.04.2012 Master Circular for Stock Exchanges / Cash Market. 23.04.2012 Processing of Investor Complaints against listed companies in SEBI Complaints Redress System (SCORES) 23.04.2012 Order of the Adjudicating Officer (Ms. Barnall Mukherjee) in the matter of Rich Capital & Financial Services Ltd. (Now known as Rich Universe Network Ltd.) 02.05.2012 Unaudited Financial Results for quarter end 31.03.2012.

UPSE/2012-13/11 UPSE/2012-13/10

UPSE/2012-13/09

UPSE/LC/PRV NO-19

UPSE/LC/PRV NO-18 UPSE/LC/PRV NO-17 UPSE/LC/PRV NO-16 UPSE/LC/PRV NO-15 UPSE/LC/PRV NO-14 UPSE/LC/PRV NO-13 UPSE/LC/PRV NO-12 UPSE/LC/PRV NO-11 UPSE/LC/PRV NO-10 UPSE/LC/PRV NO-9 UPSE/LC/PRV NO-8 UPSE/LC/PRVNO-8

30.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 27.04.2012 26.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 25.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 24.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 23.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 20.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 19.04.2012 Disclosures under the SEBI (Substatntial Acquisition of Shares and Takeover) Regulation 2011. 18.04.2012 Unaudited Financial Results for quarter end 31.03.2012 & Recommend dividend. 17.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 16.04.2012 Unaudited Financial Results for quarter end 31.03.2012. 13.04.2012 Unaudited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 12.04.2012 Unaudited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 11.04.2012 Unaudited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 10.04.2012 Unaudited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 09.04.2012 Unaudited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 04.04.2012 Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover) Regulations, 2011. 04.04.2012 Grievances received for Dhanvantri Jeevan Rekha Ltd. and Rich Capital and Financial Services Ltd. 02.04.2012 Audited Financial Results and Disclosure under SEBI (Substential Acquisitiono of Sharesand takeover)

UPSE/LC/PRVNO-7

UPSE/LC/PRVNO-6

UPSE/LC/PRVNO-4

UPSE/LC/PRVNO-3

UPSE/LC/PRVNO-2

UPSE/LC/PRVNO-1

Regulations, 2011.
UPSE/2012-13/001 UPSE/2012-13/002

02.04.2012 Broad Guidelines on Algorithmic Trading 02.04.2012 Exemptions from 100% promoter(s) holding in demat form 03.04.2012 27.03.2012 27.03.2012 22.03.2012 Payment of outstanding Subseription, Cabin Maintenance Charges etc 13.03.2012 07.03.2012 07.03.2012 29.02.2012 27.02.2012 Standerdized lot size for SME Exchange / Plateform 17.02.2012 Constitution of Investor Grievance Redressal Committe (IGRC) 17.02.2012 Constitution of Arbitration Committee (Panel) 16.02.2012 15.02.2012 Arrangement of vehicles parking within the Exchange premises (other than vehicles of Exchange and tenants) 15.02.2012 Revision of the Maintenance Charges for the use of Auditorium/Lawn of the Exchange by outsiders 15.02.2012 Revision of the Charges of tramsfer deed 14.02.2012 Holiday on 23rd February, 2012 on account of State Assembly Elections in Kanpur 09.02.2012 Amendments to the Equity Listing Agreement 25.01.2012 Toll-free Helpline Service for investors - launched by SEBI.

UPSE/2012/RESG./T.MEM/167/03 UPSE/2011-12/LISTING/3740 UPSE/2011-12/LISTING/3741 UPSE/2011-12/107

UPSE/2012/RESG./T.MEM/166/106 UPSE/2012/RESG./T.MEM/165/105 UPSE/2012/RESG/T.MEM/165/3454 UPSE/2011-12/LISTING/3424 UPSE/2011-12/104 UPSE/2011-12/034

UPSE/2011-12/033 UPSE/2011-12/G&C/DEF/103 UPSE/2011-12/102

UPSE/2011-12/101

UPSE/2011-12/100 UPSE/2011-12/A&A/99

UPSE/2011-12/98 UPSE/2011-12/97

UPSE/2011-12/Mem/96 UPSE/2011-12/Mem/95 UPSE/2011-12/93

31.01.2012 27.01.2012 23.01.2012 Trade controls in Normal Trading Session for Initial Pubic Offering (IPO) and other category of scrips. 23.01.2012 Investor Grievance Redressal Mechanism at Stock Exchanges. 23.01.2012 Composition of arbitration committee. 23.01.2012 Call Auction in Pre-open session for initial Public Offering (IPO) and other category of scrips. 18.01.2012 Trading Member of the Exchange and other concerned are here by notified that the securities of the mentioned company has been delisted from this Exchange with effect from 12.01.2012. 18.01.2012 Trading Member of the Exchange and other concerned are here by notified that the securities of the mentioned company has been delisted from this Exchange with effect from 12.01.2012. 18.01.2012 Trading Member of the Exchange and other concerned are here by notified that the securities of the under mentioned company has been delisred from this Exchange with effect form 12.01.2012 and its name been deleted from the list of listed companies of this Exchange: 17.01.2012 SEBI {KYC {Know Your Client} Registration Agency {KRA}, Regulations,2011 27.12.2011 Public issue of Debt Securities-Prohibition on payment of incentives 26.12.2011 Guidelines in pursuance of the SEBI KYC Registration Agency (KRA) Regulations, 2011 and for In-Person Verification (IPV) 22.12.2011 21.12.2011 Establishment of Connectivity with both depositories NSDL and CDSL- Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement. 21.12.2011 Unclaimed Dividend which was declared in the year 2008 21.12.2011 Unclaimed Dividend which was declared in the year 2009 16.12.2011 Guidelines on Outsourcing of Activities by

UPSE/2011-12/92

UPSE/2011-12/91 UPSE/2011-12/90

UPSE/2011-12/LISTING/3129

UPSE/2011-12/LISTING/3127

UPSE/2011-12/LISTING/3125

UPSE/2011-12/89 UPSE/2011-12/88 UPSE/2011-12/87

UPSE/2011-12/Mem/86 UPSE/2011-12/85

UPSE/2011-12/ A&A/84 UPSE/2011-12/A&A/83 UPSE/2011-12/82

Intermediaries UPSE/2011-12/Mem/80 UPSE/2011-12/79 12.12.2011 07.12.2011 Clarification Regarding Service tax on delayed payment charges collected by the service provider in respect of Stock Brokers services reg. 07.12.2011 The Securities and Exchange Board of India (KYC Registration Agency) Regulations, 2011 21.11.2011 18.11.2011 18.11.2011 17.11.2011 Guidelines and Report Format for Internal Audit of Stuck Brokers/Clearing Members. 14.11.2011 01.11.2011 01.04.2011 List of approved Shares for the month of April, 2011 08.04.2011 Limitation period for filing an arbitration referee 11.04.2011 Listing Agreement for Securitized Debt Instruments 11.04.2011 Segregation from Business other than Securities Business 20.04.2011 Trade Calender for the month of May, 2011 25.04.2011 Use of Licensed Copy of Software 27.04.2011 Order of the Whole Time Member (Shri M S Sahoo) in the matter of Pyramid Saimira Theatre Limited 28.04.2011 Review of Annual Issuer's charges 02.05.2011 Applications Supported by Blocked Amount (ASBA) facility 03.05.2011 Admission of New Members in the Exchange 05.05.2011 List of approved Shares for the month of May, 2011 16.05.2011 Self Clearing Member in the Currency Derivatives Segment 16.05.2011 Clarification on circular dated December 3, 2009 on 'Dealings between a Client and a Stock Broker' 17.05.2011 Adjustment of differential pricing amount at the time of application for allotment of specified securities 18.05.2011 Trade Calender for the month of June, 2011

UPSE/2011-12/73 UPSE/CLH/2011-12/76 UPSE/2011-12/Mem/75 UPSE/2011-12/G&C/DEF/74 UPSE/2011-12/Surv./73 UPSE/2011-12/Mem/72 UPSE/2011-12/71 UPSE/2011-12/Margin/01 UPSE/2011-12/02 UPSE/2011-12/03 UPSE/2011/MEM/04 UPSE/CLH/2011-12/05 UPSE/2010-11/EDP/06 UPSE/2010-11/07 UPSE/2011-12/08 UPSE/2011-12/09 UPSE/2011-12/10 UPSE/2010-11/Margin/11 UPSE/2011-12/12 UPSE/2011-12/13 UPSE/2011-12/14 UPSE/CLH/2011-12/15

UPSE/2011-12/Surv./16 UPSE/2011-12/Margin/17 UPSE/2011-12/18 UPSE/2011-12/19

26.05.2011 Guidelines and Report Format for Internal Audit of Stock Brokers/ Clearing Members 02.06.2011 List of approved Shares for the month of June, 2011 02.06.2011 Liquidity Enhancement Schemes for Illiquid Securities in Equity Derivatives Segment 03.06.2011 Processing of investor complaints against listed companies in SEBI Complaints Redress System (SCORES) 03.06.2011 Periodical Report- Grant of prior approval to members to stock exchanges/ sub-brokers 03.06.2011 Redemption of Indian Depository Receipts (IDRs) into Underlying Equity Shares 10.06.2011 Pre-funded instruments/ Electronic fund transfers 17.06.2011 Change of Name by Listed Companies 17.06.2011 Modification to Investor Protection Fund (IPF)/ Customer Protection Fund (CPF) Guidelines 20.06.2011 Shareholding of promoter/ promoter group to be in dematerialized mode 20.06.2011 Trade Calender for the month of July, 2011 01.07.2011 Review of Internet Based Trading (IBT) and Securities trading using Wireless technology 01.07.2011 Establishment of Connectivity with both depositories NSDL and CDSL- Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement 04.07.2011 Launching of Common Trading Platform of InterConnected Stock Exchange of India Limited (ISE) 05.07.2011 List of approved Shares for the month of July, 2011 05.07.2011 Modification of Client Codes of Non-institutional Trades Executed on Stock Exchanges (All Segments) 12.07.2011 Clarification regarding admission of Limited Liability partnerships as members of Stock Exchanges 20.07.2011 Trade Calender for the month of August, 2011 21.07.2011 Establishment of Connectivity with both depositories NSDL and CDSL- Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement 03.08.2011 SMS and E-mail alerts to investors by stock exchange

UPSE/2011-12/20 UPSE/2011-12/21 UPSE/2011-12/22 UPSE/2011-12/23 UPSE/2011-12/24 UPSE/2011-12/25 UPSE/CLH/2011-12/26 UPSE/2011-12/27 UPSE/2011-12/28

UPSE/2011-12/29 UPSE/2010-11/Margin/30 UPSE/2011-12/31 UPSE/2011-12/32 UPSE/CLH/2011-12/33 UPSE/2011-12/34

UPSE/2011-12/35

UPSE/2011-12/Mem/36 UPSE/2010-11/Margin/37 UPSE/2011-12/38 UPSE/2011-12/39 UPSE/2011-12/A&A/40 UPSE/2011-12/41 UPSE/2011-12/Mem/42 UPSE/2011-12/43 UPSE/2011-12/Mem/44 UPSE/CLH/2011-12/45 UPSE/2011-12/46 UPSE/2011-12/47

03.08.2011 Cancellation of Trading memberships of the Exchange 03.08.2011 List of approved Shares for the month of Aug, 2011 04.08.2011 Revised procedure for seeking prior approval for change in Control through single window 05.08.2011 Processing of investor complaints in SEBI Complaints Redress System (SCORES) 09.08.2011 Flag Hoisting on Independence Day 10.08.2011 Investment by Foreign Investors in Mutual Fund Scheme 16.08.2011 Cancellation of Trading membership of Shri Anil Kumar Kapoor 17.08.2011 Short-collection/ Non-collectiom of client margins (Derivatives Segments) 17.08.2011 Cancellation of Trading memberships of Shri Rajesh Kumar Kapoor and Shri Dr. Raghunandan Singh 24.08.2011 Trade Calendar for the month of September, 2011 24.08.2011 Simplification and Rationalization of Trading Account Opening Process 25.08.2011 Redressal of investor grievances against stock brokers and sub-brokers in SEBI Complaints Redress System (SCORES) 05.09.2011 List of approved Shares for the month of Sep, 2011 06.09.2011 Regarding restriction of voting power in Annual General Meeting 06.09.2011 Last date for filing nomination for election as Director in the Ensuing AGM (31st) of the Exchange to be held on 24.09.2011 06.09.2011 Submission of Audited Annual Accounts for the Financial Year 2010-11 08.09.2011 Discontinuation of Transaction Fees of the Exchange 09.09.2011 Withdrawal of nomination from the candidature for election as Director in the forth coming A.G.M. of the Exchange to be held on 24.09.2011 09.09.2011 Details of your staff and regular clients etc. for issuance of Temporary Entry Pass to allow entry to the Exchange premises 19.09.2011 Trade Calendar for the month of October, 2011 20.09.2011 Regarding restriction of voting power in Annual

UPSE/2010-11/Margin/48 UPSE/2011-12/49 UPSE/2011-12/50

UPSE/2011/A&I/51 UPSE/2011-12/52 UPSE/2011-12/53

UPSE/2011-12/P&M/54

UPSE/CLH/2011-12/55 UPSE/2011-12/56

General Meeting UPSE/2011-12/57 UPSE/2011-12/58 UPSE/2011-12/59 UPSE/2011-12/Mem/60 UPSE/2011-12/Margin/61 UPSE/2011-12/62 UPSE/2011-12/63 UPSE/2011-12/64 UPSE/2011-12/65 UPSE/2011-12/66 28.09.2011 Contents of Application-Cum-Bidding Form and Manner of disclosure 29.09.2011 Guidelines for issue and Listing of Structured Products/ Market Linked Debentures 03.10.2011 Clarification on 100% promoter holding in demat form 03.10.2011 Cancellation of Trading membership of M/s Garg Equity Traders Pvt. Ltd. 04.10.2011 List of approved Shares for the month of Oct, 2011 07.10.2011 Amendments to the Equity, IDR and SME Equity Listing Agreements 07.10.2011 Uniform Know Your Client (KYC) Requirements for the Securities Markets 07.10.2011 Non maintenance of required Base Minimum Capital (BMC) deposit by the Trading Members 14.10.2011 Submission of Networth Certificate 17.10.2011 Establishment of Connectivity with both depositories NSDL and CDSL- Companies eligible for shifting from Trade for Trade Settlement (TFTS) to normal Rolling Settlement 18.10.2011 Trade Calender for the month of November, 2011 21.10.2011 SEBI (Substantial Acquisition of Shares and Takeovers) Regulations, 2011 (The Regulations) 25.10.2011 DEEPAWALI POOJAN on 26.10.2011 at 5.30 p.m. 28.10.2011 In-person' verification (IPV) of clients by subsidiaries of stock exchanges, acting as stock brokers

UPSE/CLH/2011-12/67 UPSE/2011-12/68 UPSE/2011-12/A & A/69 UPSE/2011-12/70

UP Stock Exchange
From Wikipedia, the free encyclopedia

Coordinates:

26.481699N 80.344841E

UP Stock Exchange

Type

Stock Exchange

Location

Kanpur, INDIA

Founded

27th August, 1982

Key people

Dr. G.H.Singhania (Founder)

Currency

Website

upse-india.com

The UP Stock Exchange Limited ((Formerly known as The U.P.Stock Exchange Association Ltd., Kanpur), is a Kanpur-based stock exchange.It occupies one of the prominent place among the Stock Exchanges in India. The Exchange was inaugurated on 27th August, 1982 by the then Finance Minister Shri Pranab Mukherjee. It plays an important role in the development of the capital market of North India. Initially, it had only 350 members which has grown up to 540 at present. UPSE is the only Stock Exchange in whole of Uttar Pradesh and the membership of this Stock Exchange is not restricted to the territories of Uttar Pradesh only. Members living outside Kanpur has contributed a lot by creating the equity cult in whole of the Uttar Pradesh.

[edit]UPSE

Securities

UPSE Securities Ltd. is a 100% owned subsidiary of the U.P. Stock Exchange Association Ltd. and was incorporated on 19th of April, 2000. Its main object is to obtain membership of the big exchanges like BSE or CSE. It aims at providing trading facilities on these bigger exchanges to the members of U.P. Stock Exchange as a sub-brokers according to the policies/guidelines issued by SEBI. The Company acquired the membership of Bombay Stock Exchange (BSE) and commenced an online trading on BSE On-Line Trading System (BOLT) from 29th of January, 2001. Currently, 43 members are trading on BSE through the Company, 96 have been registered with SEBI as sub-brokers and 153 have applied for participation. The Company has also been admitted as member of CSE and further steps are being taken in this regard. Investor's Service Center / Library of UPSE R&D Wing of UPSE is in function since 1992 under the directions of SEBI and it provides valuable services to the investors. Investor's Service Centre maintains a well equipped library of Books, journals, periodicals and Newspapers on Financial Markets. They maintain the records of day to day quotations of major exchanges, the annual reports,of companies, PRIME Directory, complete set of volumes of the Stock Exchange, Mumbai Directories. Along with this it also maintains the news letters, daily bulletin, books on Capital Markets, Investor Awareness, Budget, Taxation with other relevant books.

The UPSE has been organising summer camps to give trainings to Company Secretaries and MBAs from different institutes giving them complete data and helping the student to know the practical day-to-day working of the exchanges. Along with this it also organises Investor Awareness Shows. The changing technology have helped the exchange to install a corporate database of over 7000 companies. The rates of UPSE, BSE and NSE is displayed live for the benefit of investors.

[edit]External

links