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, 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....
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
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
S.N O
SEBI_NO
MEM_NAME
FIR_NAME
OFF_ADD2
AJAY GARG
AJAY
1-9
0616
1992 JAYASWAL
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
1992 KABRA
10/053 2-4
INB10034 0714
26.08.198 9
17-12-
AJAY KUMAR
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
JAIN BUILDING
1992 JAIN
10/054 1-3
INB10034 1410
27.10.198 9
17-121992
10/050 4-9
INB10034 1811
25.11.198 8
17-12-
AMAR NATH
1992 GUPTA
SHIVALA ROAD,
10
10/002 2-5
INB10034 1919
21.07.198 2
17-12-
AMAR NATH
1992 KHETAN
11
10/070 8-4
INB10070 3016
23.03.199 5
15-03-
SANJAY
1995 AGARWAL
12
10/044 0-9
INB10034 2918
23.05.198 7
17-12-
ANIL KUMAR
1992 BHATIA
PADAM TOWER,
13
10/001 3-6
INB10034 3819
21.07.198 2
17-121992
14
10/066 1-4
INB10051 7815
14.08.199 2
18-03-
MANJULA
CRB SECURITIES
34 B AARTI BUILDING,
1993 BHANSALI
15
10/003 5-7
INB10034 5513
23.05.198 7
17-12-
ATUL
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
17
10/044 3-3
INB10034 6914
18.03.198 8
17-121992
KANPUR
18
10/050 0-6
INB10034 7414
25.11.198 8
17-121992
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
1992 SHARMA
20
10/059 6-1
INB10035 9118
28.06.199 1
17-12-
MANGI LAL
1992 BOTHRA
21
21.07.198 2 25.03.199
17-12-
DEEP KUMAR
22
4-7
7316
1993 CHURIWAL
GENERAL GANJ,
001
23
10/008 0-2
INB10034 9216
20.09.198 5
17-12-
DILIP KUMAR
ANURADHA CONSULTANT S
1992 AGARWAL
24
10/009 3-4
INB10052 5611
21.07.198 2
02-041993
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
26
10/010 5-1
INB10035 0411
23.05.198 7
17-121992
27
10/048 4-1
INB10035 0518
25.11.198 8
17-12-
GHANSHYAM
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
29
10/084 8-0
INB10103 4214
07.05.199 8
01-071998
30
10/011 5-9
INB10052 5915
21.07.198 2
02-041993
KANPUR
31
21.07.198 2 21.07.198 2
17-12-
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
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-
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
37
10/013 7-0
INB10035 3711
23.05.198 7
17-12-
JINENDRA
38
10/012 8-1
INB10035 3819
20.12.198 5
17-12-
JITENDRA
ARCH ENTERPRISES
1992 JAIN
39
10/012 9-9
INB10035 4015
24.12.198 7
17-12-
JOGINDER
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,
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
1992 BHATIA
43
10/014 1-8
INB10035 6219
29.12.198 3
17-121992
44
10/014 5-1
INB10046 4220
21.07.198 2
22-121992
45
10/016 2-1
INB10035 6415
25.03.198 5
17-121992
ASHOK NAGAR,
KANPUR
46
10/059 1-0
INB10037 5112
28.06.199 1
17-12-
SHASHI
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
48
10/052 8-6
INB10035 8315
26.08.198 9
17-12-
MAHENDRA
49
10/021 1-2
INB10035 8618
23.05.198 7
17-121992
50
10/056 4-2
INB10034 6816
22.09.199 0
17-12-
BHARAT
1992 KUMAR
51
10/020 7-4
INB10035 9813
23.05.198 7
17-12-
MANOHAR
397, PADAM
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
56
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
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
1992 BHARGAVA
64
10/028 8-1
INB10037 0019
21.07.198 2
17-121992
GAYAPRAS AD STREET
KANPUR
65
10/028 6-4
INB10037 0411
21.07.198 2
17-121992
KIDWAI NAGAR,
66
10/094 7-8
INB10125 6734
17.04.200 6
29-032006
67
10/055 4-5
INB10037 1615
29.06.199 0
17-12-
RISHABH
68
10/063 7-1
INB10051 7218
25.03.199 2
18-03-
OM PRAKASH
1993 BAJAJ
69
10/036 0-7
INB10037 2213
21.07.198 2
17-121992
70
10/092 7-3
INB10118 2039
11.04.200 1
12-042002
71
10/087 0-6
INB10106 2918
07.08.199 9
02-09-
SANJAY
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 S. GUPTA
74
10/040 1-8
INB10046 4523
23.05.198 7
22-121992
75
10/034 5-3
INB10037 3819
20.09.198 5
17-121992
SADAR BAZAR,
76
10/037 0-4
INB10037 4015
21.07.198 2
17-12-
SAVITA
TRUSTWEL INVESTMENT S
1992 MALHOTRA
77
10/035 6-9
INB10037 4113
21.07.198 2
17-12-
SAVITA RANI
(SOUTH MALAKA),
1992 AGARWAL
78
10/062 1-5
INB10034 5014
28.09.199 1
17-12-
ASHOK
ASHOK SAHANI
1992 SAHANI
79
10/036 5-8
INB10037 4417
21.07.198 2
17-121992
80
10/039 6-8
INB10037 4710
23.05.198 7
17-12-
1992 MANWANI
KANPUR
81
10/038 6-1
INB10037 5210
31.03.198 6
17-121992
82
10/059 4-4
INB10036 1615
28.06.199 1
17-12-
NAVIN KUMAR
1992 MAHESHWARI
83
10/039 1-7
INB10052 6718
06.03.198 7
02-04-
SUNIL KUMAR
1993 AGARWAL
84
10/039 7-6
INB10037 7913
23.05.198 7
17-12-
SUNIL KUMAR
1992 GUPTA
SUNIL BROS.
85
10/035 5-1
INB10046 4827
21.07.198 2
22-12-
SURINDER
STOCK EXCHANG E,
1992 MEHTA
86
10/042 2-1
INB10037 9617
23.05.198 7
17-12-
UDAY
UDAY MERCHANT
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
12/36/136, GWALTOLI,
KANPUR
88
VEENA PANDEY
1992 PANDEY
89
10/062 7-1
INB10037 0910
31.01.199 2
17-12-
RAJAN
1992 SEHGAL
90
09.03.200 2 25.11.198
30-01-
SANDEEP
91
1-4
1410
1992 SHARMA
CO.
LINES,
92
10/043 4-4
INB10038 2419
21.07.198 2
17-121992
VIVEK SARAN
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
94
10/061 8-5
INB10034 9813
28.09.199 1
17-12-
GANESH MAL
THE MALL,
95
10/058 1-2
INB10037 8618
18.03.199 1
17-121992
96
10/090 6-1
INB10114 3916
25.08.200 0
16-11-
RANBIR
SIMAR INVESTOR
2000 SINGH
97
10/061 5-1
INB10036 0117
28.08.199 1
17-121992
98
10/060 3-7
INB10035 9216
28.08.199 1
17-12-
MANJOO
MANJOO MISRA
1992 MISRA
99
10/060 5-3
INB10034 3613
28.08.199 1
17-121992
100
10/067 2-0
INB10057 7619
06.10.199 3
23-03-
ANIL KUMAR
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
111
10/074 6-7
INB10092 3515
27.03.199 6
01-07-
PRITHVI RAJ
P.R. SECURITIES
1996 AGARWAL
112
10/075 8-8
INB10095 2614
27.03.199 6
14-01-
ANUPAMA
1997 JOHARI
LUCKNOW
113
10/075 3-0
INB10096 1214
27.03.199 6
11-04-
HARI RAM
1997 AGARWAL
114
10/076 1-1
INB10094 2712
20.05.199 6
06-11-
KAMLA RANI
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
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
118
10/086 1-7
INB10104 3017
03.11.199 8
21-12-
CHANDRAKER
1998 TRIVEDI
119
10/086 5-0
INB10106 5911
29.05.199 9
12-101999
KANPUR
120
10/086 6-8
INB10106 0110
29.05.199 9
20-07-
JAI RAM
1999 DUBEY
JUHI,
121
10/086 8-4
INB10106 5812
29.05.199 9
12-10-
ARUN KUMAR
1999 GUPTA
122
10/080 4-8
INB10099 9537
23.12.199 7
31-121997
123
10/080 5-6
INB10099 8930
23.12.199 7
31-12-
ARP SHARES
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
43-A, CANTONM ENT ROAD, CABIN NO.675, PADAM TOWER I 259, PADAM TOWERS, 121, RATAN DEEP COMPLEX, 13/386-D, PRABHU RACHNA,
125
10/085 3-6
INB10103 9437
22.08.199 8
16-091998
126
10/078 0-7
INB10095 5434
01.04.199 7
03-03-
KESHAV
127
10/080 8-1
INB10099 9831
23.12.199 7
31-121997
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
129
10/076 7-0
INB10093 3132
10.09.199 6
26-08-
CAPT.& D.
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 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,
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-
1998 BROKERS
KANPUR
133
10/081 0-2
INB10099 9038
23.12.199 7
31-12-
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,
1997 BROKERS
134
10/082 7-7
INB10102 3530
23.12.199 7
24-03-
1998 BROKERS
135
10/083 1-5
INB10104 0138
23.12.199 7
07-10-
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
138
10/079 9-8
INB10099 9332
14.11.199 7
01-041998
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
144
10/083 9-1
INB10097 8431
23.12.199 7
19-12-
R.G.FINSTOC
R.G.FINSTOC K PVT.LTD.
HANSPURAM, NAUBASTA,
1997 K PVT.LTD.
145
10/076 2-9
INB10093 3034
25.06.199 6
26-081996
146
10/083 5-8
INB10102 2631
23.12.199 7
23-031998
147
10/083 3-1
INB10102 7739
23.12.199 7
21-041998
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
151
10/081 7-0
INB10100 0233
23.12.199 7
31-121997
PADAM TOWERS, 6TH FLOOR, 127/1149 `A'-W-1, SAKET NAGAR, 423, PADAM TOWERS,
152
10/082 6-9
INB10102 4231
23.12.199 7
24-031998
KANPUR
153
10/082 9-3
INB10102 3936
23.12.199 7
24-031998
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
154
10/074 2-4
INB10083 0439
20.10.199 5
22-11-
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-
1997 STOCK
157
23.12.199 7 27.02.199
15-071998
158
6-3
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-
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
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
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-
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
167
20.01.200 0 16.03.200 0
15-032000 26-04-
BIRHANA ROAD,
168
2000 VERMA
KANPUR
NJ SUBZIMAN DI, RAM PRAKASH MISRA INDUSTRIA MUKTA RAM & CO. L HEALTH ORGANISA TION GOPAL DAS GAUR AAYUSHI STOCK BROKERS.PV T.LTD. SANJIV AGARWAL & CO. V.V.INVESTOR S DEVA 174 10/090 3-6 INB10112 0013 26.05.200 0 01-082000 ANUJ TIWARI INVESTMENT CORPORATIO N SHAMS 175 10/091 4-1 INB10115 4434 16.11.200 0 15-02SECURI.& PVT.LTD. 10/091 5-0 INB10114 9111 16.11.200 0 20-12ANJALI 2001 SHARES SHAMS SECURI.& SHARES PVT.LTD. GUPTA PCS & CO. 49/62, BAGLA BUILDING, 7/22A, TILAK NAGAR, 92, LIC HOUSING SOCIETY, 111/186, HARSH NAGAR, 19-D, MALVIYA ROAD, ALLAHABAD KANPUR NAYA GANJ, G.S.V.M.C.
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
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
SHARDA NAGAR,
173
10/089 6-0
INB10111 1814
16.05.200 0
11-07-
2000 BAJPAI
KAYASTHANA ROAD,
176
2000 GUPTA
GILISH BAZAR,
177
10/091 8-4
AWAITED
16.11.200 0
178
10/091
INB10114
16.11.200
20-12-
PRONTO
PRONTO
WEST COTT
2-5
9038
FLOOR,
179
10/092 8-1
INB10117 8417
11.04.200 1
26-02-
SHARAD
11A/366, ASHOK NAGAR, 709/541, ATTARSUI YA, 3/36, VISHNUPU RI, W/O SHRI
2002 GUPTA
180
10/092 9-0
INB10117 8516
11.04.200 1
26-02-
SYED JAWAD
SJH SECURITIES
2002 HUSAIN
181
10/093 9-7
INB10119 4117
20.11.200 2
14-05-
RENU
1903 SINGHAL
182
10/094 2-7
INB10120 6812
14.05.200 4
07-07-
MANJU
MANJU A. ASSOCIATES
1/129, NAWABGANJ,
2004 SHUKLA
183
10/094 3-5
INB10121 4931
29.11.200 4
16-112004
ROOM NO.6, 10TH FLOOR, 17-A, POKHARP UR, 104A/138, RAM BAGH, CABIN
184
10/094 4-3
INB10122 5317
05.01.200 5
03-06-
MUNNA LAL
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
ALOK GUPTA
MAHALUXMI STOCKS
187
10/094 0-1
INB10119 6930
18.07.200 3
11-072003
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
ANUP NEOTIA
GANJ, 10/094 9-4 INB10128 0031 06.03.200 7 22-022007 SANGHITA SECURITIES PVT.LTD. ASHWANY KUMAR SAWHNEY ANIL KUMAR A.K.MITTAL & CO. A.K.SAWHNEY SANGHITA SECURITIES PVT.LTD. 4/214, B-1 VISHNUPU RI 3/27 II FLOOR 409 & 416 ESSEL HOUSE, KANPUR - 208 002
189
190
10/065 5-0
INB10056 3613
09.07.199 2
17-021994
191
10/004 4-6
INB10034 3212
23.05.198 7
17-12-
1992 MITTAL
192
10/095 0-8
INB10129 3919
30.01.200 8
22-02-
PRATIMA
BALAJI INVESTMENT
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,
195
10/073 3-5
INB10085 9813
20.10.199 5
11-011996
196
10/095 2-4
INB10132 5216
14.11.200 8
02-01-
PRITEE
VAIBHAV SECURITIES
2/448, NAWABGANJ
2009 AGARWAL
197
11.06.200 9 23.02.201
25-062009 18-06-
KHUSHAL DAS
198
ADITI
4-1
6812
2010 AGARWAL
BLOCK,
199
10/095 5-9
INB10126 5115
26.08.201 0
21-011911
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.
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.
- 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
- 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.
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.
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/2011-12/101
UPSE/2011-12/100 UPSE/2011-12/A&A/99
UPSE/2011-12/98 UPSE/2011-12/97
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/Mem/86 UPSE/2011-12/85
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
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/2011-12/35
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/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
UP Stock Exchange
From Wikipedia, the free encyclopedia
Coordinates:
26.481699N 80.344841E
UP Stock Exchange
Type
Stock Exchange
Location
Kanpur, INDIA
Founded
Key people
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