SEC Quarterly Review JUL-SEP, 1999

^{SEC
Quarterly Review}

^{Oct-Dec
2001}

SUPERVISION & REGULATION OF MARKETS AND INTERMEDIARIES

October-December 2001

Listed Companies

Nature of Public Complaints	Number of Public Complaints	Resolved	In process
Non-payment or delay in payment of declared dividend	05	03	02
Non-payment or delay in payment of interest of Debenture	02	---	02
Claim of dividend against lost shares	02	01	01
Regarding AGM of listed companies	02	01	01
Regarding transfer of shares	01	01	---
Total	12	06	06

Broker/Dealer

Nature of Public Complaints	Number of Public Complaints	Resolved	In process
Regarding non delivery of shares	03	---	03
Regarding non refund of clients money	03	---	03
Regarding non payment of sale proceeds	03	---	03
Total	09	---	09