If you are an Existing User, please enter your Username & Password below

Forgot Password?


Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors
Regulatory Actions Covered By This Website

BSE LTD.

If you wish to see Regulator wise orders, please click here
       
 PERIOD COVERED
FROMTO/UPTIL
Authorised Person 05/06/1995 19/06/2024
Actions by BSE
Cancelled registration as authorised person  
Reasons for Action
No longer affiliated as authorised person  
Companies 05/06/1995 19/06/2024
Actions by BSE
Cancelled registration as authorised person  
Cancelled stock broker membership  
Claim admitted  
Company delisted  
Compulsory delisting  
Declared defaulter by bombay stock exchange  
Declared defaulter by national spot exchange ltd.  
Delisted as per court order  
Delisted due to amalgamation/merger  
Delisted due to amalgamation/merger/winding up  
Delisted due to BIFR order  
Delisted due to buyback  
Delisted due to compliance with clause 21(3)(A) of SEBI(SAST) regulations  
Delisted due to conversion / redemption  
Delisted due to non payment of annual listing fee  
Delisted due to official liquidator being appointed  
Delisted due to provisional liquidator being appointed  
Delisted due to scheme of arrangement  
Delisted due to scheme of arrangement/amalgamation  
Delisted due to SEBI (delisting of securities) guidelines 2003  
Delisted due to winding up  
Delisted equity shares  
Did not pay annual listing fee  
Directed to pay costs  
Directed to transfer shares  
Expelled from membership by stock exchange  
Freezed of demat account  
Imposed fine  
Imposed penalty  
Notice to the company and public regarding proposed delisting  
Put up on BSE website for public notice  
Put up on BSE website under "unknown category"  
Restrained from accessing securities market  
Restrained from accessing securities market to raise the capital  
Securities moved out of z group  
Securities shifted to t/xt/mt/ts group  
Securities shifted to z/zp/zy group  
Suspended from trading  
Reasons for Action
Amalgamation/merger  
Amalgamation/merger/winding up  
BIFR order  
Buyback  
Company not traceable at the last known address  
Conversion/redemption  
Declared defaulter and/or expelled by other stock exchange  
Deficiency in rendering service  
Delay in applying for listing of 9,05,000 shares in the matter of cella space ltd. (formerly known as sakthi paper mills ltd.)  
Delay in listing of shares  
Delay in making disclosure of related party transactions on consolidated basis  
Delay in submission of corporate governance report u/s 17(1) of SEBI (lodr) regulations,2015  
Delay in submission of corporate governance report u/s 17(1A) of SEBI (lodr) regulations,2015  
Delay in submission of corporate governance report u/s 18(1) of SEBI (lodr) regulations,2015  
Delay in submission of corporate governance report u/s 19(1)/19(2) of SEBI (lodr) regulations,2015  
Delay in submission of corporate governance report u/s 20(2) of SEBI (lodr) regulations,2015  
Delay in submission of corporate governance report u/s 27(2) of SEBI (lodr) regulations,2015  
Delay in submission of financial results violating regulation 33 of SEBI (lodr) regulations,2015  
Delayed submission of financial results  
Delayed submission of reconciliation of share capital  
Delayed submission of shareholding pattern  
Delayed submission of statement of investor's complaint  
Delisted as per court order  
Delisted compulsorily  
Did not adhere to listing agreement  
Did not adhere to listing regulations, 2015  
Did not adhere to regulation 17 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 19 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 27(2) of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 34 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 55A of SEBI (depositories & participants) regulations, 1996  
Did not adhere to regulation 76 of SEBI (depositories & participants) regulations, 2018  
Did not adhere to requirements of composition of audit committee as per regulation 18(1) of SEBI (lodr) regulations, 2015  
Did not adhere to requirements of composition of board as per regulation 17(1) of SEBI (lodr) regulations, 2015  
Did not adhere to SEBI directives/instructions/guidelines and provisions of rules, bye laws and regulation of bse  
Did not adhere to standard operating procedure  
Did not adhere to various provisions of SEBI (lodr) regulations, 2015  
Did not appoint company secretary and/or compliance officer  
Did not appoint share transfer agent  
Did not deliver shares  
Did not deposit sale proceeds  
Did not maintain integrity, promptitude & fairness, did not exercise due skill, care & diligence, indulged in manipulative activities and did not adhere to statutory requirements and delay in issuance of contract notes violating regulation 7 read with clauses a and b (2) of code of conduct under schedule ii of SEBI (stock brokers) regulations, 1992 in matter of gangotri textiles ltd.  
Did not make diclosure of financial results  
Did not make disclosure of related party transactions on consolidated basis  
Did not pay dividend  
Did not pay fine to stock exchange  
Did not pay ledger balance  
Did not refund deposit amount  
Did not resolve investor's problem  
Did not segregate NSE & BSE transactions  
Did not submit and/or submit incorrect shareholding pattern  
Did not submit certain documents/information for the purpose of verification of credentials/fundamentals of companies  
Did not submit corporate governance report  
Did not submit corporate governance report u/s 17(1) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 17(1A) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 17(2) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 17(2A) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 18(1) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 19(1)/19(2) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 20(2)/20(2A) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 21(2) of SEBI (lodr) regulations,2015  
Did not submit corporate governance report u/s 27(2) of SEBI (lodr) regulations,2015  
Did not submit financial results  
Did not submit financial results as per SEBI (lodr) regulations, 2015  
Did not submit financial results violating regulation 33 of SEBI (lodr) regulations,2015  
Did not submit reconciliation of share capital  
Did not submit shareholding pattern under provisions of clause 35  
Did not submit shareholding pattern violating regulation 31 of SEBI (lodr) regulations, 2015  
Did not submit statement of investor's complaints  
Dissolved  
Failed to pay annual listing fee  
Failed to redress investor's complaints  
Highest number of complaints pending  
Indulged in creation of artificial volume and price manipulation in scrip of KGN INDUSTRIES LTD.  
Indulged in execution of unauthorised transactions  
Insolvency professional as liquidator has been appointed  
Liquidation process commenced and official liquidator appointed  
Made false & deceitful claim before the exchange  
No longer affiliated as authorised person  
Non-compliance of procedural issues with listing agreement  
Non-compliance with clause 21(3)(A) of the SEBI(SAST) regulations  
Non-payment of annual listing fee  
Not available  
Official liquidator has been appointed  
Provisional liquidator has been appointed  
Pursuant to gazette notification dated 25/11/2020 issued ministry of finance (department of financial services)  
Pursuant to resolution plan approved by nclt and/or nclat  
Resigned and/or surrendered membership card to stock exchange  
Resolution plan approved by committee of creditors  
Resolution plan approved pursuant to order of nclt under insolvency & bankruptcy code, 2016  
Scheme of arrangement/amalgamation  
Submitted incorrect shareholding pattern  
Suspension of trading due to provisional liquidator appointed  
Violated byelaw 355 of rules of BSE (misconduct, unbusinesslike conduct and unprofessional conduct)  
Violated regulation 33 of SEBI (lodr) regulations, 2015  
Violated rule 21(2) (b) of securities contract regulations rules, 1957  
Violated SEBI (delisting of equity shares) regulations 2009  
Violated SEBI (delisting of equity shares) regulations, 2021  
Violated SEBI (delisting of securities) guidelines 2003  
Winding up  
Persons 05/06/1995 19/06/2024
Actions by BSE
Claim admitted  
Claim settled under consent  
Compulsory delisting  
Directed to pay costs  
Directed to replenish / restore / return shares  
Imposed penalty  
Restrained from accessing securities market  
Trading rights withdrawn  
Reasons for Action
Deficiency in rendering service  
Did not adhere to listing agreement  
Did not deliver shares  
Did not deposit sale proceeds  
Did not make payment of its clients  
Did not pay correct amount of share sold  
Did not pay ledger balance  
Did not pay margin money  
Did not pay sale proceeds  
Did not refund excess payment received  
Indulged in execution of unauthorised transactions  
Issued cheque without sufficient funds  
Not available  
Traded in trade to trade segment without making delivery of shares  
Utilised or withdrew sale proceeds of sms stocks  
Violated rule 21(2) (b) of securities contract regulations rules, 1957  
Violated SEBI (delisting of equity shares) regulations 2009  
Stock Brokers 05/06/1995 19/06/2024
Actions by BSE
Cancelled stock broker membership  
Claim admitted  
Company delisted  
Deactivate trading terminals  
Declared defaulter by stock exchange  
Directed applicant to release balance money along with interest  
Directed not to deal and dispose off specified scrips  
Directed to deliver shares  
Directed to deposit amount in stock exchange investors protection fund  
Directed to pay dividend  
Directed to refund the margin deposit  
Directed to replenish / restore / return shares  
Directed to restore sale proceeds in favour of respondent  
Directed to reverse unauthorised transactions  
Directed to transfer shares  
Expelled from membership by stock exchange  
Imposed penalty  
Securities shifted to z/zp/zy group  
Suspended from trading  
Suspended registration as stock broker  
Trading rights withdrawn  
Reasons for Action
Charged excess brokerage  
Declared defaulter and/or expelled by other stock exchange  
Defaulted in bidding of iifcl tax-free bonds  
Deficiency in rendering service  
Delay in square-off of short sell orders  
Delay in submission of corporate governance report u/s 17(1A) of SEBI (lodr) regulations,2015  
Did not adhere to arbitration awards made in favour of its clients  
Did not adhere to listing agreement  
Did not adhere to regulation 76 of SEBI (depositories & participants) regulations, 2018  
Did not adhere to requirements of composition of audit committee as per regulation 18(1) of SEBI (lodr) regulations, 2015  
Did not adhere to requirements of composition of board as per regulation 17(1) of SEBI (lodr) regulations, 2015  
Did not adhere to SEBI directives/instructions/guidelines and provisions of rules, bye laws and regulation of bse  
Did not adhere to the regulatory provisions of the stock exchange  
Did not deliver bonus shares  
Did not deliver shares  
Did not deposit admissible claim amount decided in igrc  
Did not deposit arbitration cost  
Did not execute trades  
Did not implement claim values decided in igrc  
Did not make payment of its clients  
Did not pay brokerage  
Did not pay correct amount of share sold  
Did not pay dividend  
Did not pay dividend & bonus  
Did not pay ledger balance  
Did not pay margin money  
Did not pay sale proceeds  
Did not personally appear and/or provide necessary information/documents to arbitral tribunal  
Did not refund deposit amount  
Did not reply to the forwarded complaints  
Did not reply to the show cause notice  
Did not resolve investor's problem  
Did not submit contract notes and ledger  
Did not submit financial results as per SEBI (lodr) regulations, 2015  
Engaged in business other than securities  
Expelled from membership  
Failed to redress investor's complaints  
Freezed the account without proper communication  
Indulged in execution of unauthorised transactions  
Issued cheque without sufficient funds  
Issued fraudulent/fake contract notes  
Liquidation process commenced and official liquidator appointed  
Manipulated market and/or indulged in unfair trade practices  
Not a fit & proper person to be granted registration/to operate as commodity derivatives broker  
Not available  
Provided wrong information to clients  
Resigned and/or surrendered membership card to stock exchange  
Resolution plan approved pursuant to order of nclt under insolvency & bankruptcy code, 2016  
Violated byelaw 355 of rules of BSE (misconduct, unbusinesslike conduct and unprofessional conduct)  
Violated chapter v of SEBI (intermediaries) regulations, 2008  
Violated regulation 27 of SEBI (stock brokers) REGULATIONSN,1992  
Violated SEBI circular no SEBI/MIRSD/master CIR-04/20210 dated 17/03/2010  
REGULATORY ACTIONS PRESENTLY COVERED BY THIS WEBSITEPERIOD COVERED
FROMTO/UPTIL
ACE DERIVATIVES & COMMODITY STOCK EXCHANGE LTD. (since closed)
Alphabetical Chronological
 19/05/2011  31/12/2019
ASSOCIATION OF MUTUAL FUNDS OF INDIA,THE
Alphabetical Chronological
 30/09/2013  31/05/2024
BANKS
Alphabetical Chronological
 29/03/2000  07/06/2024
BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION (since dissolved)
Alphabetical Chronological
 31/12/1987  31/10/2005
BSE LTD.
Alphabetical Chronological
 05/06/1995  19/06/2024
CENTRAL BOARD OF INDIRECT TAXES & CUSTOMS
Alphabetical Chronological
 01/04/2003  31/03/2024
CENTRAL BUREAU OF INVESTIGATION
Alphabetical Chronological
 05/04/2001  19/06/2024
CENTRAL DEPOSITORY SERVICES (INDIA) LTD.
Alphabetical Chronological
 15/03/2004  15/06/2024
COMPANY LAW BOARD
Alphabetical Chronological
 01/04/2000  30/06/2008
DEBT RECOVERY TRIBUNALS
Alphabetical Chronological
 16/08/2000  05/06/2024
DELHI STOCK EXCHANGE LTD. (since dissolved)
Alphabetical Chronological
 31/03/2002  30/09/2020
DEPARTMENT OF INCOME TAX
Alphabetical Chronological
 15/04/2015  31/05/2024
EMPLOYEES' PROVIDENT FUND ORGANISATION
Alphabetical Chronological
 31/03/2005  23/09/2021
INDIAN CLEARING CORP.LTD.
Alphabetical Chronological
 25/09/2012  31/05/2024
INDIAN COMMODITY EXCHANGE LTD.
Alphabetical Chronological
 10/06/2006  19/06/2024
INSOLVENCY & BANKRUPTCY BOARD OF INDIA - NATIONAL COMPANY LAW TRIBUNAL
Alphabetical Chronological
 17/01/2017  19/06/2024
INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Alphabetical Chronological
 28/10/2004  30/04/2024
INSURANCE REGULATORY & DEVELOPMENT AUTHORITY OF INDIA
Alphabetical Chronological
 16/08/2002  19/06/2024
INTER-CONNECTED STOCK EXCHANGE
Alphabetical Chronological
 17/04/2004  31/05/2024
METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 20/05/2010  19/06/2024
MINISTRY OF CORPORATE AFFAIRS, EASY EXIT SCHEME
Alphabetical Chronological
 15/12/2010  03/08/2014
MINISTRY OF CORPORATE AFFAIRS, OFFICIAL LIQUIDATORS
Alphabetical Chronological
 27/04/1946  31/03/2018
MINISTRY OF CORPORATE AFFAIRS, PERSONS DISQUALIFIED FROM DIRECTORSHIP
Alphabetical Chronological
 31/08/2017  31/03/2024
MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES
Alphabetical Chronological
 27/01/2001  04/09/2015
MINISTRY OF CORPORATE AFFAIRS, SERIOUS FRAUD INVESTIGATION OFFICE
Alphabetical Chronological
 02/09/2009  31/05/2024
MINISTRY OF CORPORATE AFFAIRS, SIMPLIFIED EXIT SCHEME
Alphabetical Chronological
 06/05/2003  23/10/2009
MINISTRY OF CORPORATE AFFAIRS, VANISHING COMPANIES
Alphabetical Chronological
 30/01/2006  31/05/2024
MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
Alphabetical Chronological
 14/02/2013  31/05/2024
MINISTRY OF FINANCE - FORWARD MARKETS COMMISSION (since merged with SEBI)
Alphabetical Chronological
 23/07/2011  19/06/2024
MULTI COMMODITY EXCHANGE CLEARING CORP.LTD.
Alphabetical Chronological
 09/11/2018  19/06/2024
MULTI COMMODITY EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 08/04/2011  19/06/2024
NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.
Alphabetical Chronological
 30/03/2011  19/06/2024
NATIONAL COMMODITY CLEARING LTD.
Alphabetical Chronological
 14/05/2008  19/06/2024
NATIONAL FINANCIAL REPORTING AUTHORITY
Alphabetical Chronological
 22/07/2020  19/06/2024
NATIONAL HOUSING BANK
Alphabetical Chronological
 01/03/2006  31/05/2024
NATIONAL SECURITIES DEPOSITORY LTD.
Alphabetical Chronological
 19/11/2004  07/06/2024
NATIONAL SPOT EXCHANGE LTD.
Alphabetical Chronological
 22/08/2013  30/04/2024
NATIONAL STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 01/01/2000  19/06/2024
NSE CLEARING LTD.
Alphabetical Chronological
 19/09/2013  19/06/2024
RESERVE BANK OF INDIA
Alphabetical Chronological
 01/08/1996  19/06/2024
SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)
Alphabetical Chronological
 01/01/1997  19/06/2024
UNITED NATIONS SECURITY COUNCIL
Alphabetical Chronological
 02/04/2018  31/03/2024
OTHER SOURCES IN THE OFFING
CREDIT INFORMATION BUREAU (INDIA) LTD.
ECONOMIC OFFENCES WING
ENFORCEMENT DIRECTORATE
ENVIRONMENT POLLUTION BOARD
FINANCIAL INSTITUTIONS
INSTITUTE OF COMPANY SECRETARIES OF INDIA,THE
INSTITUTE OF COST AND WORKS ACCOUNTANTS OF INDIA
LABOUR DEPARTMENT
RATING AGENCIES
SERVICE TAX
STATE FINANCIAL CORPORATIONS
STATE INDUSTRIAL DEVELOPMENT CORPORATIONS
top