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Regulatory Actions Covered By This Website

NATIONAL STOCK EXCHANGE OF INDIA LTD.

If you wish to see Regulator wise orders, please click here
     
 PERIOD COVERED
FROMTO/UPTIL
Actions by NSE
Claim admitted  
Reasons for Action
Executed unauthorised transactions  
Actions by NSE
Cancelled registration as authorised person  
Reasons for Action
Certificate of registration expired/surrendered/ceased/suspended  
Companies 01/01/2000 24/04/2024
Actions by NSE
Cancelled registration as stock broker  
Claim admitted  
Claim settled under consent  
Company delisted  
Compulsory delisting  
Declared defaulter by national spot exchange ltd.  
Declared defaulter by stock exchange  
Delisted due to amalgamation/merger  
Delisted due to SEBI (delisting of equity shares) regulations 2009  
Delisted due to SEBI (delisting of securities) guidelines 2003  
Delisted equity shares  
Directed to refund penalty  
Directed to replenish / restore / return shares  
Disqualified from holding office of director/partner in any company/firm  
Expelled from membership by stock exchange  
Imposed fine  
Imposed penalty  
Prohibited from accepting fresh/new clients  
Put up on NSE website for public notice  
Removed from dissemination board  
Securities shifted to z category  
Securities transferred from bz series to be series  
Show cause notice issued  
Suspended from trading  
Suspended registration as stock broker  
Terminated from membership  
Trading rights withdrawn  
Reasons for Action
Amalgamation/merger  
Capital reduction  
Certificate of registration expired/surrendered/ceased/suspended  
Charged excess/different rates of brokerage  
Collected money from clients for promised assured returns  
Default in delivery of shares  
Default in making payment of ledger balance  
Default in payment of deposit amount  
Defaulted in compliance of regulatory provisions of the exchange  
Defaulted in debiting of amount  
Defaulted in execution of trades  
Defaulted in interest charge  
Defaulted in making payment  
Defaulted in making payment of margin money  
Defaulted in making payment to client  
Defaulted in pay-in obligations  
Defaulted in rendering of service  
Defaulted in reporting of margin  
Defaulted in responding to stock exchange  
Defaulted in submission of shareholding pattern  
Defaulted under chapter xii of byelaws of NSE  
Defaulted under insolvency & bankruptcy code, 2016  
Delay in submission of statement of investor's complaint  
Delayed submission of corporate governance report  
De-recognized/non-operational/exited stock exchanges  
Did not adhere to regulations 29(2)/29(3)  
Did not adhere to requirement of submission of financial results  
Did not adhere to SEBI (depositories & participants) regulations, 2018  
Did not adhere to SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not pay fine/penalty to SEBI and/or stock exchange  
Did not submit corporate governance report  
Did not submit statement of investor's complaint  
Executed unauthorised transactions  
Expelled by stock exchange  
Failed to pay annual listing fee  
Failed to pay fees to SEBI/exchange  
Highest number of complaints pending  
Insolvency professional as liquidator has been appointed  
Liquidation process commenced and official liquidator appointed  
Not available  
Official liquidator has been appointed  
Pursuant to gazette notification issued by ministry of finance (department of financial services)  
Restrained trading in securities of company  
Scheme of arrangement/amalgamation  
Scheme of capital reduction & consolidation-BIFR order  
Suspension of trading due to provisional liquidator appointed  
Under liquidation  
Violated bye laws and regulations of national stock exchange of india ltd.  
Violated chapter iv of rules of NSE (misconduct, unbusinesslike conduct and unprofessional conduct)  
Violated circulars issued by SEBI/exchange  
Violated listing agreement  
Violated NSE (capital market) trading regulations, 1994  
Violated NSE rules  
Violated SEBI (delisting of equity shares) regulations 2009  
Violated SEBI (delisting of equity shares) regulations 2021  
Violated SEBI (delisting of securities) directives/instructions/guidelines 2003  
Violated SEBI (depositories & participants) regulations, 1996  
Violated SEBI (issue of capital and disclosure requirements) regulations, 2009  
Violated securities contracts (regulation) act, 1956  
Violated securities contracts regulation rules, 1957  
Persons 01/01/2000 24/04/2024
Actions by NSE
Claim admitted  
Claim settled under consent  
Directed pay to the applicant shares  
Directed to deposit amount in stock exchange investors protection fund  
Directed to pay cost  
Directed to refund amount  
Directed to refund brokerage  
Directed to refund penalty  
Directed to replenish / restore / return shares  
Imposed fine  
Imposed penalty  
Reasons for Action
Charged excess/different rates of brokerage  
Default in delivery of shares  
Default in making payment of dividend and/or bonus  
Default in making payment of ledger balance  
Default in making payment of sale of shares balance  
Default in payment of deposit amount  
Defaulted in compliance with aRBItration rules  
Defaulted in debiting of amount  
Defaulted in execution of trades  
Defaulted in interest charge  
Defaulted in lodging claim after stipulated time  
Defaulted in making payment  
Defaulted in making payment of margin money  
Defaulted in making payment to client  
Defaulted in observing basic trading account principles  
Defaulted in pay-in obligations  
Defaulted in payment of brokerage/sub-brokerage  
Defaulted in payment of securities transaction tax and/or interest  
Defaulted in rendering of service  
Executed unauthorised transactions  
Made false & deceitful claim before the exchange  
Not available  
Shares wrongly transferred  
Violated SEBI guidelines on pre-trade confirmations  
Stock Brokers 01/01/2000 24/04/2024
Actions by NSE
Cancelled registration as authorised person  
Cancelled registration as stock broker  
Claim admitted  
Claim settled under consent  
Compensation  
Declared defaulter by stock exchange  
Delisted equity shares  
Directed karvy to de-activate registration from currency & F&O segment  
Directed pay to the applicant shares  
Directed to compensate by paying highest sell price  
Directed to deposit amount in stock exchange investors protection fund  
Directed to disgorge/pay brokerage  
Directed to ensure in letter and spirit that SEBI/NSE rules/regulations are followed and issue necessary instructions to all branches/ dealers  
Directed to issue strict instructions to staff members not to do unauthorised trading  
Directed to pay compensation and/or cost of dividend  
Directed to pay credit balance  
Directed to pay dividend  
Directed to refund brokerage  
Directed to refund penalty  
Directed to release debit of Rs.2,03,412.87  
Directed to replenish / restore / return shares  
Directed to restore open position  
Directed to return unauthorised gains  
Directed to submit certificate of chartered account depicting the shortage of funds to pay off its clients creditors  
Directed to transfer the bonds  
Directed to unblock 60,636 shares held in karur vysya bank  
Directed trading member to remove all transactions pertains to derivatives and currency segments  
Expelled from membership by stock exchange  
Imposed fine  
Imposed penalty  
Membership withdrawn  
Prohibited from accepting fresh/new clients  
Restrained from onboarding any new clients and authorised persons  
Suspended from trading  
Suspended registration as stock broker  
Trading facility withdrawn  
Trading rights withdrawn  
Reasons for Action
Certificate of registration expired/surrendered/ceased/suspended  
Charged excess/different rates of brokerage  
Collected money from clients for promised assured returns  
Default in crediting amount  
Default in delivery of shares  
Default in granted margin trading facility  
Default in making payment of dividend and/or bonus  
Default in making payment of ledger balance  
Default in payment of deposit amount  
Default in providing correct trading transactions  
Default in recommendation of scrip  
Defaulted in approval of trading  
Defaulted in cancelling order  
Defaulted in compliance of regulatory provisions of the exchange  
Defaulted in compliance with aRBItration rules  
Defaulted in compliance with margin requirements  
Defaulted in debiting of amount  
Defaulted in execution of trades  
Defaulted in interest charge  
Defaulted in issue duplicate share certificates  
Defaulted in maintain networth  
Defaulted in making payment  
Defaulted in making payment of commission  
Defaulted in making payment of interest  
Defaulted in making payment of margin money  
Defaulted in making payment to client  
Defaulted in pay-in obligations  
Defaulted in payment of brokerage/sub-brokerage  
Defaulted in providing information to aRBItral tribunal/did not co-operate with aRBItral tribunal  
Defaulted in rendering of service  
Defaulted in reporting of margin  
Defaulted in reversal of delayed payment charges  
Defaulted in squaring off of positions  
Defaulted in submission of information  
Defaulted in transfer of shares  
Defaulted in uploading pan details  
Defaulted under chapter xii of byelaws of NSE  
Defaulted under insolvency & bankruptcy code, 2016  
Did not adhere to requirement of submission of financial results  
Did not adhere to SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not maintain base minimum capital  
Did not pay fine/penalty to SEBI and/or stock exchange  
Engaged in business other than of securities  
Executed unauthorised transactions  
Expelled by stock exchange  
Failed to pay annual listing fee  
Involved in unauthorised operations on exchange terminals  
Levied other charges  
Liquidation process commenced and official liquidator appointed  
Login id and client id freezed without any reason  
Made false & deceitful claim before the exchange  
Manipulated market and/or indulged in unfair trade practices  
Membership granted but never enabled to trade on exchange platform  
Misused/defaulted in maintaining client accounts  
Not a fit and proper person  
Not available  
Provided misleading/wrong trading advice  
Pursuant to gazette notification issued by ministry of finance (department of financial services)  
Shortfall in networth  
Termination of sub broker agreement  
Trading terminal deactivated by stock exchange  
Violated bye laws and regulations of national stock exchange of india ltd.  
Violated chapter iv of rules of NSE (misconduct, unbusinesslike conduct and unprofessional conduct)  
Violated code of conduct  
Violated NSE rules  
Violated SEBI (PFUTP) regulations, 2003  
Violation of SEBI (intermediaries) regulations, 2008  
Violation regulation 27 of SEBI (stock brokers) REGULATIONSN,1992  
Wrongfully blocked online trading account  
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  31/03/2024
BANKS
Alphabetical Chronological
 29/03/2000  10/04/2024
BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION (since dissolved)
Alphabetical Chronological
 31/12/1987  31/10/2005
BSE LTD.
Alphabetical Chronological
 05/06/1995  24/04/2024
CENTRAL BOARD OF INDIRECT TAXES & CUSTOMS
Alphabetical Chronological
 01/04/2003  31/03/2024
CENTRAL BUREAU OF INVESTIGATION
Alphabetical Chronological
 05/04/2001  24/04/2024
CENTRAL DEPOSITORY SERVICES (INDIA) LTD.
Alphabetical Chronological
 15/03/2004  15/04/2024
COMPANY LAW BOARD
Alphabetical Chronological
 01/04/2000  30/06/2008
DEBT RECOVERY TRIBUNALS
Alphabetical Chronological
 16/08/2000  12/04/2024
DELHI STOCK EXCHANGE LTD. (since dissolved)
Alphabetical Chronological
 31/03/2002  30/09/2020
DEPARTMENT OF INCOME TAX
Alphabetical Chronological
 15/04/2015  31/03/2024
EMPLOYEES' PROVIDENT FUND ORGANISATION
Alphabetical Chronological
 31/03/2005  23/09/2021
INDIAN CLEARING CORP.LTD.
Alphabetical Chronological
 25/09/2012  31/03/2024
INDIAN COMMODITY EXCHANGE LTD.
Alphabetical Chronological
 10/06/2006  24/04/2024
INSOLVENCY & BANKRUPTCY BOARD OF INDIA - NATIONAL COMPANY LAW TRIBUNAL
Alphabetical Chronological
 17/01/2017  24/04/2024
INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Alphabetical Chronological
 28/10/2004  31/03/2024
INSURANCE REGULATORY & DEVELOPMENT AUTHORITY OF INDIA
Alphabetical Chronological
 16/08/2002  24/04/2024
INTER-CONNECTED STOCK EXCHANGE
Alphabetical Chronological
 17/04/2004  31/03/2024
METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 20/05/2010  24/04/2024
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  31/03/2024
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  31/03/2024
MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
Alphabetical Chronological
 14/02/2013  31/03/2024
MINISTRY OF FINANCE - FORWARD MARKETS COMMISSION (since merged with SEBI)
Alphabetical Chronological
 23/07/2011  24/04/2024
MULTI COMMODITY EXCHANGE CLEARING CORP.LTD.
Alphabetical Chronological
 09/11/2018  24/04/2024
MULTI COMMODITY EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 08/04/2011  24/04/2024
NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.
Alphabetical Chronological
 30/03/2011  24/04/2024
NATIONAL COMMODITY CLEARING LTD.
Alphabetical Chronological
 14/05/2008  24/04/2024
NATIONAL FINANCIAL REPORTING AUTHORITY
Alphabetical Chronological
 22/07/2020  24/04/2024
NATIONAL HOUSING BANK
Alphabetical Chronological
 01/03/2006  31/03/2024
NATIONAL SECURITIES DEPOSITORY LTD.
Alphabetical Chronological
 19/11/2004  05/04/2024
NATIONAL SPOT EXCHANGE LTD.
Alphabetical Chronological
 22/08/2013  31/03/2024
NATIONAL STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 01/01/2000  24/04/2024
NSE CLEARING LTD.
Alphabetical Chronological
 19/09/2013  24/04/2024
RESERVE BANK OF INDIA
Alphabetical Chronological
 01/08/1996  24/04/2024
SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)
Alphabetical Chronological
 01/01/1997  24/04/2024
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

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

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