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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – CONSENT ORDERS/ PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS
PERIOD COVERED : 30-OCT-2007 TO 13-JUL-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: REACHED SETTLEMENT (CONSENT ORDER) AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person K.S.SOMASUNDARAM

(PAN:ABAPS0010P)  
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
  		ALLEGED FAILURE TO MONITOR SERVICES OF VENDOR IN RESPECT OF CORE AND CRITICAL ACTIVITIES OF NATIONAL STOCK EXCHANGE AND NSE CLEARING LTD.

ALLEGED FAILURE TO ENSURE SYSTEMS PREPAREDNESS AND READINESS TO MOVE OPERATIONS TO DRS

ALLEGED FAILURE TO ENSURE ORDERLY EXECUTION OF TRADES ON-LINE/REAL TIME RISK MANAGEMENT OF TRADES AND MARKET INTEGRITY

ALLEGED FAILURE TO IT INFRASTRUCTURE CAPACITY PLANNING AND MANAGEMENT

ALLEGED FAILURE TO REPLICATE DATA BETWEEN PDC AND NEAR DR SITE IN SYNCHRONOUS FASHION TO ENSURE ZERO DATA LOSS

ALLEGED FAILURE TO ENSURE “NO SINGLE POINT OF FAILURE”

ALLEGED FAILURE TO RECOVER OPERATIONS WITHIN RTO OF FOUR HOURS  		REACHED SETTLEMENT (CONSENT ORDER) TAKE UP AND PASS SPECIFIC AND APPROPRIATE TRAINING COURSES (SPECIFIED BY SEBI) AT THEIR OWN COST WITHIN NEXT SIX MONTHS

REACHED SETTLEMENT (CONSENT ORDER) AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR

28-JUN-2023
2 
History of entity/person MAYUR SINDHWAD

(PAN:BQCPS9399P)  
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
  		ALLEGED FAILURE TO MONITOR SERVICES OF VENDOR IN RESPECT OF CORE AND CRITICAL ACTIVITIES OF NATIONAL STOCK EXCHANGE AND NSE CLEARING LTD.

ALLEGED FAILURE TO ENSURE SYSTEMS PREPAREDNESS AND READINESS TO MOVE OPERATIONS TO DRS

ALLEGED FAILURE TO ENSURE ORDERLY EXECUTION OF TRADES ON-LINE/REAL TIME RISK MANAGEMENT OF TRADES AND MARKET INTEGRITY

ALLEGED FAILURE TO IT INFRASTRUCTURE CAPACITY PLANNING AND MANAGEMENT

ALLEGED FAILURE TO REPLICATE DATA BETWEEN PDC AND NEAR DR SITE IN SYNCHRONOUS FASHION TO ENSURE ZERO DATA LOSS

ALLEGED FAILURE TO ENSURE “NO SINGLE POINT OF FAILURE”

ALLEGED FAILURE TO RECOVER OPERATIONS WITHIN RTO OF FOUR HOURS  		REACHED SETTLEMENT (CONSENT ORDER) TAKE UP AND PASS SPECIFIC AND APPROPRIATE TRAINING COURSES (SPECIFIED BY SEBI) AT THEIR OWN COST WITHIN NEXT SIX MONTHS

REACHED SETTLEMENT (CONSENT ORDER) AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR

28-JUN-2023
3 
History of entity/person RAVI VARANASI

(PAN:AACPV0930C)  
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
  		ALLEGED FAILURE TO MONITOR SERVICES OF VENDOR IN RESPECT OF CORE AND CRITICAL ACTIVITIES OF NATIONAL STOCK EXCHANGE AND NSE CLEARING LTD.

ALLEGED FAILURE TO ENSURE SYSTEMS PREPAREDNESS AND READINESS TO MOVE OPERATIONS TO DRS

ALLEGED FAILURE TO ENSURE ORDERLY EXECUTION OF TRADES ON-LINE/REAL TIME RISK MANAGEMENT OF TRADES AND MARKET INTEGRITY

ALLEGED FAILURE TO IT INFRASTRUCTURE CAPACITY PLANNING AND MANAGEMENT

ALLEGED FAILURE TO REPLICATE DATA BETWEEN PDC AND NEAR DR SITE IN SYNCHRONOUS FASHION TO ENSURE ZERO DATA LOSS

ALLEGED FAILURE TO ENSURE “NO SINGLE POINT OF FAILURE”

ALLEGED FAILURE TO RECOVER OPERATIONS WITHIN RTO OF FOUR HOURS  		REACHED SETTLEMENT (CONSENT ORDER) TAKE UP AND PASS SPECIFIC AND APPROPRIATE TRAINING COURSES (SPECIFIED BY SEBI) AT THEIR OWN COST WITHIN NEXT SIX MONTHS

REACHED SETTLEMENT (CONSENT ORDER) AFTER PASSING SUCH EXAMS/COURSES, WILL COMMIT TO PRO BONO COMMUNITY SERVICE OF AT LEAST FOURTEEN DAYS OVER THE NEXT YEAR

28-JUN-2023
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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