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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.

STOCK EXCHANGES: REACHED SETTLEMENT (CONSENT ORDER)

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

(PAN:AAACN1797L)  
  ALLEGED FAILURE IN OBTAINING RENEWAL OF APPROVAL FROM SEBI AS STRAIGHT THROUGH PROCESSING (STP) SERVICE PROVIDERS VIOLATING CLAUSES 3(1), 4(1)(I), 6(1)(I) AND 6(1)(II) OF SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004

ALLEGED FAILURE IN ENSURING THAT ITS STRAIGHT THROUGH PROCESSING (STP) SERVICE PROVIDERS WERE HAVING VALID APPROVAL VIOLATING CLAUSES 3(1), 4(1)(I), 6(1)(I) AND 6(1)(II) OF SEBI (STP CENTRALIZED HUB AND STP SERVICES PROVIDERS) GUIDELINES, 2004  		REACHED SETTLEMENT (SETTLEMENT CHARGES RS.4,87,50,000 VIDE CONSENT ORDER)

29-DEC-2021
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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