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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
UPDATED TILL : 21-NOV-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: PERMITTED VIOLATIONS IN SURVEILLANCE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CALCUTTA STOCK EXCHANGE ASSOCIATION LTD.  
  SEVERAL DEFICIENCIES IN RISK MANAGEMENT SYSTEM

SERIOUS SHORTCOMINGS IN COMPUTER SYSTEMS

DID NOT INITIATE PROCESS OF ENQUIRY, FIX RESPONSIBILITY AND TAKE APPROPRIATE ACTION FOR REMOVAL OF DEFICIENCIES

DID NOT INITIATE SYSTEMS AUDIT EXERCISE FOR ITS SURVEILLANCE SYSTEMS  		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

04-DEC-2003 		ON SUCESSFULLY COMPETION OF DEMUTUALISATION PROCESS,RESTORE ADMINISTRATION OF EXCHANGE TO THE BOARD OF THE EXCHANGE,RECONSTITUTED IN ACCORDANCE WITH THE COMPOSITION PRESCRIBED BY SEBI
2 
History of entity/person PUNE STOCK EXCHANGE LTD.  
  LISTING PERMISSION TO HOME TRADE LTD WAS NOT IN ACCORDANCE WITH SC (R)A, ITS RULES AND LISTING AGREEMENT

DID NOT CONDUCT ANY INSPECTION OF BROKERS

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN IMPOSITION OF SPECIAL MARGIN

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN PUTTING SCRIP ON SPOT BASIS

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN SUSPENSION OF TRADING IN SCRIP

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN INDEFINITE SUSPENSION TO CURB/CHECK ARTIFICIAL PRICE RISE

LARGE SCALE VIOLATIONS IN SURVEILLANCE

ALLEGED ACTIVATION OF SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION  		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

07-APR-2003 		RECONSTITUTED BOARD OF EXCHANGE AND RESTORED ADMINISTRATION OF EXCHANGE TO THE BOARD
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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