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

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: CENSURED TO BE CAREFUL AND CAUTIOUS IN DEALINGS IN SECURITIES MARKET AND COMPLY WITH ALL LEGAL REQUIREMENTS THAT GOVERN ITS FUNCTIONS AS STOCK EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person BOMBAY STOCK EXCHANGE LTD.  
  DID NOT SEND CORRECT INFORMATION TO SEBI IN RELATION TO SUBSCRIPTION FIGURE OF OFS OF NMDC LTD. VIOLATING CLAUSE 5(D) (II) AND (III) OF OPERATIONAL DIRECTIVES/INSTRUCTIONS/GUIDELINES ON OFS ISSUED VIDE SEBI CIRCULAR NO.CIR/MRD/DP/18/2012 DATED JULY 18, 2012  CENSURED TO BE CAREFUL AND CAUTIOUS IN DEALINGS IN SECURITIES MARKET AND COMPLY WITH ALL LEGAL REQUIREMENTS THAT GOVERN ITS FUNCTIONS AS STOCK EXCHANGE

DIRECTED TO ENGAGE ONE OR MORE INDEPENDENT CONSULTANTS TO REVIEW ENTIRE SEQUENCE OF EVENTS IN THE MATTER, PROCESS FOLLOWED, CHECKS IN PLACE AND SYSTEMS EMPLOYED WHILE ACCEPTING OFS BIDS BY BSE

DIRECTED TO REPORT TO ITS BOARD, UNDER INTIMATION TO SEBI WITHIN A PERIOD OF THREE (3) MONTHS AS TO HOW RECOMMENDATIONS OF CONSULTANTS HAVE BEEN IMPLEMENTED INCLUDING ACTION AS DIRECTED IN THE ORDER

11-SEP-2014
2 
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE  
  DID NOT SEND HALT TRIGGER TO ITS MATCHING ENGINES AT THE INSTANCE OF BREACH OF 10% AND 15% CIRCUIT BREAKER LIMITS ON 05/10/2012 VIOLATING PROVISIONS OF SEBI CIRCULAR NO.SMDRPD/POLICY/CIR-37/2001 DATED 28/06/2001

DID NOT EFFECTIVELY ENSURE THAT ITS STOCK BROKERS HAVE NECESSARY RISK CONTROL SYSTEMS VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000

DID NOT HAVE SYSTEM AT ITS END TO MANAGE RISK IN THE EVENT OF FAILURE OF STOCK BROKER’S RISK MANAGEMENT SYSTEM VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000  		CENSURED TO BE CAREFUL AND CAUTIOUS IN DEALINGS IN SECURITIES MARKET AND COMPLY WITH ALL LEGAL REQUIREMENTS THAT GOVERN ITS FUNCTIONS AS STOCK EXCHANGE

DIRECTED TO CARRY OUT COMPREHENSIVE REVIEW BY INDEPENDENT EXPERT (CONSULTANT) OF THE PROCESS FOLLOWED, CHECKS IN PLACE, SYSTEMS EMPLOYED BY NSE AND SUBMIT REPORT TO SEBI ALONG WITH ITS 'PLAN OF ACTION' WITHIN PERIOD OF THREE MONTHS

10-OCT-2014
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top