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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: DIRECTED STOCK EXCHANGE TO APPOINT AN INDEPENDENT AUDITOR TO ASSESS INTERNAL CONTROL SYSTEMS OF EXCHANGE AND IMPLEMENT ITS SUGGESTIONS AFTER DISCUSSIONS IN BOARD MEETING WITHIN TWO MONTS FROM DATE OF ORDER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person AHMEDABAD STOCK EXCHANGE LTD.  
  DID NOT MAINTAIN STATUTORY FUNDS SEPARATELY FOR INVESTOR SERVICE FUND (ISF) AND SETTLEMENT GUARANTEE FUND (SGF)  WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

DIRECTED GOVERNING BOARD OF STOCK EXCHANGE TO SUBMIT A COMPLIANCE REPORT WITH RESPECT TO OBSERVATIONS WHICH STILL HAVE NOT BEEN COMPLIED WITH

DIRECTED STOCK EXCHANGE NOT TO USE ANY FUNDS FROM INVESTOR PROTECTION FUND (IPF) AND INVESTOR SERVICE FUND (ISF) TILL EXCHANGE PUTS IN PLACE ADEQUATE CHECKS AND BALANCES FOR UTILISATION OF FUNDS FROM THIS ACCOUNT TO THE SATISFACTION OF SEBI

DIRECTED STOCK EXCHANGE TO APPOINT AN INDEPENDENT AUDITOR TO ASSESS INTERNAL CONTROL SYSTEMS OF EXCHANGE AND IMPLEMENT ITS SUGGESTIONS AFTER DISCUSSIONS IN BOARD MEETING WITHIN TWO MONTS FROM DATE OF ORDER

DIRECTED STOCK EXCHANGE NOT TO APPOINT MR.KEYUR B.MEHTA & MR KUSH B. SHAH ON BOARD FOR A PERIOD OF FIVE YEARS

RESTRAINED MR.HEMENT SINGH JHALA FROM HOLDING ANY POSITION AS DIRECTOR WITH ANY SEBI REGISTERED INTERMEDIARY OR ENTITY

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

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