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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 THE GOVERNING BOARD OF STOCK EXCHANGE TO BE MORE VIGILANT, CAUTIOUS AND CAREFUL IN FUTURE IN DISCHARGE OF ITS FUNCTIONS AS A SELF REGULATORY ORGANISATION

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person COCHIN STOCK EXCHANGE LTD.  
  INADEQUATE INFRASTRUCTURE FACILITIES AVAILABLE WITH THE EXCHANGE

DID NOT MAINTAIN STIPULATED MINIMUM BMC

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

DIRECTED THE GOVERNING BOARD OF STOCK EXCHANGE TO BE MORE VIGILANT, CAUTIOUS AND CAREFUL IN FUTURE IN DISCHARGE OF ITS FUNCTIONS AS A SELF REGULATORY ORGANISATION

02-FEB-2006
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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