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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 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

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

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