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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: VIOLATED SECURITIES CONTRACTS (REGULATION) ACT, 1956

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person JAIPUR STOCK EXCHANGE LTD.  
  DELAY IN APPOINTMENT OF EXECUTIVE DIRECTOR WITHOUT ANY SUFFICIENT JUSTIFICATION AND FAILED TO ACT DILIGENTLY VIOLATING SEBI CIRCULAR BEARING NO.SMD/SED/6919/93 DATED APRIL 20, 1993

DID NOT TAKE PRIOR APPROVAL FROM SEBI FOR APPOINTMENT OF MR.C.P.MITTAL AS WHOLE TIME DIRECTOR VIOLATING SEBI CIRCULAR BEARING NO.CIR/MRD/DSA/SE/43/2010 DATED DECEMBER 31, 2010

AMENDED MEMORANDUM OF ASSOCIATION AND ADOPTED NEW ARTICLES OF ASSOCIATION WITHOUT GETTING APPROVAL FROM SEBI AND WITHOUT PUBLISHING THE SAME IN THE OFFICIAL GAZETTE OF CENTRAL GOVT AS REQUIRED UNDER SCRA ACT, 1956  		WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS

11-SEP-2014
2 
History of entity/person UNITED STOCK EXCHANGE OF INDIA LTD.  
  VARIOUS IRREGULARITIES IN THE OPERATIONS OF THE STOCK EXCHANGE VIOLATING SECTION 12A OF SECURITIES CONTRACTS (REGULATION) ACT (SCRA) ACT, 1956  WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

11-MAY-2012
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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