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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: DEFAULTED IN MANAGEMENT OF SUBSIDIARY COMPANY

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person PUNE STOCK EXCHANGE LTD.  
  DID NOT SUBMIT QUARTERLY REPORTS OF SHAREHOLDING AND UNDERTAKING CONFIRMING COMPLIANCE OF MIMPS REGULATIONS

DID NOT NOMINATE PUBLIC REPRESENTATIVE DIRECTORS AND NOMINEE DIRECTORS OF PARENT EXCHANGE ON GOVERNING BOARD OF SUBSIDIARY COMPANY

AUTHORISED ITS DIRECTORS TO ATTEND GOVERNING BOARD MEETINGS OF SUBSIDIARY COMPANY

COMPOSITION OF INVESTOR PROTECTION FUND (IPF) TRUST WAS NOT IN ACCORDANCE WITH SEBI CIRCULAR NO.MRD/DOP/SE/CIR-38/2004 DATED 28/10/2004

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS  		WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

23-JUL-2013
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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