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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: DID NOT CONDUCT INSPECTION OF SUBSIDIARY COMPANY/SUB-BROKERS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person MADHYA PRADESH STOCK EXCHANGE LTD.  
  DID NOT MAINTAIN BASE MINIMUM CAPITAL

DID NOT COLLECT/RECOVER OUTSTANDING DUES FROM BROKERS

DID NOT CONDUCT INSPECTION OF SUBSIDIARY COMPANY/SUB-BROKERS

DID NOT APPOINT LISTING COMMITTEE

DID NOT MAINTAIN BASIC PLATFORM FOR TRADING AND SETTLEMENT SUCH AS CLEARING HOUSE, SEPARATE BANK ACCOUNT, SEPARATE DEMAT ACCOUNT, LICENSED AND TESTED TRADING SOFTWARE, PROPER MAN POWER ETC.

DID NOT SET UP INVESTOR PROTECTION FUND  		DIRECTED STOCK EXCHANGE TO RECTIFY DEFICIENCIES MADE IN LAST INSPECTION REPORT AND PUT IN PLACE BASIC SYSTEMS REQUIRED TO PERFORM AS RECOGNIZED STOCK EXCHANGE WITHIN 3 MONTHS FROM THE DATE OF ORDER

18-FEB-2008
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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