If you are an Existing User, please enter your Username & Password below

Forgot Password?

Are you a New User? Click here to enrol

close

Click here to visit old website
Co-Sponsors

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.

PERSONS: LAPSES IN GOVERNANCE AT NATIONAL STOCK EXCHANGE OF INDIA LTD.

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person CHITRA RAMKRISHNA

(PAN:ABVPR7353M)  
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

(PAN:AAACN1797L)
  		DID NOT EXERCISE ADEQUATE DILIGENCE WITH REGARD TO PROVIDING NSE DATA TO OUTSIDE AGENCIES  DIRECTED NOT TO HOLD, ANY POSITION IN MANAGEMENT AND/OR IN THE BOARD OF ANY STOCK EXCHANGE AND/OR CLEARING CORPORATION, RECOGNIZED BY SEBI OR ANY RELATED ENTITY OF ANY RECOGNIZED STOCK EXCHANGE AND/OR CLEARING CORPORATION, OR BE ASSOCIATED IN ANY MANNER, DIRECTLY OR INDIRECTLY, WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR THEIR RELATED ENTITY AND/OR WITH ANY COMPANY HAVING ITS SECURITIES LISTED ON ANY STOCK EXCHANGES RECOGNIZED BY SEBI FROM 30-APR-2019 TO 29-APR-2022

30-APR-2019 		SAT: SAT VIDE ITS ORDER DATED 09/08/2023 PARTLY ALLOWED THE APPEAL BY QUASHING DIRECTIONS GIVEN BY WTM OF DEBARRING FROM HOLDING ANY POSITION FOR THREE YEARS AS PER ORDER DATED 30/04/2019
2 
History of entity/person RAVI NARAIN

(PAN:AAYPN8382Q)  
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

(PAN:AAACN1797L)
  		DID NOT EXERCISE ADEQUATE DILIGENCE WITH REGARD TO PROVIDING NSE DATA TO OUTSIDE AGENCIES  DIRECTED NOT TO HOLD, ANY POSITION IN MANAGEMENT AND/OR IN THE BOARD OF ANY STOCK EXCHANGE AND/OR CLEARING CORPORATION, RECOGNIZED BY SEBI OR ANY RELATED ENTITY OF ANY RECOGNIZED STOCK EXCHANGE AND/OR CLEARING CORPORATION, OR BE ASSOCIATED IN ANY MANNER, DIRECTLY OR INDIRECTLY, WITH ANY INTERMEDIARY REGISTERED WITH SEBI OR THEIR RELATED ENTITY AND/OR WITH ANY COMPANY HAVING ITS SECURITIES LISTED ON ANY STOCK EXCHANGES RECOGNIZED BY SEBI FROM 30-APR-2019 TO 29-APR-2022

30-APR-2019 		SEBI VIDE ITS ORDER DATED 16/01/2020 EXONERATED NOTICEE FROM THE ALLEGATIONS CHARGED VIDE ITS OREDER DATED 30/04/2019 AS VIOLATION OF REGULATION 26(2) OF SECC REGULATIONS READ WITH PART B OF SCHEDULE II OF SECC REGULATIONS AND SEBI MASTER CIRCULAR NOT ESTABLISHED
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

This website is not comprehensive and is being updated on a regular basis. Users are requested to carefully look at the formats and the information about the coverage period that appears on search results pages.

DISCLAIMER BY NSE

NSE is the co-sponsor of this website and supportive of the initiative taken for protection of interest of investors by Praxis Consulting & Information Services Pvt.Ltd. (PRAXIS), the creator of this website. However, NSE bear no responsibility for the views/information that is available on this website and as responsibility of the contents of this website solely rests with PRAXIS. NSE shall not be responsible for, and expressly disclaims all liability for, damages of any kind arising out of use, reference to or reliance on any information available on this website. Investors/visitors of this website are also advised to read through the other general disclaimer(s) and terms and conditions available on this website before using the website.

Site designed and maintained by watchoutinvestors.com
© PRIME DATABASE GROUP 2004-2024
No part of this site may be reproduced without the explicit permission of the owners.

top