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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 NSE TO GET ITS NETWORK ARCHITECTURE AND INFRASTRUCTURE IN ITS COLO FACILITY AND ITS LINKAGES TO TRADING INFRASTRUCTURE AUDITED BY INDEPENDENT CISA/CISM QUALIFIED AND CERT-IN EMPANELLED AUDITOR ON COMPLETION OF EVERY SIX MONTHS (BY JUNE 30TH AND DECEMBER 31ST) FOR THE NEXT THREE YEARS

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

(PAN:AAACN1797L)  
  VIOLATED REGULATION 3(D) READ WITH 4(1) OF PFUTP REGULATIONS, 2003 READ WITH SECTION 12 (A) (C) OF SEBI ACT, 1992 ON ACCOUNT OF GRANTING PREFERENTIAL TREATMENT TO TWO STOCK BROKERS NAMELY, WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES AND DEPRIVING THE SAME TO OTHER STOCK BROKERS  DIRECTED NSE TO DEPOSIT RS.62.58 CRORES ALONG WITH INTEREST @ 12% P.A. FROM 11/09/2015 TILL DATE OF PAYMENT TO IPEF WITHIN 45 DAYS FROM DATE OF THIS ORDER

DIRECTED NSE TO GET ITS NETWORK ARCHITECTURE AND INFRASTRUCTURE IN ITS COLO FACILITY AND ITS LINKAGES TO TRADING INFRASTRUCTURE AUDITED BY INDEPENDENT CISA/CISM QUALIFIED AND CERT-IN EMPANELLED AUDITOR ON COMPLETION OF EVERY SIX MONTHS (BY JUNE 30TH AND DECEMBER 31ST) FOR THE NEXT THREE YEARS

DIRECTED NSE TO PREPARE COMPREHENSIVE DOCUMENTED POLICY INCLUDING GUIDELINES, STANDARD OPERATING PROCEDURES AND PROTOCOLS WITH RESPECT TO ITS COLO FACILITY INCLUDING ELIGIBILITY CRITERIA FOR TELECOM SERVICE PROVIDERS

DIRECTED NSE TO SUBMIT A REPORT TO SEBI DULY CERTIFIED BY ITS MD & CEO AND WITH COMMENTS OF ITS GOVERNING BOARD CERTIFYING NETWORK ARCHITECTURE AND CONNECTIVITY AT ITS COLO FACILITY AND ITS LINKAGES TO TRADING INFRASTRUCTURE ARE IN CONFORMITY WITH SEBI’S REGULATORY NORMS TO PROVIDE FAIR, EQUITABLE, TRANSPARENT AND NON-DISCRIMINATORY TREATMENT TO ALL MARKET INTERMEDIARIES REGISTERED WITH NSE

DIRECTED NOT TO INTRODUCE ANY NEW DERIVATIVE PRODUCT FOR THE NEXT SIX MONTHS FROM THE DATE OF THIS ORDER

30-APR-2019 		SAT: SAT VIDE ITS ORDER DATED 06/06/2019 REJECTED MISC. APPLICATION AND ALLOWED A WEEKS’S FURTHER TIME TO COMPLY WITH THE ORDER DATED 22/05/2019

SAT: SAT VIDE ITS ORDER DATED 17/05/2021 DISPOSED OFF THE APPEAL BY DIRECTING APPELLANT TO TRANSFER RS.420 CRORES TO SEBI AND DIRECTED REGISTRY TO ISSUE NOTICE TO ALL THE PARITIES WITHIN A WEEK FROM DATE OF THIS ORDER
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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