| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ADITYA UMESHCHANDRA MEHTA
(PAN:AUCPM0034A)
|
|
|
|
BONDCONNECT SECURITIES PVT.LTD.
PAN:AADCW4132D
|
|
ALLEGED FAILURE TO ENSURE THAT ALL ORDERS PLACED ON ONLINE BOND PLATFORM WITH RESPECT TO LISTED DEBT SECURITIES, LISTED MUNICIPAL DEBT SECURITIES AND SECURITISED DEBT INSTRUMENTS ROUTED THROUGH REQUEST FOR QUOTE (RQF) PLATFORM OF A RECOGNISED STOCK EXCHANGES VIOLATING CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI NCS MASTER CIRCULAR DATED 10/08/2021 (UPDATED AS ON 07/07/2023) AND CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI MASTER CIRCULAR DATED 22/05/2024
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,92,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 2 |
|
|
AMAL MANISH DANI
(PAN:BWEPD0632G)
|
|
|
|
BONDCONNECT SECURITIES PVT.LTD.
PAN:AADCW4132D
|
|
ALLEGED FAILURE TO ENSURE THAT ALL ORDERS PLACED ON ONLINE BOND PLATFORM WITH RESPECT TO LISTED DEBT SECURITIES, LISTED MUNICIPAL DEBT SECURITIES AND SECURITISED DEBT INSTRUMENTS ROUTED THROUGH REQUEST FOR QUOTE (RQF) PLATFORM OF A RECOGNISED STOCK EXCHANGES VIOLATING CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI NCS MASTER CIRCULAR DATED 10/08/2021 (UPDATED AS ON 07/07/2023) AND CLAUSES 3.4.1 OF ANNEX-XXI-A READ WITH 5.2.1 OF CHAPTER XXI OF SEBI MASTER CIRCULAR DATED 22/05/2024
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.15,92,500 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
07-MAR-2025
|
|
| 3 |
|
|
ANIL BAMBOLI
(PAN:AABPB0026A)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 25(6B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 2(B), 25(6B), 31 AND 33(4) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 4 |
|
|
DUSHYANT NATWARLAL DALAL
(PAN:AAAPD5859Q)
|
|
|
ALLEGED IRREGULARITIES IN TRANSACTIONS IN SHARES ISSUED THROUGH IPOS MADE DURING PERIOD 2003-2005
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.38,33,250 VIDE CONSENT ORDER)
14-JAN-2020
|
SEBI VIDE ITS ORDER DATED 28/01/2020 DISPOSED OFF THE ADJUDICATION PROCEEDINGS WITHOUT IMPOSING ANY MONETARY PENALTY AS THE CASE HAS BEEN SETTLED VIDE ORDER DATED 14/01/2020
SAT: SAT VIDE ITS ORDER DATED 07/02/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 09/05/2016
|
| 5 |
|
|
FAKHRUDDIN T.MOIYADI
|
|
|
ALLEGED VIOLATION OF DIRECTIVES/INSTRUCTIONS/GUIDELINES AND ORDER OF SEBI IN MATTER OF VERONICA LABORATORIES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.1,00,000 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY NOT TO BUY/SELL/ DEAL IN SECURITIES/ SPECIFIED SCRIPS DIRECTLY/INDIRECTLY) FROM 21-JAN-2009 TO 20-JAN-2012
21-JAN-2009
|
|
| 6 |
|
|
G.M.SHENOY
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 7 |
|
|
KAMALA K.
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 8 |
|
|
MAYUR SINDHWAD
(PAN:BQCPS9399P)
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 9 |
|
|
MEENAL BAHETI
(PAN:AHQPB1037R)
|
|
|
|
AXIS ASSET MANAGEMENT CO.LTD.
PAN:AAHCA5892J
|
|
ALLEGED INDULGENCE IN PASSING THE INFORMATION, ADVICE OR INDUCE TO BUY OR SELL SECURITIES THAT WERE BEING BOUGHT OR SOLD BY AXIS MUTUAL FUND VIOLATING PARA 6.6.2.2 OF SEBI MASTER CIRCULAR FOR MUTUAL FUNDS DATED 19/05/2023
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.19,50,000 VIDE CONSENT ORDER)
09-JUL-2025
|
|
| 10 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
|
PNB FINANCE & INDUSTRIES LTD.
PAN:AAACP0256C
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ASHOKA VINIYOGA LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( CONSENT ORDER)
07-SEP-2022
|
|
| 11 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF COMBINE HOLDING LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( CONSENT ORDER)
07-SEP-2022
|
|
| 12 |
|
|
MEERA JAIN
(PAN:AEZPJ3882J)
|
|
|
|
CAMAC COMMERCIAL CO.LTD.
PAN:AABCC0733E
|
|
ALLEGED VIOLATION SECTIONS 12A(A) AND 12A(B) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B), 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 30(2) OF SAST REGULATIONS, 2011 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGE AS REQUIRED UNDER REGULATION 7(1)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SAHU JAIN LTD.
ALLEGED FAILURE IN COMPLIANCE OF MINIMUM PUBLIC SHAREHOLDING NORMS VIOLATING CLAUSE 2(II) OF SEBI CIRCULAR NO.CIR/CFD/DIL/10/2010 DATED 16/12/2010 READ WITH CIRCULAR NO.CIR/CFD/CMD/14/2015 DATED 30/11/2015
|
REACHED SETTLEMENT ( CONSENT ORDER)
07-SEP-2022
|
|
| 13 |
|
|
MILIND BARVE
(PAN:ABGPB6755Q)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 25(6A), 25(19), 33(4), 39(1), 53(B) SCHEDULE EIGHTH UNDER REGULATIONS 25(19) AND 47 OF THE SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF REGULATIONS 2(B), 25(6A), 25(19), 31, 33(4), 47 AND 60 OF THE SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 14 |
|
|
NARAYAN NEELAKANTAN
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 15 |
|
|
NILESH TINAIKAR
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| 16 |
|
|
PAVAN GOKULCHAND MORARKA
|
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
|
BRADY & MORRIS ENGINEERING CO.LTD.
|
|
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
ALLEGED VIOLATION OF RULE 19A(1) OF SCRR READ WITH CLAUSE 40A OF LISTING AGREEMENT BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
ALLEGED VIOLATION OF SECTION 21 OF SECURITIES CONTRACTS (REGULATION) ACT, 1956 BY DILUTING STAKE IN BRADY & MORRIS ENGINEERING CO. LTD. THROUGH SELLING OF SHARES IN THE OPEN MARKET
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,80,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
02-DEC-2014
|
|
| 17 |
|
|
PRASHANT JAIN
(PAN:AACPJ2583K)
|
|
|
|
HDFC ASSET MANAGEMENT CO.LTD.
PAN:AAACH7614L
|
|
ALLEGED VIOLATION OF REGULATIONS 25(6B) OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF CLAUSES 6 AND 9 OF CODE OF CONDUCT SPECIFIED IN SCHEDULE FIFTH OF SEBI (MUTUAL FUNDS) REGULATIONS, 1996 IN MATTER OF DEBT INSTRUMENTS OF ESSEL GROUP OF COMPANIES
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.4,20,46,420 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
16-APR-2020
|
|
| 18 |
|
|
PRASHANT SAGWEKAR
(PAN:AVUPS1958E)
|
|
|
|
PENBROOK CAPITAL ADVISORS PVT.LTD.
PAN:AAGCP3459B
|
|
ALLEGED FAILURE IN MONITORING COMPLIANCE OF VARIOUS REQUIREMENTS VIOLATING REGULATIONS 10(C), 10(D), 11(2) AND 13(4) OF SEBI (ALTERNATIVE INVESTMENT FUNDS) REGULATIONS, 2012
ALLEGED FAILURE IN UPLOADING OF KYC DATA OF EXISTING INDIVIDUAL CLIENTS WITH CKYCR VIOLATING SEBI MASTER CIRCULAR NO.SEBI/HO/MIRSD/DOP/CIR/P/2019/113 DATED 15/10/2019 AND CIRCULAR NO.CIR/IMD/DF/14/2014 DATED 24/06/2019
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.21,25,000 VIDE CONSENT ORDER)
28-JAN-2022
|
|
| 19 |
|
|
PULOMA DUSHYANT DALAL
(PAN:AAEPD2909B)
|
|
|
ALLEGED IRREGULARITIES IN TRANSACTIONS IN SHARES ISSUED THROUGH IPOS MADE DURING PERIOD 2003-2005
ALLEGED VIOLATION OF VARIOUS SEBI CIRCULARS/ORDERS
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.38,33,250 VIDE CONSENT ORDER)
14-JAN-2020
|
SEBI VIDE ITS ORDER DATED 28/01/2020 DISPOSED OFF THE ADJUDICATION PROCEEDINGS WITHOUT IMPOSING ANY MONETARY PENALTY AS THE CASE HAS BEEN SETTLED VIDE ORDER DATED 14/01/2020
SAT: SAT VIDE ITS ORDER DATED 07/02/2020 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 09/05/2016
|
| 20 |
|
|
R.NANDAKUMAR
|
|
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
PAN:AAACN1797L
|
|
ALLEGED FAILURE TO TAKE REMEDIAL MEASURES TO PREVENT / DISCOURAGE ANY
POSSIBLE BYPASS OF TRADING ACCESS POINT (TAP)
ALLEGED FAILURE IN BRING INTO THE NOTICE OF NSES STANDING COMMITTEE THE COMPLAINT DATED 20/11/2013 AND DEFICIENCIES OF TRADING ACCESS POINT (TAP) SYSTEM
ALLEGED DELAY IN APPOINTMENT OF CHIEF INFORMATION SECURITY OFFICER BY NSE, NON-IMPLEMENTATION OF ENCRYPTION FEATURE IN TRADING ACCESS POINT (TAP) ETC. VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 06/07/2015
ALLEGED FAILURE IN DESIGNATE CHIEF TECHNOLOGY OFFICER (CTO) AS KEY MANAGEMENT PERSONNEL (KMP) BY NSE
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.6,43,05,30,000 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
04-OCT-2024
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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