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  • METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
Regulatory Actions Covered By This Website

METROPOLITAN STOCK EXCHANGE OF INDIA LTD.

If you wish to see Regulator wise orders, please click here
   
 PERIOD COVERED
FROMTO/UPTIL
Companies 20/05/2010 17/07/2024
Actions by MSEI
Cancelled registration as trading membership  
Company delisted  
Compulsory delisting  
Directed depositories to freeze entire promoter shareholding of sterling estates & properties ltd.  
Directed depositories to freeze promoter shareholding  
Directed not to take any fresh positions on the exchange and close all its open positions  
Directed to deactivate trading terminals of member upon expiry of all open contracts  
Restrained from accessing securities market  
Securities shifted to bz series  
Suspended from membership  
Suspended from trading  
Suspended from trading under permitted to trade category  
Suspended registration as merchant banker  
Reasons for Action
Compulsory delisted on bombay stock exchanges on account of suspension for more than six months  
Delisted equity shares from primary stock exchanges  
Did not adhere to composition of audit committee as per regulation 18 of SEBI (lodr) regulations, 2015  
Did not adhere to listing agreement  
Did not adhere to listing regulations, 2015  
Did not adhere to minimum public shareholding requirement  
Did not adhere to regulation 31 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 33 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 34 of SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not adhere to regulation 55A of SEBI (depositories & participants) regulations, 1996  
Did not adhere to regulation 76 of SEBI (depositories & participants) regulations, 2018  
Did not adhere to regulation 76 of SEBI (lodr) regulations, 2015  
Did not adhere to regulations 17(1) and 18(1) of SEBI (lodr) regulations, 2015  
Did not adhere to regulations 17(1) of SEBI (lodr) regulations, 2015  
Did not adhere to SEBI (depositories & participants) regulations, 2018  
Did not adhere to SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not adhere to SEBI (lodr) regulations, 2015  
Did not adhere to standard operating procedure  
Did not adhere to various rules/regulations/bye-laws of the exchange/sebi  
Did not exercise due diligence, skill and care as independent professional judgement while acting as book running lead manager violating regulations 64(1), 8(2) (b), (e) and (f) of SEBI (icdr) regulations, 2009 in matter of IPOs of ravi kumar distilleries ltd.  
Did not redress observations of verification of fundamentals/credentials of suspected shell companies  
Did not submit annual report as per SEBI (lodr) regulations, 2015  
Engaged in business other than securities in violation of securities contract (regulation) rules, 1957  
Failed to pay annual listing fee  
Failed to pay fines  
Failed to redress observations of verification fundamentals/credentials  
Indulged in siphoning off/diversion of Rs.33.83 crores in IPOs proceeds violating sections 12(A) to (c) of SEBI act, 1992 read with regulations 3(A) to 3(D) and 4(1) of SEBI (PFUTP) regulations, 2003 in matter of IPOs of ravi kumar distilleries ltd.  
Liquidation process commenced and official liquidator appointed  
Not available  
Official liquidator has been appointed  
Resigned and/or surrendered membership card to stock exchange  
Resolution plan approved pursuant to order of nclt  
Resolution plan approved pursuant to order of nclt under insolvency & bankruptcy code, 2016  
Trading restrained by nclt in the securities of the company  
Transferred trading in securities of the company to bz series on primary stock exchange  
Transferred trading in securities of the company to z category on primary stock exchange  
Violated SEBI (delisting of equity shares) regulations 2009  
Violated SEBI (delisting of equity shares) regulations, 2021  
Violated SEBI (issue of capital and disclosure requirements) regulations, 2009  
Violated SEBI (lodr) regulations, 2015  
Violated SEBI (PFUTP) regulations, 2003  
Stock Brokers 20/05/2010 17/07/2024
Actions by MSEI
Advised to comply with SEBI circulars and exchange on margin reporting in future  
Cancelled registration as trading membership  
Declared defaulter by stock exchange  
Directed not to take any fresh positions on the exchange and close all its open positions  
Directed to furnish an undertaking to exchange declaring that neither they nor any of their directors directly or indirectly apply for membership of the exchange during currency of the suspension or trade on the exchange  
Expelled from membership by stock exchange  
Expelled from membership of capital market and futures & options segments of mcx-sx  
Penalty imposed  
Suspended from membership  
Suspended from trading  
Reasons for Action
Carried on unauthorized portfolio management services  
Changed designated directors without prior approval of the exchange  
Compulsory delisted on bombay stock exchanges on account of suspension for more than six months  
Dealt with unregistered intermediaries  
Declared defaulter by stock exchange  
Declared defaulter on currency derivatives segment by the exchange  
Delayed in intimating details of designated director to financial intelligence unit (fiu)  
Did not adhere to composition of audit committee as per regulation 18 of SEBI (lodr) regulations, 2015  
Did not adhere to membership criteria of SEBI/exchange  
Did not adhere to regulation 27 of SEBI intermediaries regulations and section 12(3) of SEBI act, 1992  
Did not adhere to regulation 31 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 33 of SEBI (lodr) regulations, 2015  
Did not adhere to regulation 34 of SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not adhere to regulation 76 of SEBI (lodr) regulations, 2015  
Did not adhere to regulations 17(1) and 18(1) of SEBI (lodr) regulations, 2015  
Did not adhere to regulations 17(1) of SEBI (lodr) regulations, 2015  
Did not adhere to requirements laid down by SEBI/exchange  
Did not adhere to SEBI (listing obligations and disclosure requirements) regulations, 2015  
Did not adhere to settlement criteria  
Did not adhere to various rules/regulations/bye-laws of the exchange/sebi  
Did not appoint principal officer as required by aml directives/instructions/guidelines  
Did not co-operate with inspection authorities  
Did not inform exchange regarding change in registered office & communication office  
Did not intimate dedicated email id for correspondence between member & exchange in relation to investor grievance  
Did not maintain bank books properly  
Did not maintain clients’ ledgers properly  
Did not maintain net worth as prescribed by the exchange for a member  
Did not maintain net worth requirement  
Did not maintain order book  
Did not maintain segregation between client’s funds & own funds  
Did not produce required documents to inspection authority  
Did not reply to communication from the exchange  
Did not settle client accounts  
Did not submit annual accounts  
Did not submit annual report as per SEBI (lodr) regulations, 2015  
Did not submit information of change in directors and their contact details  
Did not submit net worth certificates to exchange  
Did not submit or submitted incomplete documents  
Did not upload “know your client” documents to kra  
Diluted promoter’s shareholding without prior approval of the exchange  
Discrepancies in client registration documents  
Engaged in business other than securities in violation of securities contract (regulation) rules, 1957  
Expelled by national stock exchange  
Expelled by other stock exchange  
Involved in activities like cheque discounting and cash through 'hawala' operators  
Issued contract notes with format related discrepancies  
Misused client funds and accepted large amounts of cash from clients  
Registration certificate cancelled by sebi  
Reported wrong/false report of client margin collection  
Resigned and/or surrendered membership card to stock exchange  
Shared brokerage with a person who was not an approved user  
Submitted false or misleading statement in its clearing forms or returns to stock exchange  
Submitted wrong/false reporting of client margin collection  
Traded for client who was not a registered client at the exchange level  
Transferred profit from one particular account to various accounts  
Transferred profits from one client's account to multiple client's accounts  
Transferred shares of wholly owned subsidiary of the member to other entity in which both the directors of parent company were directors  
Transferred trades from one client to another clients in the back office without effecting those changes on the exchange platform  
Transferred trades to its own ‘error’ account in back-office after trading hours  
Unauthorized transfer of funds from one client account to another  
Used client money for own use  
Utilized member's margin for funding of client margin  
Violated SEBI (delisting of equity shares) regulations 2009  
Violated SEBI act, 1992  
REGULATORY ACTIONS PRESENTLY COVERED BY THIS WEBSITEPERIOD COVERED
FROMTO/UPTIL
ACE DERIVATIVES & COMMODITY STOCK EXCHANGE LTD. (since closed)
Alphabetical Chronological
 19/05/2011  31/12/2019
ASSOCIATION OF MUTUAL FUNDS OF INDIA,THE
Alphabetical Chronological
 30/09/2013  30/06/2024
BANKS
Alphabetical Chronological
 29/03/2000  05/07/2024
BOARD FOR INDUSTRIAL & FINANCIAL RECONSTRUCTION (since dissolved)
Alphabetical Chronological
 31/12/1987  31/10/2005
BSE LTD.
Alphabetical Chronological
 05/06/1995  17/07/2024
CENTRAL BOARD OF INDIRECT TAXES & CUSTOMS
Alphabetical Chronological
 01/04/2003  31/03/2024
CENTRAL BUREAU OF INVESTIGATION
Alphabetical Chronological
 05/04/2001  17/07/2024
CENTRAL DEPOSITORY SERVICES (INDIA) LTD.
Alphabetical Chronological
 15/03/2004  15/07/2024
COMPANY LAW BOARD
Alphabetical Chronological
 01/04/2000  30/06/2008
DEBT RECOVERY TRIBUNALS
Alphabetical Chronological
 16/08/2000  03/07/2024
DELHI STOCK EXCHANGE LTD. (since dissolved)
Alphabetical Chronological
 31/03/2002  30/09/2020
DEPARTMENT OF INCOME TAX
Alphabetical Chronological
 15/04/2015  30/06/2024
EMPLOYEES' PROVIDENT FUND ORGANISATION
Alphabetical Chronological
 31/03/2005  23/09/2021
INDIAN CLEARING CORP.LTD.
Alphabetical Chronological
 25/09/2012  30/06/2024
INDIAN COMMODITY EXCHANGE LTD.
Alphabetical Chronological
 10/06/2006  17/07/2024
INSOLVENCY & BANKRUPTCY BOARD OF INDIA - NATIONAL COMPANY LAW TRIBUNAL
Alphabetical Chronological
 17/01/2017  16/07/2024
INSTITUTE OF CHARTERED ACCOUNTANTS OF INDIA
Alphabetical Chronological
 28/10/2004  30/06/2024
INSURANCE REGULATORY & DEVELOPMENT AUTHORITY OF INDIA
Alphabetical Chronological
 16/08/2002  17/07/2024
INTER-CONNECTED STOCK EXCHANGE
Alphabetical Chronological
 17/04/2004  30/06/2024
METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 20/05/2010  17/07/2024
MINISTRY OF CORPORATE AFFAIRS, EASY EXIT SCHEME
Alphabetical Chronological
 15/12/2010  03/08/2014
MINISTRY OF CORPORATE AFFAIRS, OFFICIAL LIQUIDATORS
Alphabetical Chronological
 27/04/1946  31/03/2018
MINISTRY OF CORPORATE AFFAIRS, PERSONS DISQUALIFIED FROM DIRECTORSHIP
Alphabetical Chronological
 31/08/2017  30/06/2024
MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES
Alphabetical Chronological
 27/01/2001  04/09/2015
MINISTRY OF CORPORATE AFFAIRS, SERIOUS FRAUD INVESTIGATION OFFICE
Alphabetical Chronological
 02/09/2009  30/06/2024
MINISTRY OF CORPORATE AFFAIRS, SIMPLIFIED EXIT SCHEME
Alphabetical Chronological
 06/05/2003  23/10/2009
MINISTRY OF CORPORATE AFFAIRS, VANISHING COMPANIES
Alphabetical Chronological
 30/01/2006  30/06/2024
MINISTRY OF FINANCE - FINANCIAL INTELLIGENCE UNIT
Alphabetical Chronological
 14/02/2013  30/06/2024
MINISTRY OF FINANCE - FORWARD MARKETS COMMISSION (since merged with SEBI)
Alphabetical Chronological
 23/07/2011  17/07/2024
MULTI COMMODITY EXCHANGE CLEARING CORP.LTD.
Alphabetical Chronological
 09/11/2018  17/07/2024
MULTI COMMODITY EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 08/04/2011  17/07/2024
NATIONAL COMMODITY & DERIVATIVES EXCHANGE LTD.
Alphabetical Chronological
 30/03/2011  17/07/2024
NATIONAL COMMODITY CLEARING LTD.
Alphabetical Chronological
 14/05/2008  17/07/2024
NATIONAL FINANCIAL REPORTING AUTHORITY
Alphabetical Chronological
 22/07/2020  17/07/2024
NATIONAL HOUSING BANK
Alphabetical Chronological
 01/03/2006  30/06/2024
NATIONAL SECURITIES DEPOSITORY LTD.
Alphabetical Chronological
 19/11/2004  05/07/2024
NATIONAL SPOT EXCHANGE LTD.
Alphabetical Chronological
 22/08/2013  30/06/2024
NATIONAL STOCK EXCHANGE OF INDIA LTD.
Alphabetical Chronological
 01/01/2000  17/07/2024
NSE CLEARING LTD.
Alphabetical Chronological
 19/09/2013  17/07/2024
RESERVE BANK OF INDIA
Alphabetical Chronological
 01/08/1996  17/07/2024
SECURITIES AND EXCHANGE BOARD OF INDIA (For only consent orders click here)
Alphabetical Chronological
 01/01/1997  17/07/2024
UNITED NATIONS SECURITY COUNCIL
Alphabetical Chronological
 02/04/2018  30/06/2024
OTHER SOURCES IN THE OFFING
CREDIT INFORMATION BUREAU (INDIA) LTD.
ECONOMIC OFFENCES WING
ENFORCEMENT DIRECTORATE
ENVIRONMENT POLLUTION BOARD
FINANCIAL INSTITUTIONS
INSTITUTE OF COMPANY SECRETARIES OF INDIA,THE
INSTITUTE OF COST AND WORKS ACCOUNTANTS OF INDIA
LABOUR DEPARTMENT
RATING AGENCIES
SERVICE TAX
STATE FINANCIAL CORPORATIONS
STATE INDUSTRIAL DEVELOPMENT CORPORATIONS
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