| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
COMPUTER AGE MANAGEMENT SYSTEMS PVT.LTD.
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 2 |
|
|
GKN SECURITIES
(PAN:AAHFG6629C)
|
|
|
|
OM PRAKASH GUPTA
PAN:AAHPG3048B
|
|
|
RAHUL GUPTA
PAN:AAHPG6987B
|
|
|
SONALI GUPTA
PAN:AAEPC1340F
|
|
DID NOT CARRY OUT PROPER DUE DILIGENCE WHILE APPLYING P2P CONNECTIVITY THROUGH SAMPARK TO ENSURE THAT SAMPARK HAD REQUISITE DOT LICENSE TO CARRY OUT ACTIVITY
GKN SECURITIES DIRECTLY BENEFITTED BY PREFERENTIAL TREATMENT BY NSE, SINCE NSE ALLOWED GKN TO CONTINUE TO USE SAMPARK LINE EVEN AFTER KNOWING THAT SAMPARK DID NOT HAVE REQUISITE LICENSES TO PROVIDE SUCH CONNECTIVITY
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
|
IMPOSED PENALTY RS.4,20,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/12/2023 PARTLY ALLOWED THE APPEAL BY QUASHING PENALTY
OF RS4 CRORE FOR VIOLATION UNDER REGULATIONS 3 AND 4 OF PFUTP REGULATIONS AND REDUCED PENALTY AMOUNT TO RS.20 LAC FROM RS.1 CRORE U/S 15HB OF SEBI ACT.
|
| 3 |
|
|
MARKET SIMPLIFIED INDIA LTD.
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 4 |
|
|
METROPOLITAN STOCK EXCHANGE OF INDIA LTD.
(PAN:AAFCM6942F)
|
|
|
|
LATIKA KUNDU
PAN:AHCPK0733B
|
|
|
SAKET BHANSALI
PAN:AAVPB9932H
|
|
DID NOT PROVIDE NECESSARY PROJECTIONS IN TERMS OF IAS1 (INDIAN ACCOUNTING STANDARD)
DID NOT SEEK RELAXATION REGARDING KEY MANAGEMENT PERSONNEL (KMP)
|
IMPOSED PENALTY RS.4,00,000
31-JUL-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/09/2023 RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS. DIRECTED APPELLANT TO DEPOSIT RS.10 LAC WITHIN FOUR WEEKS FROM DATE OF THIS ORDER AND STAYED EFFECT AND OPERATION OF IMPUGNED ORDER
SAT: SAT VIDE ITS ORDER DATED 24/10/2024 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 31/07/2023
|
| 5 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
ANAND SUBRAMANIAN
PAN:AARPA8290K
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
|
DEVIPRASAD SINGH
PAN:AAZPS9535R
|
|
|
NAGENDRA KUMAR S.R.V.S.
PAN:AACPN7675E
|
|
|
RAVI VARANASI
PAN:AACPV0930C
|
|
VIOLATED PRINCIPAL OF TRANSPARENCY BY ADOPTING MODE OF COMMUNICATION FOR MAKING CHANGES TO EXISTING CIRCULARS
GAVE PREFERENTIAL TREATMENT TO WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES BY ALLOWING THEM TO ENGAGE A NON-ELIGIBLE ENTITY SAMPARK TO PROVIDE P2P CONNECTIVITY AT NSE COLO
ARRANGED CABLING THROUGH SAMPARK IN ITS CO-LOCATION RACK BOTH AT NSE AND BSE ENDS IN SUCH A MANNER THAT W2W HAD LOWER LATENCY COMPARED TO OTHER TRADING MEMBERS CONNECTED TO SAMPARK MUX PLACED IN NSE MMR
DENIED MILLENNIUM STOCK BROKING PVT.LTD. TO AVAIL P2P CONNECTIVITY OF SAMPARK BY INSTALLING MUX DIRECTLY IN ITS RACK WHILE OTHER MEMBERS (WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES) AVAILED THE SAME BENEFIT
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
DID NOT CONDUCT SITE INSPECTION OF WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES WHILE THE PROCEDURE OF CONDUCTING INSPECTION WAS FOLLOWED FOR MILLENNIUM, GRD AND SMC OFFICE FOR SUCH CONNECTIVITY
RECOMMENDED ITS MEMBERS TO MOVE FROM SAMPARK TO RELIANCE COMMUNICATIONS LTD.
DELAY IN PROCESSING OF REQUESTS OF STOCK-BROKERS / DATA VENDORS TO AVAIL CO-LOCATION/PROXIMITY HOSTING
GRANTED PERMISSION TO SAMPARK TO PLACE MUX IN NSE MMR WITHOUT VERIFICATION OF LICENSE
GRANTED PERMISSION TO WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES TO AVAIL CONNECTIVITY OF SAMPARK WITHOUT VERIFYING THE LICENSE OF SAMPARK
FACILITATED ARRANGEMENT BETWEEN SAMPARK AND RELIANCE IN ATTEMPT TO REGULARIZE THE SAME TO GIVE POST-FACTO LEGITIMACY TO UNAUTHORIZED ACTIVITY OF SAMPARK
DID NOT ALLOW DIRECT P2P CONNECTIVITY BETWEEN NSE CO-LOCATION AND BSE CO-LOCATION
DID NOT MANAGE THE LOAD ON THEIR SYSTEMS PROPERLY OR DID NOT WANT TO GIVE DUCT SPACE TO OTHER BROKERS
DID NOT VERIFY LICENSE OF THE SERVICE PROVIDER WHERE THE CONNECTION THROUGH BROKER'S RACK WAS UNFAIR
FACILITATED LAYING OF CABLE FOR WAY2WEALTH BROKERS PVT.LTD. (BY SAMPARK) SO AS TO PROVIDE LATENCY ADVANTAGE TO WAY2WEALTH BROKERS PVT.LTD. OVER OTHER STOCK BROKERS
|
IMPOSED PENALTY RS.7,00,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/12/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 28/06/2022
|
| 6 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
|
RAVI NARAIN
PAN:AAYPN8382Q
|
|
FAILED TO ENSURE FAIR, TRANSPARENT AND EQUITABLE ACCESS TO ALL TRADING MEMBERS IN RESPECT OF THE CO-LOCATION FACILITY, VIOLATING REGULATION 41(2) OF SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2012
|
DIRECTED TO DISGORGE 25% OF SALARY DRAWN FOR FY.2013-14 TO IPEF WITHIN 45 DAYS FROM DATE OF THIS ORDER
DIRECTED TO DISGORGE 25% OF SALARY DRAWN FOR FY.2010-11 TO 2012-13 TO IPEF WITHIN 45 DAYS FROM DATE OF THIS ORDER
PROHIBITED FROM ASSOCIATING WITH ANY LISTED COMPANY OR MARKET INFRASTRUCTURE INSTITUTION OR ANY OTHER MARKET INTERMEDIARY FROM 30-APR-2019 TO 29-APR-2024
30-APR-2019
|
|
| 7 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
DID NOT TAKE PRIOR APPROVAL FROM SEBI TO PAY RS.1,54,23,781.00 ON ACCOUNT OF LEAVE ENCASHMENT OF ADDITIONAL 168 DAYS (OVER AND ABOVE 360 DAYS) TO MS.CHITRA RAMRKISHNA VIOLATING REGULATION 27(4) OF SEBI (SECC) REGULATIONS, 2012
|
IMPOSED PENALTY RS.50,00,000
25-AUG-2020
|
|
| 8 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
DEVIPRASAD SINGH
PAN:AAZPS9535R
|
|
|
MAHESH SOPARKAR
PAN:AAJPS7041Q
|
|
FAILED TO ENSURE FAIR, TRANSPARENT AND EQUITABLE ACCESS TO ALL TRADING MEMBERS IN RESPECT OF THE CO-LOCATION FACILITY, VIOLATING REGULATION 41(2) OF SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2012
|
DIRECTED NSE TO INITIATE ENQUIRY UNDER ITS EMPLOYEES REGULATIONS AGAINST MR.MAHESH SOPARKAR AND MR.DEVIPRASAD SINGH AND SUBMIT REPORT TO SEBI WITHIN SIX MONTH FROM DATE OF THIS ORDER
30-APR-2019
|
|
| 9 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
ANAND SUBRAMANIAN
PAN:AARPA8290K
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
|
RAVI VARANASI
PAN:AACPV0930C
|
|
VIOLATED PART B OF SCHEDULE II OF SECC REGULATIONS, 2012 READ WITH REGULATION 26(2) OF SECC REGULATIONS, 2012 READ WITH SEBI MASTER CIRCULAR DATED 31/12/2010
DID NOT EXERCISE ADEQUATE DILIGENCE WITH REGARD TO CO-LOCATION/ALLEGED DARK FIBRE/LEASED LINE CONNECTIVITY TO CERTAIN STOCK BROKERS
FACILITATED LAYING OF CABLE FOR WAY2WEALTH BROKERS PVT.LTD. (BY SAMPARK) SO AS TO PROVIDE LATENCY ADVANTAGE TO WAY2WEALTH BROKERS PVT.LTD. OVER OTHER STOCK BROKERS
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
DID NOT CONDUCT SITE INSPECTION OF WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES WHILE THE PROCEDURE OF CONDUCTING INSPECTION WAS FOLLOWED FOR MILLENNIUM, GRD AND SMC OFFICE FOR SUCH CONNECTIVITY
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY IN MANAGEMENT AND/OR OR BOARD OF OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2022
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH A COMPANY LISTED IN ANY OF THE STOCK EXCHANGE RECOGNIZED BY SEBI FROM 30-APR-2019 TO 29-APR-2022
30-APR-2019
|
|
| 10 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
ANAND SUBRAMANIAN
PAN:AARPA8290K
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI ON HIS APPOINTMENT AND SELECTION IN NSE VIOLATING SECTION 6(4) OF SCRA, 1956
SHARED INTERNAL CONFIDENTIAL INFORMATION OF NSE WITH UNKNOWN PERSON AND ALLOWED HER DECISIONS ON VARIOUS ASPECTS OF THE FUNCTIONING OF THE STOCK EXCHANGE TO BE INFLUENCED BY THAT PERSON VIOLATING CLAUSE V(D), (E) AND (F) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
MADE INCORRECT AND MISLEADING STATEMENT BEFORE NSE THAT THE UNKNOWN PERSON WAS A ‘SIDDHA-PURUSHA’ AND ‘PARAMHANSA, WHO DID NOT HAVE PHYSICAL PERSONA AND COULD MATERIALIZE AT WILL VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI
IMPOSED PENALTY RS.6,00,00,000
11-FEB-2022
|
|
| 11 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
DEVIPRASAD SINGH
PAN:AAZPS9535R
|
|
|
NAGENDRA KUMAR S.R.V.S.
PAN:AACPN7675E
|
|
|
RAVI VARANASI
PAN:AACPV0930C
|
|
GRANTED PERMISSION TO WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES TO AVAIL CONNECTIVITY OF SAMPARK WITHOUT VERIFYING THE LICENSE OF SAMPARK
VIOLATED PART B OF SCHEDULE II OF SECC REGULATIONS, 2012 READ WITH REGULATION 26(2) OF SECC REGULATIONS, 2012 READ WITH SEBI MASTER CIRCULAR DATED 31/12/2010
ALLOWED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO CONTINUE TO AVAIL SAMPARK CONNECTIVITY EVEN AFTER FINDING OUT THAT SAMPARK DID NOT HAVE REQUISITE LICENSE
PERMITTED TO PLACE INFRASTRUCTURE WITHOUT VERIFYING THE SAMPARK
DID NOT CONDUCT SITE INSPECTION OF WAY2WEALTH BROKERS PVT.LTD.AND GKN SECURITIES WHILE THE PROCEDURE OF CONDUCTING INSPECTION WAS FOLLOWED FOR MILLENNIUM, GRD AND SMC OFFICE FOR SUCH CONNECTIVITY
PERMITTED WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES TO AVAIL CONNECTIVITY OF SAMPARK WITHOUT VERIFYING LICENSE OF SAMPARK
DENIED MILLENNIUM STOCK BROKING PVT.LTD. TO AVAIL P2P CONNECTIVITY OF SAMPARK BY INSTALLING MUX DIRECTLY IN ITS RACK WHILE OTHER MEMBERS (WAY2WEALTH BROKERS PVT.LTD. AND GKN SECURITIES) AVAILED THE SAME BENEFIT
ALLOWED WAY2WEALTH BROKERS PVT.LTD. TO ARRANGE CABLING THROUGH SAMPARK IN THE COLOCATION RACK IN A MANNER THAT WAY2WEALTH BROKERS PVT.LTD.HAD LOWER LATENCY COMPARED TO OTHER TRADING MEMBERS/STOCK BROKERS
|
DIRECTED NOT TO HOLD ANY POSITION, EITHER DIRECTLY OR INDIRECTLY, IN OR BE ASSOCIATED, DIRECTLY OR INDIRECTLY, WITH ANY STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR IN ANY INTERMEDIARY REGISTERED WITH SEBI OR ANY OF THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
|
| 12 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
G.M.SHENOY
|
|
|
KAMALA K.
|
|
|
MAYUR SINDHWAD
PAN:BQCPS9399P
|
|
|
NARAYAN NEELAKANTAN
|
|
|
NILESH TINAIKAR
|
|
|
R.NANDAKUMAR
|
|
|
UMESH JAIN
|
|
|
V.R.NARASIMHAN
PAN:AACPN2071J
|
|
|
VIKRAM LIMAYE
|
|
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
|
|
| 13 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
FAILED TO ADMINISTER THE STOCK EXCHANGE WITH PROFESSIONAL COMPETENCE, FAIRNESS, IMPARTIALITY, EFFICIENCY AND EFFECTIVENESS, DID NOT MAINTAIN HIGHEST STANDARDS OF PERSONAL INTEGRITY, TRUTHFULNESS, HONESTY AND FORTITUDE IN DISCHARGING THEIR DUTIES AND ENGAGED IN ACTS DISCREDITABLE TO THEIR RESPONSIBILITIES ETC. VIOLATING CLAUSES V(B), (E), (F) AND (G) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
DID NOT MAINTAIN APPROPRIATE CONDUCT, PUTTING THE REPUTATION OF STOCK EXCHANGE IN JEOPARDY BY IGNORING VARIOUS IRREGULARITIES OF MS.CHITRA RAMKRISHNA VIOLATING CLAUSE III(C), (E) AND (F) OF CODE OF ETHICS AS SPECIFIED UNDER PART B OF SCHEDULE II READ WITH REGULATION 26(2) OF SEBI (SECC) REGULATIONS, 2012
|
DIRECTED NOT TO LAUNCH ANY NEW PRODUCT FROM 11-FEB-2022 TO 10-AUG-2022
DIRECTED TO FORFEIT EXCESS LEAVE ENCASHMENT OF RS.1.54 CRORE AND DEFERRED BONUS OF RS.2.83 CRORES OF MS.CHITRA RAMKRISHNA AND DEPOSIT THE SAME TO INVESTOR PROTECTION FUND TRUST WITHIN SIX DAYS
IMPOSED PENALTY RS.2,00,00,000
11-FEB-2022
|
|
| 14 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
RAVI NARAIN
PAN:AAYPN8382Q
|
|
FAILED TO ADMINISTER THE STOCK EXCHANGE WITH PROFESSIONAL COMPETENCE, FAIRNESS, IMPARTIALITY, EFFICIENCY AND EFFECTIVENESS, DID NOT MAINTAIN HIGHEST STANDARDS OF PERSONAL INTEGRITY, TRUTHFULNESS, HONESTY AND FORTITUDE IN DISCHARGING THEIR DUTIES AND ENGAGED IN ACTS DISCREDITABLE TO THEIR RESPONSIBILITIES ETC. VIOLATING CLAUSES V(B), (E), (F) AND (G) OF CODE OF CONDUCT AS SPECIFIED UNDER PART A OF SCHEDULE II READ WITH REGULATION 26(1) OF SEBI (SECC) REGULATIONS, 2012
DID NOT MAINTAIN APPROPRIATE CONDUCT, PUTTING THE REPUTATION OF STOCK EXCHANGE IN JEOPARDY BY IGNORING VARIOUS IRREGULARITIES OF MS.CHITRA RAMKRISHNA VIOLATING CLAUSE III(C), (E) AND (F) OF CODE OF ETHICS AS SPECIFIED UNDER PART B OF SCHEDULE II READ WITH REGULATION 26(2) OF SEBI (SECC) REGULATIONS, 2012
MADE INCORRECT AND MISLEADING STATEMENT TO SEBI THAT HE DID NOT HAVE ANY ROLE IN APPOINTMENT AND SELECTION OF MR.ANAND SUBRAMANIAN VIOLATING SECTION 6(4) OF SCRA, 1956
|
RESTRAINED FROM ASSOCIATING WITH ANY MARKET INFRASTRUCTURE INSTITUTION OR ANY INTERMEDIARY REGISTERED WITH SEBI
IMPOSED PENALTY RS.4,00,00,000
11-FEB-2022
|
|
| 15 |
|
|
NSDL E-GOVERNANCE INFRASTRUCTURE LTD.
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 16 |
|
|
NSE IT LTD.
(PAN:AABCN0159P)
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 17 |
|
|
POWER EXCHANGE INDIA LTD.
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 18 |
|
|
RECEIVABLES EXCHANGE OF INDIA LTD.
|
|
|
ENGAGED DIRECTLY AND/OR THROUGH ITS WHOLLY OWNED SUBSIDIARY NSICL IN ACTIVITIES UNRELATED/NON-INCIDENTAL TO ITS ACTIVITIES AS STOCK EXCHANGE BY WAY OF ACQUISITION OF STAKE IN PXIL, CAMS, NSEIT LTD., NEIL, MSIL AND RXIL WITHOUT SEEKING APPROVAL OF SEBI VIOLATING REGULATION 38(2) OF SEBI (SECC) 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) 2012 IN MATTER OF NATIONAL STOCK EXCHANGE OF INDIA LTD.
|
IMPOSED PENALTY RS.1,00,00,000
01-OCT-2020
|
|
| 19 |
|
|
SAMPARK INFOTAINMENT PVT.LTD.
(PAN:AAMCS0946C)
|
|
|
|
PRASHANTH D’SOUZA
PAN:AHUPD1548H
|
|
ACTIVELY COLLUDED WITH WAY2WEALTH BROKERS PVT.LTD. AND NSE TO PROVIDE P2P CONNECTIVITY IN UNAUTHORIZED AND IRREGULAR MANNER TO HELP AND INDUCE THEM IN DEALING IN SECURITIES MARKET VIOLATING REGULATION 3(D) READ WITH 4(1) OF PFUTP REGULATIONS, 2003 READ WITH SECTION 12 (A) (C) OF SEBI ACT, 1992
|
DIRECTED NOT TO OFFER, DIRECTLY OR INDIRECTLY, ANY NEW TELECOM SERVICES IN ANY MANNER TO ANY OF THE STOCK EXCHANGE, CLEARING CORPORATION, DEPOSITORY RECOGNIZED OR REGISTERED BY SEBI AND/OR ANY INTERMEDIARY REGISTERED WITH SEBI OR THEIR RELATED ENTITIES FROM 30-APR-2019 TO 29-APR-2021
30-APR-2019
|
SAT: SAT VIDE ITS ORDER DATED 02/01/2023 REJECTED THE APPLICATION FOR DELAY OF CONDONATION.NO COSTS
|
| 20 |
|
|
SAMPARK INFOTAINMENT PVT.LTD.
(PAN:AAMCS0946C)
|
|
|
|
PRASHANTH D’SOUZA
PAN:AHUPD1548H
|
|
ACTIVELY COLLUDED WITH WAY2WEALTH BROKERS PVT.LTD. AND NSE TO PROVIDE P2P CONNECTIVITY IN UNAUTHORIZED AND IRREGULAR MANNER TO HELP AND INDUCE THEM IN DEALING IN SECURITIES MARKET VIOLATING REGULATION 3(D) READ WITH 4(1) OF PFUTP REGULATIONS, 2003 READ WITH SECTION 12 (A) (C) OF SEBI ACT, 1992
|
IMPOSED PENALTY RS.25,00,000
28-JUN-2022
|
SAT: SAT VIDE ITS ORDER DATED 14/12/2023 PARTLY ALLOWED THE APPEAL BY QUASHING PENALTY OF RS.3 CRORE FOR VIOLATION UNDER REGULATIONS 3 AND 4 OF PFUTP REGULATIONS AND PAY PENALTY AMOUNT TO RS.25 LAC U/S 15HB OF SEBI ACT.
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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