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SOURCE OF INFORMATION

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 : 03-JUL-2025

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: DIRECTED TO DISGORGE 25% OF SALARY DRAWN FOR FY.2010-11 TO 2012-13 TO IPEF WITHIN 45 DAYS FROM DATE OF THIS ORDER

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

(PAN:AAYPN8382Q)  
Click here to view complete history of this specific entity/person NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

PAN:AAACN1797L
  		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.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 		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

SAT: SAT VIDE ITS ORDER DATED 23/01/2023 PARTLY ALLOWED THE APPEAL AND SET ASIDE THE DIRECTIONS TO DISGORGE 25% OF THE SALARY AND SET ASIDE ORDER OF PROHIBITION FROM ASSOCIATING WITH ANY LISTED COMPANY OR A MARKET INFRASTRUCTURE INSTITUTION OR ANY OTHER MARKET INTERMEDIARY AND SUBSTITUTED FOR THE PERIOD UNDERGONE BY THEM  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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