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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.

STOCK EXCHANGES: DIRECTED GOVERNING BOARD OF STOCK EXCHANGE TO SUBMIT A COMPLIANCE REPORT WITH RESPECT TO OBSERVATIONS WHICH STILL HAVE NOT BEEN COMPLIED WITH

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person AHMEDABAD STOCK EXCHANGE LTD.  
Click here to view complete history of this specific entity/person HEMANT SINGH JHALA

PAN:AAQPJ7906E
Click here to view complete history of this specific entity/person KEYUR B.MEHTA
Click here to view complete history of this specific entity/person KUSH BHARAT SHAH
  		DID NOT MAINTAIN STATUTORY FUNDS SEPARATELY FOR INVESTOR SERVICE FUND (ISF) AND SETTLEMENT GUARANTEE FUND (SGF)   WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

DIRECTED GOVERNING BOARD OF STOCK EXCHANGE TO SUBMIT A COMPLIANCE REPORT WITH RESPECT TO OBSERVATIONS WHICH STILL HAVE NOT BEEN COMPLIED WITH

DIRECTED STOCK EXCHANGE NOT TO USE ANY FUNDS FROM INVESTOR PROTECTION FUND (IPF) AND INVESTOR SERVICE FUND (ISF) TILL EXCHANGE PUTS IN PLACE ADEQUATE CHECKS AND BALANCES FOR UTILISATION OF FUNDS FROM THIS ACCOUNT TO THE SATISFACTION OF SEBI

DIRECTED STOCK EXCHANGE TO APPOINT AN INDEPENDENT AUDITOR TO ASSESS INTERNAL CONTROL SYSTEMS OF EXCHANGE AND IMPLEMENT ITS SUGGESTIONS AFTER DISCUSSIONS IN BOARD MEETING WITHIN TWO MONTS FROM DATE OF ORDER

DIRECTED STOCK EXCHANGE NOT TO APPOINT MR.KEYUR B.MEHTA & MR KUSH B. SHAH ON BOARD FOR A PERIOD OF FIVE YEARS

RESTRAINED MR.HEMENT SINGH JHALA FROM HOLDING ANY POSITION AS DIRECTOR WITH ANY SEBI REGISTERED INTERMEDIARY OR ENTITY

25-APR-2014 		 
2
History of entity/person COCHIN STOCK EXCHANGE LTD.  
  INADEQUATE INFRASTRUCTURE FACILITIES AVAILABLE WITH THE EXCHANGE

DID NOT MAINTAIN STIPULATED MINIMUM BMC

DID NOT RECOVER DUES FROM MEMBERS   		DIRECTED GOVERNING BOARD OF STOCK EXCHANGE TO SUBMIT A COMPLIANCE REPORT WITH RESPECT TO OBSERVATIONS WHICH STILL HAVE NOT BEEN COMPLIED WITH

DIRECTED THE GOVERNING BOARD OF STOCK EXCHANGE TO BE MORE VIGILANT, CAUTIOUS AND CAREFUL IN FUTURE IN DISCHARGE OF ITS FUNCTIONS AS A SELF REGULATORY ORGANISATION

02-FEB-2006 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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