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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 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

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of 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 NSE TO DISGORGE RS.624.89 CRORES ALONG WITH INTEREST @12% PER ANNUM FROM 01/04/2014 ONWARDS TO IPEF WITHIN 45 DAYS FROM THE DATE OF THIS ORDER

PROHIBITED NSE FROM ACCESSING SECURITIES MARKET DIRECTLY OR INDIRECTLY FROM 30-APR-2019 TO 29-OCT-2019

DIRECTED NSE TO CARRY OUT SYSTEM AUDIT AT FREQUENT INTERVALS, AFTER THOROUGH APPRAISAL OF TECHNOLOGICAL CHANGES INTRODUCED FROM TIME TO TIME

DIRECTED NSE TO RECONSTITUTE ITS STANDING COMMITTEE ON TECHNOLOGY AT REGULAR INTERVALS TO TAKE STOCK OF TECHNOLOGICAL ISSUES AND FRAME CLEAR POLICY ON ADMINISTERING WHISTLE BLOWER COMPLAINTS

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 		SAT: SAT VIDE ITS ORDER DATED 06/06/2019 REJECTED MISC. APPLICATION AND ALLOWED A WEEKS’S FURTHER TIME TO COMPLY WITH THE ORDER DATED 22/05/2019

SAT: SAT VIDE ITS ORDER DATED 17/05/2021 DISPOSED OFF THE APPEAL BY DIRECTING APPELLANT TO TRANSFER RS.420 CRORES TO SEBI AND DIRECTED REGISTRY TO ISSUE NOTICE TO ALL THE PARITIES WITHIN A WEEK FROM DATE OF THIS ORDER  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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