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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 TO CARRY OUT COMPREHENSIVE REVIEW BY INDEPENDENT EXPERT (CONSULTANT) OF THE PROCESS FOLLOWED, CHECKS IN PLACE, SYSTEMS EMPLOYED BY NSE AND SUBMIT REPORT TO SEBI ALONG WITH ITS 'PLAN OF ACTION' WITHIN PERIOD OF THREE MONTHS

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)  
  DID NOT SEND HALT TRIGGER TO ITS MATCHING ENGINES AT THE INSTANCE OF BREACH OF 10% AND 15% CIRCUIT BREAKER LIMITS ON 05/10/2012 VIOLATING PROVISIONS OF SEBI CIRCULAR NO.SMDRPD/POLICY/CIR-37/2001 DATED 28/06/2001

DID NOT EFFECTIVELY ENSURE THAT ITS STOCK BROKERS HAVE NECESSARY RISK CONTROL SYSTEMS VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000

DID NOT HAVE SYSTEM AT ITS END TO MANAGE RISK IN THE EVENT OF FAILURE OF STOCK BROKER’S RISK MANAGEMENT SYSTEM VIOLATING PROVISIONS OF SEBI CIRCULAR DATED 31/01/2000   		CENSURED TO BE CAREFUL AND CAUTIOUS IN DEALINGS IN SECURITIES MARKET AND COMPLY WITH ALL LEGAL REQUIREMENTS THAT GOVERN ITS FUNCTIONS AS STOCK EXCHANGE

DIRECTED TO CARRY OUT COMPREHENSIVE REVIEW BY INDEPENDENT EXPERT (CONSULTANT) OF THE PROCESS FOLLOWED, CHECKS IN PLACE, SYSTEMS EMPLOYED BY NSE AND SUBMIT REPORT TO SEBI ALONG WITH ITS 'PLAN OF ACTION' WITHIN PERIOD OF THREE MONTHS

10-OCT-2014 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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