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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STOCK EXCHANGES: SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person AHMEDABAD STOCK EXCHANGE  
  DID NOT TAKE STEPS TO STOP UNOFFICIAL MARKET DESPITE INSTRUCTIONS FROM SEBI

SUBMITTED FALSE REPORT TO SEBI THAT UNOFFICIAL MARKET WAS NOT CONDUCTED WITHIN THE OFFICIAL PREMISES OF THE EXCHANGE AND MEMBERS WERE NOT PARTICIPATING IN SUCH UNOFFICIAL MARKET   		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

25-MAR-2003 		RESTORED GOVERNING BOARD OF AHMEDABAD STOCK EXCHANGE  
2
History of entity/person BHUBANESWAR STOCK EXCHANGE ASSOCIATION LTD.  
  SIPHONED FUNDS OUT OF BHUBANESWAR STOCK EXCHANGE TO THE TUNE OF RS. 1.30 CRORE INCLUDING INTEREST THROUGH THE EXCHANGE'S MEMBERS WELFARE TRUST   SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

04-JAN-2003 		RESTORED ADMINISTRATION OF THE EXCHANGE TO THE BOARD OF THE EXCHANGE, RECONSTITUED IN ACCORDANCE WITH THE COMPOSITION PRESCRIBED BY SEBI  
3
History of entity/person CALCUTTA STOCK EXCHANGE ASSOCIATION LTD.  
  SEVERAL DEFICIENCIES IN RISK MANAGEMENT SYSTEM

SERIOUS SHORTCOMINGS IN COMPUTER SYSTEMS

DID NOT INITIATE PROCESS OF ENQUIRY, FIX RESPONSIBILITY AND TAKE APPROPRIATE ACTION FOR REMOVAL OF DEFICIENCIES

DID NOT INITIATE SYSTEMS AUDIT EXERCISE FOR ITS SURVEILLANCE SYSTEMS   		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

04-DEC-2003 		ON SUCESSFULLY COMPETION OF DEMUTUALISATION PROCESS,RESTORE ADMINISTRATION OF EXCHANGE TO THE BOARD OF THE EXCHANGE,RECONSTITUTED IN ACCORDANCE WITH THE COMPOSITION PRESCRIBED BY SEBI  
4
History of entity/person PUNE STOCK EXCHANGE LTD.  
  LISTING PERMISSION TO HOME TRADE LTD WAS NOT IN ACCORDANCE WITH SC (R)A, ITS RULES AND LISTING AGREEMENT

DID NOT CONDUCT ANY INSPECTION OF BROKERS

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN IMPOSITION OF SPECIAL MARGIN

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN PUTTING SCRIP ON SPOT BASIS

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN SUSPENSION OF TRADING IN SCRIP

DID NOT TAKE ANY RISK CONTAINMENT MEASURES IN INDEFINITE SUSPENSION TO CURB/CHECK ARTIFICIAL PRICE RISE

LARGE SCALE VIOLATIONS IN SURVEILLANCE

ALLEGED ACTIVATION OF SUB-BROKER TERMINALS BEFORE GETTING SEBI REGISTRATION   		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

07-APR-2003 		RECONSTITUTED BOARD OF EXCHANGE AND RESTORED ADMINISTRATION OF EXCHANGE TO THE BOARD  
5
History of entity/person UTTAR PRADESH STOCK EXCHANGE ASSOCIATION LTD.  
  PERMITTED UNAUTHORISED CARRY FORWARD TRANSACTIONS

NON-COMPLIANCE OF SEBI DIRECTIVES

INTERFERENCE FROM ELECTED DIRECTORS IN FUNCTIONING OF EXCHANGE

INTERFERENCE FROM BROKERS IN FUNCTIONING OF EXCHANGE

DELAYED CONSIDERING AND REDRESSING DEFICIENCIES

BOARD MEETINGS NOT CONDUCTED AS PER RULES AND BYE-LAWS OF THE EXCHANGE

DID NOT RECTIFY LACUNAE IN TRADING SOFTWARE

DID NOT RECTIFY LACUNAE IN SETTLEMENT MECHANISM   		SUPERSEDED BOARD OF DIRECTORS/GOVERNING BOARD/COMMITTEE/COUNCIL OF MANAGEMENT

12-JUL-2002 		RESTORED ADMINISTRATION OF THE EXCHANGE TO THE BOARD OF THE EXCHANGE, RECONSTITUED IN ACCORDANCE WITH THE COMPOSITION PRESCRIBED BY SEBI

SAT: APPEAL ALLOWED TO BE WITHDRAWN AND PERMITTED TO FILE FRESH APPEAL WITHIN A PERIOD OF SIX WEEK FROM THE DATE OF THIS ORDER. NO COSTS  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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