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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: WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

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 NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE

(PAN:AAACN1797L)  
  DID NOT DETECT INCREASING TREND IN CLIENT CODE MODIFICATION AND FAILED TO TAKE STEPS AGAINST REPEAT OFFENDERS   WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

10-APR-2012 		 
3
History of entity/person PUNE STOCK EXCHANGE LTD.  
  DID NOT SUBMIT QUARTERLY REPORTS OF SHAREHOLDING AND UNDERTAKING CONFIRMING COMPLIANCE OF MIMPS REGULATIONS

DID NOT NOMINATE PUBLIC REPRESENTATIVE DIRECTORS AND NOMINEE DIRECTORS OF PARENT EXCHANGE ON GOVERNING BOARD OF SUBSIDIARY COMPANY

AUTHORISED ITS DIRECTORS TO ATTEND GOVERNING BOARD MEETINGS OF SUBSIDIARY COMPANY

COMPOSITION OF INVESTOR PROTECTION FUND (IPF) TRUST WAS NOT IN ACCORDANCE WITH SEBI CIRCULAR NO.MRD/DOP/SE/CIR-38/2004 DATED 28/10/2004

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS   		WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

23-JUL-2013 		 
4
History of entity/person UNITED STOCK EXCHANGE OF INDIA LTD.  
  VARIOUS IRREGULARITIES IN THE OPERATIONS OF THE STOCK EXCHANGE VIOLATING SECTION 12A OF SECURITIES CONTRACTS (REGULATION) ACT (SCRA) ACT, 1956   WARNED TO BE MORE CAUTIOUS AND PERCEPTIVE IN DISCHARGE OF ITS REGULATORY DUTIES

11-MAY-2012 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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