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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: DID NOT ADHERE TO DIRECTIVES/INSTRUCTIONS/GUIDELINES, RULES, BYELAWS AND REGULATIONS OF SEBI/STOCK EXCHANGE

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
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 		 
2
History of entity/person COIMBATORE STOCK EXCHANGE LTD.  
  PASSED RESOLUTION ULTRA VIRES SCRA TO CEASE TO FUNCTION AS RECOGNIZED STOCK EXCHANGE

ADOPTED NEW SET OF MEMORANDUM AND ARTICLES OF ASSOCIATION EXCLUDING PUBLIC REPRESENTATIVE DIRECTOR AND SEBI NOMINEE DIRECTOR FROM BOARD OF DIRECTORS

CONDUCTED AFFAIRS OF EXCHANGE IN A MANNER DETRIMENTAL TO INTEREST OF INVESTORS   		DIRECTED TO REFRAIN FROM TRANSFERRING OR ALIENATING ANY MOVABLE OR IMMOVABLE PROPERTY OF EXCHANGE

PROHIBITED FROM DOING ANYTHING HAVING EFFECT OF ALTERING BASIC CONTOURS AS WELL AS CHARACTER OF EXCHANGE

17-APR-2006 		 
3
History of entity/person DELHI STOCK EXCHANGE LTD.  
  CREATED NEW MEMBERSHIP RIGHTS WITHOUT FOLLOWING THE DUE PROCESS OF LAW

ISSUED FALSE CERTIFICATE OF COMPLETION OF DEMUTUALIZATION PROCESS

RELEASED RS.58.79 LACS TO MEFCOM CAPITAL MARKET LTD. AS COMMISSION WITHOUT RECEIPT OF APPLICATION MONEY

ALLOTTED SHARES TO MEDIA COMPANIES AND IN TURN AWARDED THEM MEDIA CONTRACTS WITHOUT ANY CORRESPONDING UTILIZATION OF MEDIA SPACE   		RECOGNITION OF STOCK EXCHANGE WITHDRAWN

19-NOV-2014 		SAT: SAT VIDE ITS ORDER DATED 24/06/2016 DIRECTED SEBI TO COMPLETE THE VOLUNTARY DE-RECOGNITION PROCESS WITHIN A PERIOD OF FIVE MONTHS FROM THE DATE OF THIS ORDER BY DETERMINING THE QUANTUM PAYABLE AND THE TIME WITHIN WHICH THE SAID PAYMENT IS TO BE MADE. FURHTER SEBI EXPUNGE THE REMEMRK MADE IN THE IMPUGNED ORDER THE EXTENT IT IS HELD THAT THE APPELLANT HAS FAILED TO TAKE ACTION AGAINST THE ERSTWHILE DIRECTORS OF THE APPELLANT. NO COSTS  
4
History of entity/person JAIPUR STOCK EXCHANGE LTD.  
  DELAY IN APPOINTMENT OF EXECUTIVE DIRECTOR WITHOUT ANY SUFFICIENT JUSTIFICATION AND FAILED TO ACT DILIGENTLY VIOLATING SEBI CIRCULAR BEARING NO.SMD/SED/6919/93 DATED APRIL 20, 1993

DID NOT TAKE PRIOR APPROVAL FROM SEBI FOR APPOINTMENT OF MR.C.P.MITTAL AS WHOLE TIME DIRECTOR VIOLATING SEBI CIRCULAR BEARING NO.CIR/MRD/DSA/SE/43/2010 DATED DECEMBER 31, 2010

AMENDED MEMORANDUM OF ASSOCIATION AND ADOPTED NEW ARTICLES OF ASSOCIATION WITHOUT GETTING APPROVAL FROM SEBI AND WITHOUT PUBLISHING THE SAME IN THE OFFICIAL GAZETTE OF CENTRAL GOVT AS REQUIRED UNDER SCRA ACT, 1956   		WARNED & ADVISED TO COMPLY WITH APPLICABLE SECURITIES LAWS

11-SEP-2014 		 
5
History of entity/person SAURASHTRA KUTCH STOCK EXCHANGE LTD.  
  FAILED TO APPOINT EXECUTIVE DIRECTOR AT THE EXCHANGE

INADEQUATE INFRASTRUCTURE FACILITIES AVAILABLE WITH THE EXCHANGE

DID NOT RECOVER DUES FROM MEMBERS

DID NOT SET UP SETTLEMENT GUARANTEE FUND

FAILED TO APPOINT CHIEF EXECUTIVE OFFICER FOR ITS SUBSIDIARY COMPANY

VIOLATED DIRECTIVES OF SEBI WILFULLY

DID NOT PROVIDE ADEQUATE FINANCIAL POWERS TO EXECUTIVE DIRECTOR

DID NOT CONDUCT HALF YEARLY INSPECTION OF SUBSIDIARY

SUBSIDIARY FAILED TO HAVE ITS OWN STAFF

DID NOT VALUATE SHARES ON VAR BASIS

FINANCIAL POWERS EXERCISED BY BROKER DIRECTORS   		RECOGNITION OF STOCK EXCHANGE WITHDRAWN

05-JUL-2007 		SAT: APPEAL FAILED AND DISMISSED WITH NO ORDER AS TO COSTS

SEBI VICE ITS ORDER DATED 05/04/2013 ORDERED SKSEL TO COMPULSORY EXIT AND DIRECTED TO A) COMPLY WITH ITS TAX OBLIGATIONS UNDER INCOME TAX ACT, 1961 B) COMPLY WITH UNDERTAKINGS GIVEN BY IT TO SEBI C) COMPLY WITH OTHER CONSEQUENTIAL CONDITIONS OF 2012 EXIT CIRCULAR AND D) CHANGE ITS NAME AND NOT TO USE THE EXPRESSION “STOCK EXCHANGE” OR ANY VARIANT OF THIS EXPRESSION IN ITS NAME AND TO AVOID ANY REPRESENTATION OF PRESENT OR PAST AFFILIATION WITH THE STOCK EXCHANGE, IN ALL MEDIA  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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