| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
BSE LTD.
(PAN:AACCB6672L)
|
|
|
ENGAGED IN UNRELATED/NON-INCIDENTAL ACTIVITIES WITHOUT OBTAINING APPROVAL FROM SEBI VIOLATING REGULATIONS 38(2) OF SEBI (SECC) REGULATIONS 2018 READ WITH 41(3) OF SEBI (SECC) REGULATIONS, 2012
|
IMPOSED PENALTY RS.3,00,000
29-JUL-2022
|
SAT: SAT VIDE ITS ORDER DATED 16/09/2022 DIRECTED RESPONDENT TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER TO BE FILED WITHIN THREE WEEKS THEREAFTER. EFFECT AND OPERATION OF IMPUGNED ORDER TO REMAIN STAYED
SAT: SAT VIDE ITS ORDER DATED 21/11/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
|
| 2 |
|
|
MULTI COMMODITY EXCHANGE OF INDIA LTD.
(CIN:L51909MH2002PLC135594
PAN:AADCM8239K)
|
|
|
DID NOT DETECT IRREGULARITIES DURING ON-SITE/OFF-SITE SUPERVISION OF TRADING MEMBERS
DID NOT HAVE NECESSARY SYSTEM BASED VALIDATIONS/ALERTS WHILE UPLOADING CLIENT INFORMATION IN UCC DATABASE
|
IMPOSED PENALTY RS.6,00,000
28-FEB-2023
|
SAT: SAT VIDE ITS ORDER DATED 06/12/2023 CONDONED THE DELAY IN FILING OF REPLY AND REPLY TAKEN ON RECORD
|
| 3 |
|
|
MULTI COMMODITY EXCHANGE OF INDIA LTD.
(CIN:L51909MH2002PLC135594
PAN:AADCM8239K)
|
|
|
DID NOT TAKE PRIOR APPROVAL FOR PAYMENTS MADE TO PSEB FOR DEVELOPMENT OF SOFTWARE FOR SPOT TRADING VIOLATING REGULATION 38(2) OF SEBI (SECC) REGULATIONS, 2018 READ WITH REGULATION 41(3) OF SEBI (SECC) REGULATIONS, 2012
|
IMPOSED PENALTY RS.2,00,000
04-JAN-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/12/2024 DISMISSED THE APPEAL. NO COSTS
|
| 4 |
|
|
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
|
| 5 |
|
|
NATIONAL STOCK EXCHANGE OF INDIA LTD.,THE
(PAN:AAACN1797L)
|
|
|
|
CHITRA RAMKRISHNA
PAN:ABVPR7353M
|
|
|
RAVI NARAIN
PAN:AAYPN8382Q
|
|
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
VIOLATED CLAUSE 4(I) OF SEBI CIRCULAR DATED 30/03/2012
|
IMPOSED PENALTY RS.1,00,00,000
10-FEB-2021
|
SAT: SAT VIDE ITS ORDER DATED 12/07/2023 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 10/02/2021
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
