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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: VIOLATED SEBI (STOCK EXCHANGES & CLEARING CORPORATIONS) REGULATIONS, 2018

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BOMBAY STOCK EXCHANGE LTD.

(PAN:AACCB6672L)  
  DID NOT ENSURE EQUAL, UNRESTRICTED, TRANSPARENT AND FAIR ACCESS TO INFORMATION/DATA WITH REGARD TO CORPORATE ANNOUNCEMENTS OF LISTED COMPANIES TO ALL PERSONS AS REQUIRED UNDER REGULATION 39(3) OF SEBI (SECC) REGULATIONS, 2018

LAPSES IN PROCESS AND MONITORING MECHANISM REGARDING CLIENT CODE MODIFICATION VIOLATING SEBI CIRCULAR DATED 05/07/2011, MASTER CIRCULAR DATED 05/07/2021 AND CIRCULAR DATED 26/10/2004   		IMPOSED PENALTY RS.25,00,000

25-JUN-2025 		 
2
History of entity/person MULTI COMMODITY EXCHANGE CLEARING CORP.LTD.

(PAN:AAFCM9108B)  
  ALLEGED BLOCKING OF HIGHEST MARGIN SHORTFALL INSTEAD OF CUMULATIVE MARGIN SHORTFALL FROM DEPOSITS OF CLEARING MEMBER VIOLATING CIRCULAR DATED 01/09/2016 READ WITH MASTER CIRCULARS DATED 04/08/2023 AND REGULATION 7(4)(B) OF SEBI (SECC) REGULATIONS, 2018   REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.2,70,00,000 VIDE CONSENT ORDER)

01-APR-2025 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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