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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.

COMPANIES: DIRECTED TO TRANSFER MONEY AVAILABLE IN INVESTOR PROTECTION FUND AND INVESTOR SERVICES FUND LYING UNUTILIZED TO SEBI INVESTOR PROTECTION AND EDUCATION FUND

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

(PAN:AABCI9479D)  
  DID NOT ADHERE TO NET WORTH REQUIREMENT

DID NOT ADHERE TO VARIOUS SEBI CIRCULARS   		RECOGNITION OF STOCK EXCHANGE WITHDRAWN

CEASED TO BE RECOGNIZED STOCK EXCHANGE

DIRECTED TO TRANSFER MONEY AVAILABLE IN INVESTOR PROTECTION FUND AND INVESTOR SERVICES FUND LYING UNUTILIZED TO SEBI INVESTOR PROTECTION AND EDUCATION FUND

DIRECTED TO SET ASIDE SUFFICIENT FUNDS TO PROVIDE SETTLEMENT OF ANY CLAIMS

DIRECTED TO PAY OUTSTANDING DUES AND ANNUAL REGULATORY FEES INCLUDING BALANCE IN ACCOUNTTO SEBI

DIRECTED TO PAY REGISTRATION FEES TO SEBI

DIRECTED TO REFRAIN FROM USING THE EXPRESSION “STOCK EXCHANGE” OR ANY VARIANT IN ITS NAME OR SUBSIDIARY COMPANY’S NAME

10-MAY-2022 		SAT: SAT VIDE ITS ORDER DATED 13/06/2022 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 10/05/2022 AND SET ASIDE DIRECTION OF SEBI NOTIFYING PERMANENT WITHDRAWAL OF RECOGNITION GRANTED TO THE APPELLANT

SEBI VIDE ITS ORDER DATED 10/12/2024 PERMITTED ICEX TO EXIT AS A STOCK EXCHANGE AND THUS CONSEQUENT WITHDRAWAL OF RECOGNITION GRANTED TO ICEX DIRECTED TO A) COMPLY WITH ITS TAX OBLIGATIONS UNDER INCOME-TAX ACT, 1961 B) COMPLY WITH THE UNDERTAKINGS GIVEN BY IT TO SEBI C) COMPLY WITH OTHER CONSEQUENTIAL CONDITIONS OF MASTER CIRCULAR D) CHANGE ITS NAME AND IN CASE AFTER EXIT AS A STOCK EXCHANGE IT CONTINUES AS A CORPORATE ENTITY UNDER THE COMPANIES ACT 2013, NOT TO USE THE EXPRESSION ‘EXCHANGE’ OR ANY VARIANT IN ITS NAME OR IN THE NAME OF ITS SUBSIDIARY SO AS TO AVOID ANY REPRESENTATION OF PRESENT OR PAST AFFILIATION WITH THE STOCK EXCHANGE E) MAINTAIN DATABASE OF ALL THE TRANSACTIONS ON ITS PLATFORM FOR THE PREVIOUS YEARS AS PER THE REQUIREMENT OF PREVENTION OF MONEY LAUNDERING ACT (PMLA), 2015 F) CONTINUE TO COMPLY WITH ALL APPLICABLE LAWS EVEN AFTER THE EXIT  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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