NOTICE

To,

All Members

Subject: Sample list of violations and indicative fines (Uniform Penalty Structure) in respect thereof.

Members are hereby requested to take note of the Uniform Penalty Structure introduced by the exchange which will be applicable for violations observed during the inspection by the exchange.

It is also clarified that the actions including fines/penalties for the violations as per the list are only indicative and that, in case of a large number of instances of a serious violation involving large amount of funds / large quantity of securities or of repetitive nature, the Disciplinary Action Committee may take such strict action as it may deem fit including levy of higher fines / suspension / expulsion.

For any clarifications, members may also contact the following officials:

1.Ms.Supriya Senthil Kumar(DGM-SEO) …………..9836900227

2.Mr.Amit Santra (Manager) …………………………..9836067805

3.Mr.Suman Dey (Assistant Manager) ……………...9836900203

Deputy General Manager (SEO)