16th July 2013




Sub: List of Violations and applicable penalties


This is in reference to the Exchange Circular no. CSE/MSD/INSP/2012/93 dated 12th July 2012.


Further to above please find enclosed herewith in Annexure I, revised list of common violations and the applicable penalties as per SEBI letter dated SEBI/INSP/KR/LS/16283/2013 dated July 04, 2013.


Members are advised to take note of the same and put in place systems and procedures so as to ensure adherence to the compliance requirements.



Deputy General Manager  (SEO)

Annexure I