| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
A.K.GUPTA
|
|
|
|
RAJWATI INVESTMENT PVT.LTD.
|
|
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
|
PROSECUTION UNDER SECTION 220(3) READ WITH SECTION 162 & SECTION 162 OF COMPANIES ACT: PENALTY IMPOSED RS.12534
25-SEP-2003
|
|
| 22 |
|
|
A.K.JAIN
|
|
|
|
QST LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.5600
19-JUN-2002
|
PENALTY AMOUNT OF RS.5,600.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820308 TO 820314 DATED 19/06/2002
|
| 23 |
|
|
A.K.NAHATA
|
|
|
|
BURLINGTON FINANCE LTD.
|
|
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DID NOT FILE CONSENT OF THE CANDIDATE FOR DIRECTORSHIP WITH COMPANY AND CONSENT TO ACT AS DIRECTOR WITH THE REGISTRAR (SECTION 264)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))
DID NOT INCLUDE ANY MATERIAL CHANGES OCCURRED DURING FINANCIAL YEAR IN BOARD'S REPORT (SECTION 217(2))
|
PROSECUTION UNDER SECTION 192(5) & SECTION 220(3) READ WITH SECTION 162 & SECTION 629 & SECTION 162 & SECTION 303(3) & SECTION 295(4) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.18700
01-OCT-2002
|
|
| 24 |
|
|
A.K.PANDEY
|
|
|
|
BHAGYAWATI MEDICARE PVT.LTD.
|
|
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
|
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: PENALTY IMPOSED RS.2250
04-APR-2003
|
|
| 25 |
|
|
A.K.S.SOLANKI
|
|
|
|
U P S I C POTTERIES LTD.
|
|
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
|
PROSECUTION UNDER SECTION 220(3) READ WITH SECTION 162 & SECTION 162 & SECTION 168 & SECTION 210(5) OF COMPANIES ACT: PENALTY IMPOSED RS.72802
04-AUG-2004
|
|
| 26 |
|
|
A.K.SARKAR
|
|
|
|
TEGA INDIA LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
BOOKS OF ACCOUNTS NOT PROVIDING TRUE AND FAIR VIEW OF STATE OF AFFAIRS OF COMPANY AND IMPROPERLY MAINTAINED (SECTION 209(3) R/W SCH.VI)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED
16-JUL-2002
|
|
| 27 |
|
|
A.K.SATHISH
|
|
|
|
SRI RANGA ALLOYS LTD.
|
|
DID NOT DISTRIBUTE DIVIDENDS WITHIN 30 DAYS (SECTION 207)
|
PROSECUTION UNDER SECTION 207 OF COMPANIES ACT: NO PENALTY IMPOSED
30-MAY-2012
|
-
|
| 28 |
|
|
A.K.SAWHNEY
|
|
|
|
BALAJI STEEL TUBES & PIPES LTD.
|
|
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
|
PROSECUTION UNDER SECTION 162 & SECTION 220(3) READ WITH SECTION 162 OF COMPANIES ACT: PENALTY IMPOSED RS.10800
02-FEB-2003
|
|
| 29 |
|
|
A.K.SAWHNEY
|
|
|
|
RAJENDRA ALLOYS LTD.
|
|
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
|
PROSECUTION UNDER SECTION 220(3) READ WITH SECTION 162 & SECTION 162 OF COMPANIES ACT: PENALTY IMPOSED RS.4320
02-FEB-2003
|
|
| 30 |
|
|
A.K.SINGH
|
|
|
|
ARITA TECHNOLOGIES PVT.LTD.
|
|
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DID NOT ADHERE TO PROVISIONS REGARDING CERTIFICATE TO BE ANNEXED WITH ANNUAL RETURN (SECTION 161)
|
PROSECUTION UNDER SECTION 162 OF COMPANIES ACT: COMPANY AND MANAGING DIRECTOR FINED RS.1000 EACH
12-NOV-2004
|
-
|
| 31 |
|
|
A.K.SUREKA
|
|
|
|
HASYA TRADING & INVESTMENT PVT.LTD.
|
|
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
|
PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.10, 000 OR BOTH
05-JUL-2001
|
DISMISSED AS TIME BARRED. APPEAL FILED AGAINST DISMISSAL IS PENDING IN THE COURT
|
| 32 |
|
|
A.K.SUREKA
|
|
|
|
HASYA TRADING & INVESTMENT PVT.LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
CONDONATION APPLICATION REJECTED ON 15/12/2006
|
| 33 |
|
|
A.K.VISWHNTH
|
|
|
|
B LOREAN SEMICONDUCTOR INTELLECTUAL PROPERTY LABS PVT.LTD.
|
|
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DID NOT ADHERE TO PROVISIONS REGARDING CERTIFICATE TO BE ANNEXED WITH ANNUAL RETURN (SECTION 161)
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
|
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 34 |
|
|
A.L.KAPUR
|
|
|
|
ZENITH LTD.
|
|
DID NOT ADHERE TO ORDER OF COMPANY LAW BOARD FOR REPAYMENT OF DEPOSITS (SECTION 58A(9))
|
PROSECUTION UNDER SECTION 58A(10) OF COMPANIES ACT: PENALTY IMPOSED RS.13500
08-AUG-2007
|
FINAL ORDER PASSED ON 29.03.2007
|
| 35 |
|
|
A.M. MOHD.KUNSHI
|
|
|
|
THALLIYATH BUILD MAT PVT.LTD.
|
|
DID NOT PROVIDE BALANCE SHEET AND PROFIT & LOSS ACCOUNT AT ANNUAL GENERAL MEETING (SECTION 210(1))
DEFAULTED IN RESPECT OF THE PERIOD FOR WHICH THE PROFIT & LOSS ACCOUNT OF THE COMPANY RELATES (SECTION 210(3))
|
PROSECUTION UNDER SECTION 210(5) OF COMPANIES ACT: ALL DIRECTORS FINED RS.1000 EACH
16-JAN-2004
|
|
| 36 |
|
|
A.M.GOPALAN
|
|
|
|
MALABAR ORGANICS LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.1000 EACH(ST.78/2000)
08-NOV-2000
|
|
| 37 |
|
|
A.M.KUMBHAT
|
|
|
|
BESPOKE FINVEST LTD.
|
|
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
|
PROSECUTION UNDER SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED
04-NOV-2004
|
COMPOUNDED
|
| 38 |
|
|
A.M.MOHAMMED BABU
|
|
|
|
AMISON FOODS LTD.
|
|
DID NOT FILE NOTICE OF INCREASE OF SHARE CAPITAL OR OF MEMBERS (SECTION 97(1))
|
PROSECUTION UNDER SECTION 97(3) OF COMPANIES ACT: PENALTY IMPOSED RS.20000
18-SEP-2009
|
-
|
| 39 |
|
|
A.M.O.HARIHARESHWARA RAO
|
|
|
|
THIRU-VI-KA NAGAR BENEFIT FUNDS LTD.
|
|
DID NOT PRODUCE FOR INSPECTION BOOKS AND PAPERS, FURNISH INFORMATION OR EXPLANATIONS AND PROVIDE ASSISTANCE (SECTION 209A)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1000+ITRC
14-JUL-2004
|
|
| 40 |
|
|
A.M.O.HARIHARESHWARA RAO
|
|
|
|
THIRU-VI-KA NAGAR BENEFIT FUNDS LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS WITHOUT CONSENT OF COMPANY IN GENERAL MEETING (SECTION 293)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1000
29-JUN-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 2 of 371
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