| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
AMIYANATH ROY
|
|
|
|
STONE INDIA LTD.
|
|
DID NOT KEEP PROPER REGISTER OF MEMBERS (SECTION 150(1))
DELIVERED DEBENTURE/CERTIFICATE OF DEBENTURE STOCK WITHOUT ENDORSEMENT OF CERTIFICATES OF REGISTRATION (SECTION 133)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
REGISTRATION OF TRANSFER OF SHARES ETC. IN CONTRAVENTION OF PROVISIONS OF COMPANIES ACT (SECTION 108)
|
PROSECUTION UNDER SECTION 150(2) & SECTION 133(2) & SECTION 193(6) & SECTION 301(4) & SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
09-AUG-2004
|
|
| 2 |
|
|
ASHARAM KAKRA
|
|
|
|
NORTEK COMMERCIAL PVT.LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
|
PROSECUTION UNDER SECTION 301(4) & SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1800
20-MAY-2005
|
|
| 3 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.500 EACH
18-JUL-2007
|
-
|
| 4 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.500 EACH
30-JUL-2008
|
-
|
| 5 |
|
|
BASUDEV MAL
|
|
|
|
NORTEK COMMERCIAL PVT.LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
|
PROSECUTION UNDER SECTION 301(4) & SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1800
20-MAY-2005
|
|
| 6 |
|
|
BHARATHI SUTARIA
|
|
|
|
UNITED TROPICAL VENEERS LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
06-FEB-2006
|
-
|
| 7 |
|
|
DIRECTORS
|
|
|
|
RELIABLE CAPITAL LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 193(6) & SECTION 301(4) OF COMPANIES ACT: IMPOSED PENALTY RS.2700
05-OCT-2007
|
CONVICTED
|
| 8 |
|
|
DIRECTORS
|
|
|
|
GATE CITY SOFTWARE SOLUTIONS PVT.LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
IMPROPER AUTHENTICATION OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 215 (1))
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DID NOT MAINTAIN REQUISITE QUORUM IN MEETING OF BOARD OF DIRECTORS (SECTION 287)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
SUBSCRIBERS TO MEMORANDUM DID NOT PAY CONSIDERATION FOR SHARES SUBSCRIBED BY THEM (SECTION 36)
CONVENED AGM WITHOUT PROPER QUORUM (SECTION 174)
APPOINTED CHAIRMAN AT SHAREHOLDERS MEETINGS IN CONTRAVENTION OF SECTION 175
|
PROSECUTION UNDER SECTION 147(2) & SECTION 218 & SECTION 629A & SECTION 162 & SECTION 301(4) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
06-NOV-2008
|
ACCUSED DIRECTORS CONVICTED
|
| 9 |
|
|
DIRECTORS
|
|
|
|
FIAT INDIA AUTOMOBILES LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
DEFAULTED IN FIXATION OF REMUNERATION OF AUDITORS (SECTION 224(8))
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 629A & SECTION 224(8) & SECTION 301(4) OF COMPANIES ACT: NO PENALTY IMPOSED
16-SEP-2012
|
DISCHARGE AFTER COMPOUNDING
|
| 10 |
|
|
DIRECTORS
|
|
|
|
PATHEJA BROTHERS FORGINGS & STAMPINGS PVT.LTD.
|
|
DID NOT DISTRIBUTE DIVIDENDS WITHIN 30 DAYS (SECTION 207)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT TRANSFER UNPAID DIVIDEND TO UNPAID DIVIDEND ACCOUNT (SECTION 205A)
DEFAULTED IN GIVING DETAILS IN NOTES OR DOCUMENTS ANNEXED TO BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211(6))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
BREACHED PRESCRIBED LIMITS ON INVITATION OR ACCEPTANCE OF DEPOSITS IN CONTRAVENTION OF THE RULES (SECTION 58A(6))
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 207 & SECTION 205A(8) & SECTION 211(8) & SECTION 217(5) & SECTION 295(4) & SECTION 383A(1A) & SECTION 58A(6) & SECTION 301(4) OF COMPANIES ACT: NO PENALTY IMPOSED
18-SEP-2012
|
COURT DISPOSED OFF THE MATTER
|
| 11 |
|
|
FEROZA PANDEY
|
|
|
|
LAKSHMI VIJAYAM INVESTMENTS PVT.LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: PENALTY IMPOSED RS.500 EACH
16-JUL-2004
|
|
| 12 |
|
|
G.D.MAHESHWARI
|
|
|
|
KRISHNA SECURITIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600
02-MAY-2002
|
|
| 13 |
|
|
J.BISWAS
|
|
|
|
STONE INDIA LTD.
|
|
DID NOT KEEP PROPER REGISTER OF MEMBERS (SECTION 150(1))
DELIVERED DEBENTURE/CERTIFICATE OF DEBENTURE STOCK WITHOUT ENDORSEMENT OF CERTIFICATES OF REGISTRATION (SECTION 133)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
REGISTRATION OF TRANSFER OF SHARES ETC. IN CONTRAVENTION OF PROVISIONS OF COMPANIES ACT (SECTION 108)
|
PROSECUTION UNDER SECTION 150(2) & SECTION 133(2) & SECTION 193(6) & SECTION 301(4) & SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
09-AUG-2004
|
|
| 14 |
|
|
JAMSHEED M.PANDEY
|
|
|
|
LAKSHMI VIJAYAM INVESTMENTS PVT.LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: PENALTY IMPOSED RS.500 EACH
16-JUL-2004
|
|
| 15 |
|
|
K.B.AGARWAL
|
|
|
|
KRISHNA SECURITIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600
02-MAY-2002
|
|
| 16 |
|
|
K.S.SIMON
|
|
|
|
UNITED TROPICAL VENEERS LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
06-FEB-2006
|
-
|
| 17 |
|
|
MANISH MUDGAL
|
|
|
|
KRISHNA SECURITIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600
02-MAY-2002
|
|
| 18 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.500 EACH
18-JUL-2007
|
-
|
| 19 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 301(4) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.500 EACH
30-JUL-2008
|
-
|
| 20 |
|
|
MUKUL AGARWAL
|
|
|
|
KRISHNA SECURITIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT DISCLOSE INTEREST IN ANY CONTRACT BY THE DIRECTOR (SECTION 299)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 299(4) & SECTION 301(4) & SECTION 383A(1A) & SECTION 146(4) & SECTION 147 & SECTION 233 & SECTION 629A & SECTION 295(4) OF COMPANIES ACT: PENALTY IMPOSED RS.24600
02-MAY-2002
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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