| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
|
| 2 |
|
|
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
|
|
| 3 |
|
|
AJIT SINGH PIPLODA
|
|
|
|
HARSHVARDHAN CHEMICALS & MINERALS LTD.
|
|
DID NOT TRANSFER UNPAID/UNCLAIMED DIVIDEND TO INVESTOR EDUCATION AND PROTECTION FUND WITHIN PRESCRIBED TIME (SECTION 205C)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1800
30-SEP-2004
|
|
| 4 |
|
|
ALEXANDER KOSHY
|
|
|
|
CENTRAL TRAVANCORE SPECIALISTS HOSPITAL LTD.
|
|
HELD ANY OFFICE OR PLACE OF PROFIT UNDER COMPANY OR ITS SUBSIDIARY WITHOUT PASSING OF SPECIAL RESOLUTION IN NEXT AGM OR WITHIN THREE MONTHS FROM DATE OF SUCH APPOINTMENT (SECTION 314(1))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
16-AUG-2010
|
-
|
| 5 |
|
|
ALOKE BIYANI
|
|
|
|
BIYANI SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 629A & SECTION 303(3) & SECTION 211(7) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.17000
18-JUL-2002
|
|
| 6 |
|
|
AMALENDU A.DUTTA
|
|
|
|
NAVIN INDUSTRIES & MERCANTILE CORP.PVT.LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
|
PROSECUTION UNDER SECTION 629A & SECTION 193(6) OF COMPANIES ACT: PENALTY IMPOSED RS.1200
29-JUL-2003
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
ANIL KUMAR SHUKLA
|
|
|
|
MEGATOP EXPORT LTD.
|
|
DEFAULTED IN RESPECT OF PLACE OF KEEPING & INSPECTION OF REGISTERS & RETURNS (SECTION 163)
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 629A & SECTION 168 & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.10600
07-AUG-2004
|
|
| 9 |
|
|
ARAVIND
|
|
|
|
ARVIND REMEDIES LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 629A & SECTION 211(7) OF COMPANIES ACT: COMPOUNDED
15-SEP-2004
|
|
| 10 |
|
|
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
|
|
| 11 |
|
|
ASHOK KUMAR SHARMA
|
|
|
|
VALLABH REFRACTORIES & CERAMICS PRODUCTS LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
DID NOT ADHERE TO ACCOUNTING STANDARDS IN PREPARATION OF ANNUAL ACCOUNTS (SECTION 211(3A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
DID NOT ADHERE TO PROVISIONS RELATED TO FURTHER ISSUE OF CAPITAL (SECTION 81(1))
DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))
|
PROSECUTION UNDER SECTION 147(2) & SECTION 168 & SECTION 162 & SECTION 210(5) & SECTION 211(7) & SECTION 217(5) & SECTION 629A & SECTION 209(5) & SECTION 209(7) OF COMPANIES ACT: PENALTY IMPOSED RS.62400
02-MAY-2005
|
-
|
| 12 |
|
|
B.K.KARNAWAT
|
|
|
|
GANAPATI COMMERCE LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
NUMBER OF DIRECTORS BELOW MINIMUM NUMBER SPECIFIED (SECTION 252)
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 629A & SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
25-APR-2004
|
|
| 13 |
|
|
B.NARAYANAN
|
|
|
|
KALPAKA TEAK PLANTATION LTD.
|
|
DEFAULTED IN MAINTAINING MINUTE BOOKS OF GENERAL MEETING CONTAINING MINUTES OF PROCEEDINGS OF ANY GENERAL MEETING OF THE COMPANY AT REGISTERED OFFICE OF THE COMPANY (SECTION 196(1) (A))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.8000
21-JAN-2010
|
-
|
| 14 |
|
|
B.NARAYANAN
|
|
|
|
KALPAKA TEAK PLANTATION LTD.
|
|
DID NOT HOLD BOARD MEETING AT PROPER INTERVALS (SECTION 285)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.6000
14-JAN-2010
|
-
|
| 15 |
|
|
B.R.CHATTERJEE
|
|
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
REGISTRATION OF TRANSFER OF SHARES ETC. IN CONTRAVENTION OF PROVISIONS OF COMPANIES ACT (SECTION 108)
DID NOT TO PASS RESOLUTION IN AN ADJOURNED MEETING (SECTION 191)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 193(6) & SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.780
20-JUL-2004
|
|
| 16 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,WHICH IS TO BE EXERCISED BY THE COMPANY IN GENERAL MEETING (SECTION 291)
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 17 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
COMMENCED BUSINESS WITHOUT COMPLYING WITH CONDITIONS PRESCRIBED UNDER COMPANIES ACT (SECTION 149 (2A))
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 292 (1) (C))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 149(2A) & SECTION 629A & SECTION 211(7) & SECTION 217(5) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 18 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 291(1))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH
18-JUL-2007
|
-
|
| 19 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH
18-JUL-2007
|
-
|
| 20 |
|
|
BABULAL S.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 292 (1) (C))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: EACH DIRECTORS FINED RS.1000
18-JUL-2007
|
-
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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