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SOURCE OF INFORMATION

SOURCE OF INFORMATION : MINISTRY OF CORPORATE AFFAIRS, REGISTRARS OF COMPANIES - LIST OF FINAL COURT ORDERS PASSED
PERIOD COVERED : 27-JAN-2001 TO 04-SEP-2015

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

PERSONS: DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1
History of entity/person BABULAL S.JAIN  
History of entity/person 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 		-  
2
History of entity/person BABULAL S.JAIN  
History of entity/person 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 		-  
3
History of entity/person BAKUL A.DESAI  
History of entity/person DOLAT CAPITAL MARKET PVT.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: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
4
History of entity/person DILIP M.BANG  
History of entity/person BAMA SECURITIES 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: NO PENALTY IMPOSED

06-JAN-2003 		COMPOUNDED  
5
History of entity/person DIRECTORS  
History of entity/person KAY POWER & PAPER 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: NO PENALTY IMPOSED

10-JAN-2012 		DISCHARGE AS PER 621A  
6
History of entity/person DIRECTORS  
History of entity/person ABEE INFO-CONSUMABLES LTD.
  		DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)

DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))   		PROSECUTION UNDER SECTION 147 & SECTION 629A & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.102000

04-MAR-2012 		ALL ACCUSED CONVICTED  
7
History of entity/person DIRECTORS  
History of entity/person SHREEM ELECTRIC 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: PENALTY IMPOSED RS.4000

16-SEP-2012 		CONVICTED  
8
History of entity/person DIRECTORS  
History of entity/person 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  
9
History of entity/person DIRECTORS  
History of entity/person SAHYADRI INDUSTRIES 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: PENALTY IMPOSED RS.3000

01-APR-2013 		CONVICTED  
10
History of entity/person DIRECTORS  
History of entity/person 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  
11
History of entity/person G.D.MAHESHWARI  
History of entity/person 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 		 
12
History of entity/person HARENDRA DOLATRAI SHAH  
History of entity/person NIRPAN SECURITIES PVT.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: NO PENALTY IMPOSED

08-AUG-2007 		DISPOSED ON 07/12/2006  
13
History of entity/person HARENDRA DOLATRAI SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.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: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
14
History of entity/person HARSHA HARENDRA SHAH  
History of entity/person DOLAT CAPITAL MARKET PVT.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: NO PENALTY IMPOSED

02-SEP-2004 		COMPOUNDED  
15
History of entity/person K.B.AGARWAL  
History of entity/person 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
History of entity/person K.R.N.SHENOY  
History of entity/person FAIRGROWTH INVESTMENTS 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: PENALTY IMPOSED RS.400 EACH

25-APR-2003 		 
17
History of entity/person K.S.NAIDU  
History of entity/person ABN GRANITES 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: PENALTY IMPOSED RS.1500 EACH(ST.765/2002, UNDER 297(1))

26-SEP-2003 		 
18
History of entity/person K.S.SIMON  
History of entity/person UNITED TROPICAL VENEERS 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: PENALTY IMPOSED RS.16000

08-MAR-2006 		-  
19
History of entity/person KARTIK KIRTIKUMAR PAREKH  
History of entity/person CLASSIC CREDIT LTD.
  		DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)

DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))

DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)   		PROSECUTION UNDER SECTION 629A & SECTION 217(5) & SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.6800

20-APR-2005 		 
20
History of entity/person KETAN VINAYCHANDRA PAREKH  
History of entity/person CLASSIC CREDIT LTD.
  		DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)

DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)

DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))

DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)   		PROSECUTION UNDER SECTION 629A & SECTION 217(5) & SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.6800

20-APR-2005 		 
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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