| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABEE INFO-CONSUMABLES LTD.
|
|
|
|
DIRECTORS
|
|
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
|
| 2 |
|
|
ABN GRANITES LTD.
|
|
|
|
K.S.NAIDU
|
|
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
|
|
| 3 |
|
|
ADLABS FILMS LTD.
|
|
|
|
MANMOHAN R.SHETTY
|
|
|
POOJA M.SHETTY
|
|
|
VASANJI A.MAMANIA
|
|
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
21-JUN-2006
|
COMPOUNDED
|
| 4 |
|
|
BAMA SECURITIES LTD.
|
|
|
|
DILIP M.BANG
|
|
|
KISHORE M.BANG
|
|
|
VIJAY BAGARIA
|
|
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 |
|
|
CLASSIC CREDIT LTD.
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
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
|
|
| 6 |
|
|
DOLAT CAPITAL MARKET PVT.LTD.
|
|
|
|
BAKUL A.DESAI
|
|
|
HARENDRA DOLATRAI SHAH
|
|
|
HARSHA HARENDRA SHAH
|
|
|
NIRUPAMA PANKAJ SHAH
|
|
|
PANKAJ DOLATRAI SHAH
|
|
|
RAJENDRA DOLATRAI SHAH
|
|
|
VAIBHAV PANKAJ SHAH
|
|
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
|
| 7 |
|
|
FAIRGROWTH INVESTMENTS LTD.
|
|
|
|
K.R.N.SHENOY
|
|
|
UDAY SHANKAR R.M.
|
|
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
|
-
|
| 8 |
|
|
FIAT INDIA AUTOMOBILES LTD.
|
|
|
|
DIRECTORS
|
|
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 |
|
|
GATE CITY SOFTWARE SOLUTIONS PVT.LTD.
|
|
|
|
DIRECTORS
|
|
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
|
| 10 |
|
|
KAY POWER & PAPER LTD.
|
|
|
|
DIRECTORS
|
|
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
|
| 11 |
|
|
KRBL 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
13-OCT-2004
|
DISMISSED
|
| 12 |
|
|
KRISHNA SECURITIES LTD.
|
|
|
|
G.D.MAHESHWARI
|
|
|
K.B.AGARWAL
|
|
|
MANISH MUDGAL
|
|
|
MUKUL AGARWAL
|
|
|
POONAM JAIN
|
|
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 |
|
|
MFL PHARMA LTD.
|
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 629A & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
24-FEB-2005
|
DISMISSED AS COMPOUNDED U/S 621A(4)(D)
|
| 14 |
|
|
MOONBEAM 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: FINE OF UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT AND FURTHER FINE OF UPTO RS. 500 PER DAY FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
16-FEB-2001
|
DISMISSED AS WITHDRAWN
|
| 15 |
|
|
NIRPAN SECURITIES PVT.LTD.
|
|
|
|
HARENDRA DOLATRAI SHAH
|
|
|
RAJENDRA DOLATRAI SHAH
|
|
|
RAJUL S.SHAH
|
|
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
|
| 16 |
|
|
PADMINI POLYMERS 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: FINE OF UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT AND FURTHER FINE OF UPTO RS. 500 PER DAY FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
30-AUG-2000
|
DISMISSED AS WITHDRAWN
|
| 17 |
|
|
PUSHPA PACKAGES LTD.
|
|
|
|
BABULAL S.JAIN
|
|
|
MUKESH B.JAIN
|
|
|
RAJESH V.JAIN
|
|
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
|
-
|
| 18 |
|
|
PUSHPA PACKAGES LTD.
|
|
|
|
BABULAL S.JAIN
|
|
|
MUKESH B.JAIN
|
|
|
RAJESH V.JAIN
|
|
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
|
-
|
| 19 |
|
|
QST LTD.
|
|
|
|
PAWAN KUMAR JAIN
|
|
|
SHYAM SUNDAR AGARWAL
|
|
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.2100
19-OCT-2002
|
PENALTY AMOUNT OF RS.2,100.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820305 TO 820307 DATED 19/06/2002
|
| 20 |
|
|
QST LTD.
|
|
|
|
PAWAN KUMAR JAIN
|
|
|
SHYAM SUNDAR AGARWAL
|
|
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.2100
19-OCT-2002
|
PENALTY AMOUNT OF RS.2,100.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820302 TO 820304 DATED 19/06/2002
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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