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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: 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

S.No. PERSON ENTITY REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
201
History of entity/person UDAY SHANKAR R.M.  
History of entity/person FAIRGROWTH INVESTMENTS LTD.
  		DECLARATION/PAYMENT OF DIVIDEND BY COMPANY WITHOUT TRANSFERRING PRESCRIBED PERCENTAGE OF PROFITS TO RESERVES (SECTION 205(2A))   PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.400 EACH

25-APR-2004 		 
202
History of entity/person UMESH KUMAR THAKER  
History of entity/person SIDH EQUIPMENT LEASINGS LTD.
  		DEFAULTED IN RELATION TO APPOINTMENT AND REMUNERATION OF AUDITORS (SECTION 224)

DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))   		PROSECUTION UNDER SECTION 629A & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.10000

05-APR-2002 		 
203
History of entity/person VAIBHAV PANKAJ 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  
204
History of entity/person VARGHESE ANTONY  
History of entity/person KOLUTHARA FINANCE & INVESTMENTS PVT.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.10000

19-JUN-2009 		-  
205
History of entity/person VASANJI A.MAMANIA  
History of entity/person ADLABS FILMS 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

21-JUN-2006 		COMPOUNDED  
206
History of entity/person VIJAY BAGARIA  
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  
207
History of entity/person VIJAY PANDYA  
History of entity/person 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 		 
208
History of entity/person VINAY BHARAT RAM  
History of entity/person D C M LTD.
  		DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))   PROSECUTION UNDER SECTION 629A & SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED

01-FEB-2005 		DISMISSED COMPLAINT BY APPELLATE  
209
History of entity/person VINOD CHANDIOK  
History of entity/person JET AIRWAYS (INDIA) LTD.
  		NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)   PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED

04-FEB-2005 		DISMISSED AS WITHDRAWN IN VIEW OF DEPART/MINISTRY ORDER LETTER DATED 27.01.05  
210
History of entity/person VISHNU AGNIHOTRI  
History of entity/person 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 		-  
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.
 
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