| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
G.D.BHALOTIA
|
|
|
|
BTW INDUSTRIES LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 113 & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.2000
16-SEP-2002
|
|
| 22 |
|
|
G.D.GUPTA
|
|
|
|
BTW INDUSTRIES LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 113 & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.2000
16-SEP-2002
|
|
| 23 |
|
|
G.L.BANSAL
|
|
|
|
BTW INDUSTRIES LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 113 & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.2000
16-SEP-2002
|
|
| 24 |
|
|
HARISH CHANDRA MAHINDRA
|
|
|
|
KOTAK MAHINDRA FINANCE LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: NO PENALTY IMPOSED
24-MAY-2005
|
WITHDRAWN ON 09/03/2001 AS COMPOUNDED
|
| 25 |
|
|
J.N.VAZIFDAR
|
|
|
|
KOTAK MAHINDRA FINANCE LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: NO PENALTY IMPOSED
24-MAY-2005
|
WITHDRAWN ON 09/03/2001 AS COMPOUNDED
|
| 26 |
|
|
JOSEPH C.F. SEQUEIRA
|
|
|
|
WESTERN INDIA SHIPYARD LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: CLB COMPOUNDED OFFENCE AGAINST COMPANY ON PAYMENT OF RS.4250 AND AGAINST MANAGING DIRECTOR S.SHEKHER SINGH ON PAYMENT OF RS.2500 AND AGAINST COMPANY SECRETARY SHRI J.C.F.SEQUEIRA ON PAYMENT OF RS.1000.TOTAL RS.7750 IMPOSED
09-AUG-2000
|
|
| 27 |
|
|
MANAGING DIRECTOR
|
|
|
|
TRANSGENE BIOTEK LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: PENALTY IMPOSED RS.135900
05-JUL-2004
|
|
| 28 |
|
|
MANAGING DIRECTOR
|
|
|
|
RAJSHREE SUGARS & CHEMICALS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: PENALTY IMPOSED RS.10000 ON COMPANY AND RS.1000 EACH ON 2 ACCUSED
11-MAY-2000
|
|
| 29 |
|
|
MANAGING DIRECTOR
|
|
|
|
XEDD TELECOM LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: PENALTY IMPOSED RS.531000
20-JAN-2000
|
|
| 30 |
|
|
PRADEEP JAIN
|
|
|
|
I G PETROCHEMICALS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: OFFENCE COMPOUNDED BY CLB AGAINST COMPANY ON PAYMENT OF RS.1000 AND AGAINST 3 DIRECTORS OF COMPANY ON PAYMENT OF RS.200 EACH.TOTAL RS.1400 IMPOSED
04-APR-2003
|
|
| 31 |
|
|
RAMESH SHANKARMAL PILANI
|
|
|
|
GANESH ANHYDRIDE LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES. ALSO THE CLB MAY ORDER THE COMPANY AND CONCERNED OFFICER TO MAKE GOOD ANY DEFAULT MADE UNDER SUB-SECTION (1) AND ALSO TO BEAR THE COSTS INCIDENTAL THERETO
17-FEB-2003
|
ACCUSED WERE DISCHARGED BY THE COURT AS THE OFFENCE WAS COMPOUNDED AND THE COMPOUNDING FEES WAS PAID
|
| 32 |
|
|
S.SHEKHAR SINGH
|
|
|
|
WESTERN INDIA SHIPYARD LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: CLB COMPOUNDED OFFENCE AGAINST COMPANY ON PAYMENT OF RS.4250 AND AGAINST MANAGING DIRECTOR S.SHEKHER SINGH ON PAYMENT OF RS.2500 AND AGAINST COMPANY SECRETARY SHRI J.C.F.SEQUEIRA ON PAYMENT OF RS.1000.TOTAL RS.7750 IMPOSED
09-AUG-2000
|
|
| 33 |
|
|
SAMIR P.SHAH
|
|
|
|
KARNATAKA CEMENTS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: NO PENALTY IMPOSED
24-MAY-2005
|
DISMISSED AS TIME BARRED ON 10/08/2000
|
| 34 |
|
|
SANJEEV LATA SAMDANI
|
|
|
|
GANESH ANHYDRIDE LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES. ALSO THE CLB MAY ORDER THE COMPANY AND CONCERNED OFFICER TO MAKE GOOD ANY DEFAULT MADE UNDER SUB-SECTION (1) AND ALSO TO BEAR THE COSTS INCIDENTAL THERETO
17-FEB-2003
|
ACCUSED WERE DISCHARGED BY THE COURT AS THE OFFENCE WAS COMPOUNDED AND THE COMPOUNDING FEES WAS PAID
|
| 35 |
|
|
SAVITHRI KRISHNA
|
|
|
|
VYSALI PHARMACEUTICALS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES. ALSO THE CLB MAY ORDER THE COMPANY AND CONCERNED OFFICER TO MAKE GOOD ANY DEFAULT MADE UNDER SUB-SECTION (1) AND ALSO TO BEAR THE COSTS INCIDENTAL THERETO FROM 17-JUL-2002 (ST.101/2000, ST.102/2000, ST.103/2000, ST.104/2000, ST.105/2000)
17-JUL-2002
|
|
| 36 |
|
|
SECRETARY
|
|
|
|
RAJSHREE SUGARS & CHEMICALS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: PENALTY IMPOSED RS.10000 ON COMPANY AND RS.1000 EACH ON 2 ACCUSED
11-MAY-2000
|
|
| 37 |
|
|
SHIVAJI S.DAM
|
|
|
|
KOTAK MAHINDRA FINANCE LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: NO PENALTY IMPOSED
24-MAY-2005
|
WITHDRAWN ON 09/03/2001 AS COMPOUNDED
|
| 38 |
|
|
T.N.NEELAKANDAN
|
|
|
|
VYSALI PHARMACEUTICALS LTD.
|
|
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
|
PROSECUTION UNDER SECTION 113 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES. ALSO THE CLB MAY ORDER THE COMPANY AND CONCERNED OFFICER TO MAKE GOOD ANY DEFAULT MADE UNDER SUB-SECTION (1) AND ALSO TO BEAR THE COSTS INCIDENTAL THERETO FROM 17-JUL-2002 (ST.101/2000, ST.102/2000, ST.103/2000, ST.104/2000, ST.105/2000)
17-JUL-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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