| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
BALBIR SINGH
|
|
|
|
PGF LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 209(5) & SECTION 209(7) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
16-SEP-2004
|
|
| 22 |
|
|
BHARATBHAI PANELIA
|
|
|
|
POONAM RASAYAN LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.7900
14-JUN-2011
|
|
| 23 |
|
|
BISHWANATH DHANUKA
|
|
|
|
I G PETROCHEMICALS LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: CASE HAS NOT YET BEEN DECIDED
17-JUN-2004
|
|
| 24 |
|
|
C.K.GHOSAL
|
|
|
|
BURLINGTON FINANCE LTD.
|
|
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DID NOT FILE CONSENT OF THE CANDIDATE FOR DIRECTORSHIP WITH COMPANY AND CONSENT TO ACT AS DIRECTOR WITH THE REGISTRAR (SECTION 264)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))
DID NOT INCLUDE ANY MATERIAL CHANGES OCCURRED DURING FINANCIAL YEAR IN BOARD'S REPORT (SECTION 217(2))
|
PROSECUTION UNDER SECTION 192(5) & SECTION 220(3) READ WITH SECTION 162 & SECTION 629 & SECTION 162 & SECTION 303(3) & SECTION 295(4) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.18700
01-OCT-2002
|
|
| 25 |
|
|
CHAKOR L.DESAI
|
|
|
|
GREAT ACHIEVERS TRADING PVT.LTD.
|
|
DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-JUL-2004
|
COMPOUNDED
|
| 26 |
|
|
D.N.GUPTA
|
|
|
|
KHAITAN OVERSEAS & FINANCE LTD.
|
|
IMPROPER AUTHENTICATION OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 215 (1))
IMPROPER ISSUE, CIRCULATION OR PUBLICATION OF BALANCE SHEET OR PROFIT & LOSS ACCOUNT (SECTION 218)
CLOSURE OF REGISTER OF MEMBERS OR DEBENTUREHOLDERS OTHERWISE THAN IN COMPLIANCE WITH THE PROVISIONS OF (SECTION 154(1)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PRODUCE FOR INSPECTION BOOKS AND PAPERS, FURNISH INFORMATION OR EXPLANATIONS AND PROVIDE ASSISTANCE (SECTION 209A)
|
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
PROSECUTION UNDER SECTION 218 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT
PROSECUTION UNDER SECTION 154(2) 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
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.20, 000 OR BOTH
PROSECUTION UNDER SECTION 209A(8) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 1 YEAR AND FINE NOT LESS THAN RS.50, 000
03-JUN-2004
|
|
| 27 |
|
|
DILIP M.BANG
|
|
|
|
NADI FINANCE & INVESTMENT PVT.LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
23-AUG-2005
|
FINAL ORDER PASSED ON 12.05.2005 AS MATTER IS COMPOUNDED
|
| 28 |
|
|
DIRECTOR
|
|
|
|
NEW GLOBALSTAR HOTELS & RESORTS LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.500
13-JAN-2006
|
-
|
| 29 |
|
|
DIRECTORS
|
|
|
|
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
|
| 30 |
|
|
DIRECTORS
|
|
|
|
GLOBAL INFRASTRUCTURE & TECHNOLOGIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
EXERCISED POWERS BY BOARD OF DIRECTORS WITHOUT CONSENT OF COMPANY IN GENERAL MEETING (SECTION 293)
DID NOT ADHERE TO CLB ORDER REGARDING DISQUALIFICATION OF DIRECTOR (SECTION 274(1)(G))
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DEFAULTED WITH RESPECT TO FIXED DEPOSITS (SECTION 58A)
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
|
PROSECUTION UNDER SECTION 217(5) & SECTION 211(7) & SECTION 274(1)(G) & SECTION 58A & SECTION 220(3) & SECTION 162 OF COMPANIES ACT: PENALTY IMPOSED RS.32000
16-SEP-2012
|
CONVICTED
|
| 31 |
|
|
DIRECTORS
|
|
|
|
PATHEJA BROTHERS FORGINGS & STAMPINGS PVT.LTD.
|
|
DID NOT DISTRIBUTE DIVIDENDS WITHIN 30 DAYS (SECTION 207)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT TRANSFER UNPAID DIVIDEND TO UNPAID DIVIDEND ACCOUNT (SECTION 205A)
DEFAULTED IN GIVING DETAILS IN NOTES OR DOCUMENTS ANNEXED TO BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211(6))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
BREACHED PRESCRIBED LIMITS ON INVITATION OR ACCEPTANCE OF DEPOSITS IN CONTRAVENTION OF THE RULES (SECTION 58A(6))
PROVIDED LOANS TO DIRECTORS, ETC WITHOUT OBTAINING PRIOR APPROVAL OF THE CENTRAL GOVERNMENT (SECTION 295(1))
|
PROSECUTION UNDER SECTION 207 & SECTION 205A(8) & SECTION 211(8) & SECTION 217(5) & SECTION 295(4) & SECTION 383A(1A) & SECTION 58A(6) & SECTION 301(4) OF COMPANIES ACT: NO PENALTY IMPOSED
18-SEP-2012
|
COURT DISPOSED OFF THE MATTER
|
| 32 |
|
|
DIRECTORS
|
|
|
|
PATHEJA INVESTMENTS LTD.
|
|
DEFAULTED IN RESPECT OF PLACE OF KEEPING & INSPECTION OF REGISTERS & RETURNS (SECTION 163)
DEFAULTED IN GIVING DETAILS IN NOTES OR DOCUMENTS ANNEXED TO BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211(6))
DID NOT TAKE REASONABLE STEPS RELATING TO BOARD'S REPORT (SECTION 217(5))
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 211(8) & SECTION 217(5) & SECTION 147(2) & SECTION 217(6) & SECTION 205A(8) & SECTION 209A(8) & SECTION 163(5) OF COMPANIES ACT: NO PENALTY IMPOSED
18-SEP-2012
|
COURT DISPOSED OFF THE MATTER
|
| 33 |
|
|
DIRECTORS
|
|
|
|
NEW GLOBALSTAR HOTELS & RESORTS LTD.
|
|
DID NOT TAKE REASONABLE STEPS RELATING TO BOARD'S REPORT (SECTION 217(5))
DID NOT ADHERE TO PROVISIONS SECTION 209(5)
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 217(5) & SECTION 209(5) & SECTION 211(8) & SECTION 269 OF COMPANIES ACT: NO PENALTY IMPOSED
18-SEP-2012
|
COURT DISPOSED OFF THE MATTER
|
| 34 |
|
|
DIYA EAPEN VETTATH
|
|
|
|
SAVINGS TRUST LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.900 EACH(ST.85/2002)
13-SEP-2002
|
|
| 35 |
|
|
E.K.JOSEPH
|
|
|
|
MALABAR ORGANICS LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.1000 EACH(ST.78/2000)
08-NOV-2000
|
|
| 36 |
|
|
EAPEN V.MATHAI
|
|
|
|
SAVINGS TRUST LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.900 EACH(ST.85/2002)
13-SEP-2002
|
|
| 37 |
|
|
EAPEN VETTATH
|
|
|
|
SAVINGS TRUST LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.900 EACH(ST.85/2002)
13-SEP-2002
|
|
| 38 |
|
|
FEROZA PANDEY
|
|
|
|
LAKSHMI VIJAYAM INVESTMENTS PVT.LTD.
|
|
DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.500 EACH ON DIRECTORS
16-JUL-2004
|
|
| 39 |
|
|
GAUTAM MAINI
|
|
|
|
VIKRANT SHIPPING LTD.
|
|
DID NOT ATTACH BOARD'S REPORT ALONG WITH BALANCE SHEET OF THE COMPANY (SECTION 217(1))
DID NOT INCLUDE ANY MATERIAL CHANGES OCCURRED DURING FINANCIAL YEAR IN BOARD'S REPORT (SECTION 217(2))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: OFFENCE COMPOUNDED BY CLB AGAINST 3 DIRECTORS OF COMPANY ON PAYMENT OF RS.700 BY EACH DIRECTOR.TOTAL RS.2100 IMPOSED TOWARDS COMPOUNDING FEES
30-SEP-2002
|
|
| 40 |
|
|
GAYATHRI PARAMESH
|
|
|
|
PARAM FINANCE & SECURITIES LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.500 EACH ON DIRECTORS
03-DEC-2004
|
-
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 2 of 7
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