| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
|
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
|
|
| 22 |
|
|
KISHORE M.BANG
|
|
|
|
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
|
| 23 |
|
|
MANISH MUDGAL
|
|
|
|
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
|
|
| 24 |
|
|
MANMOHAN R.SHETTY
|
|
|
|
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
|
| 25 |
|
|
MARIAMMA SIMON
|
|
|
|
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
|
-
|
| 26 |
|
|
MUKESH B.JAIN
|
|
|
|
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
|
-
|
| 27 |
|
|
MUKESH B.JAIN
|
|
|
|
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
|
-
|
| 28 |
|
|
MUKUL AGARWAL
|
|
|
|
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
|
|
| 29 |
|
|
NIRUPAMA PANKAJ SHAH
|
|
|
|
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
|
| 30 |
|
|
PANKAJ DOLATRAI SHAH
|
|
|
|
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
|
| 31 |
|
|
PAWAN KUMAR JAIN
|
|
|
|
QST 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.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
|
| 32 |
|
|
PAWAN KUMAR JAIN
|
|
|
|
QST 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.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
|
| 33 |
|
|
POOJA M.SHETTY
|
|
|
|
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
|
| 34 |
|
|
POONAM JAIN
|
|
|
|
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
|
|
| 35 |
|
|
PRATAP KISHAN KAUL
|
|
|
|
SAGAR ENTERTAINMENT 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 & WITHDRAWN
|
| 36 |
|
|
RAJENDRA DOLATRAI SHAH
|
|
|
|
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
|
| 37 |
|
|
RAJENDRA DOLATRAI SHAH
|
|
|
|
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
|
| 38 |
|
|
RAJESH V.JAIN
|
|
|
|
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
|
-
|
| 39 |
|
|
RAJESH V.JAIN
|
|
|
|
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
|
-
|
| 40 |
|
|
RAJUL S.SHAH
|
|
|
|
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
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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