| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 41 |
|
DIRECTORS
|
|
|
|
VISHAL FABRICS LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.25000
07-MAY-2007
|
PENALTY AMOUNT OF RS.25,000.00 PAID BY APPELLANT ON 12/04/2007
CONVICTED
|
| 42 |
|
|
DIRECTORS
|
|
|
|
ADVENT SOFTWARE LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT ADHERE TO PROVISIONS OF MEMORANDUM & ARTICLES OF ASSOCIATION (SECTION 13(4))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
11-APR-2007
|
ACCUSED DIRECTORS CONVICTED
|
| 43 |
|
|
DIRECTORS
|
|
|
|
PCS TECHNOLOGY LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 162 & SECTION 220(3) OF COMPANIES ACT: NO PENALTY IMPOSED
11-APR-2015
|
DISCHARGE AFTER COMPOUNDING
|
| 44 |
|
|
DIRECTORS
|
|
|
|
INNOVISION E-COMMERCE LTD.
|
|
DID NOT TRANSFER UNPAID DIVIDEND TO UNPAID DIVIDEND ACCOUNT (SECTION 205A)
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 205(8) & SECTION 209(7) OF COMPANIES ACT: NO PENALTY IMPOSED
11-APR-2015
|
DISCHARGE
|
| 45 |
|
|
FRANCIS LAYER
|
|
|
|
ZEN GLOBAL FINANCE LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
CLOSURE OF REGISTER OF MEMBERS OR DEBENTUREHOLDERS OTHERWISE THAN IN COMPLIANCE WITH THE PROVISIONS OF (SECTION 154(1)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
NON-INCLUSION OF DIRECTORS’ RESPONSIBILITY STATEMENT IN BOARD’S REPORT (SECTION 217(2AA))
|
PENALTY IMPOSED RS.42250
02-AUG-2004
|
|
| 46 |
|
|
G.D.MAHESHWARI
|
|
|
|
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
|
|
| 47 |
|
|
G.M.SINGHVI
|
|
|
|
WILLARD INDIA LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.9800
19-MAY-2000
|
|
| 48 |
|
|
G.RAJAN
|
|
|
|
STERLING TREE-MAGNUM (INDIA) LTD.
|
|
DEFAULTED IN FIXATION OF REMUNERATION OF AUDITORS (SECTION 224(8))
INVESTED IN SHARES OF OTHER COMPANIES IN EXCESS OF PRESCRIBED LIMIT WITHOUT PASSING RESOLUTION IN GENERAL MEETING AND WITHOUT OBTAINING PREVIOUS APPROVAL OF CENTRAL GOVERNMENT (SECTION 372(4))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 224(8) & SECTION 374 & SECTION 211(7) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.17750
05-NOV-2004
|
|
| 49 |
|
|
GAJRAJ JAIN
|
|
|
|
CHANDRA PRABHU INTERNATIONAL LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
07-APR-2005
|
DISMISSED AS COMPOUNDED U/S 621A(4) (D)
|
| 50 |
|
|
GIRISH NADKAMI
|
|
|
|
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
|
|
| 51 |
|
|
GOPAL DAS BANGUR
|
|
|
|
FORT GLOSTER INDUSTRIES LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
22-MAY-2001
|
|
| 52 |
|
|
GOPAL SINGHANIA
|
|
|
|
DEO JONES INVESTMENT & CONSULTANTS PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1200
06-JAN-2005
|
|
| 53 |
|
|
GOVIND KANODIA
|
|
|
|
BIYANI SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 629A & SECTION 303(3) & SECTION 211(7) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.17000
18-JUL-2002
|
|
| 54 |
|
|
HARDYAL ANEJA
|
|
|
|
ANEJA PLYWOOD PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.5000
08-APR-2005
|
|
| 55 |
|
|
HARVEEN KUMAR
|
|
|
|
ANEJA PLYWOOD PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.5000
08-APR-2005
|
|
| 56 |
|
|
I.BANERJEE
|
|
|
|
INDAL EXPORTS LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
14-JAN-2002
|
|
| 57 |
|
|
JAGADISH PRASAD BHORA
|
|
|
|
PRUDENTIAL INTERNATIONAL LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.2400
16-MAY-2003
|
|
| 58 |
|
|
JAI PARKASH BHATT
|
|
|
|
PRUDENTIAL CAPITAL MARKETS LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1200
20-MAY-2005
|
|
| 59 |
|
|
JAIRAM VARADHARAJ
|
|
|
|
ELGI FINANCE LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
PROVIDED FALSE STATEMENTS IN RETURNS, REPORT, CERTIFICATE, BALANCE SHEET, PROSPECTUS, STATEMENT ETC. (SECTION 628)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 628 OF COMPANIES ACT: COMPANY APPEAL ALLOWED AGAINST THE ORDER OF THE LOWER COURT CRP DISMISSED
03-DEC-2004
|
REPORT BEING SENT TO RD FOR FILING APPEAL
|
| 60 |
|
|
JEHANGIE KASHWARAN
|
|
|
|
ZEN GLOBAL FINANCE LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
CLOSURE OF REGISTER OF MEMBERS OR DEBENTUREHOLDERS OTHERWISE THAN IN COMPLIANCE WITH THE PROVISIONS OF (SECTION 154(1)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
NON-INCLUSION OF DIRECTORS’ RESPONSIBILITY STATEMENT IN BOARD’S REPORT (SECTION 217(2AA))
|
PENALTY IMPOSED RS.42250
02-AUG-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 3 of 8
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