| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
M.S.DIXIT
|
|
|
|
R.H.I.PROFILES LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.7500
01-MAR-2004
|
|
| 82 |
|
|
MADHUPALI SINGHANIA
|
|
|
|
GRAUER & WEIL (INDIA) LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
COMPOUNDED & DISPOSED ON 15/3/2007
|
| 83 |
|
|
MAHADEO PRASAD BALASARIA
|
|
|
|
AVONSKI SECURITIES LTD.
|
|
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1900
11-AUG-2003
|
|
| 84 |
|
|
MAHINDRA 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
|
|
| 85 |
|
|
MAHUKA
|
|
|
|
TEGA INDIA LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
BOOKS OF ACCOUNTS NOT PROVIDING TRUE AND FAIR VIEW OF STATE OF AFFAIRS OF COMPANY AND IMPROPERLY MAINTAINED (SECTION 209(3) R/W SCH.VI)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) OF COMPANIES ACT: NO PENALTY IMPOSED
16-JUL-2002
|
|
| 86 |
|
|
MANAGING DIRECTOR
|
|
|
|
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: PENALTY IMPOSED RS.1000 IN BOTH CASES
25-SEP-2003
|
|
| 87 |
|
|
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
|
|
| 88 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
COMMENCED BUSINESS WITHOUT COMPLYING WITH CONDITIONS PRESCRIBED UNDER COMPANIES ACT (SECTION 149 (2A))
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 292 (1) (C))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 149(2A) & SECTION 629A & SECTION 211(7) & SECTION 217(5) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 89 |
|
|
MUKESH JOSHI
|
|
|
|
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
|
|
| 90 |
|
|
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
|
|
| 91 |
|
|
N.K.AGARWAL
|
|
|
|
GANAPATI COMMERCE LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
NUMBER OF DIRECTORS BELOW MINIMUM NUMBER SPECIFIED (SECTION 252)
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 629A & SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
25-APR-2004
|
|
| 92 |
|
|
NANDLAL M.MORE
|
|
|
|
GRAUER & WEIL (INDIA) LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
COMPOUNDED & DISPOSED ON 15/3/2007
|
| 93 |
|
|
NARAYAN PRASAD KHETAN
|
|
|
|
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
|
|
| 94 |
|
|
NIRAJKUMAR U.MORE
|
|
|
|
GRAUER & WEIL (INDIA) LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
COMPOUNDED & DISPOSED ON 15/3/2007
|
| 95 |
|
|
NIRMAL SINGH BHANGOO
|
|
|
|
PGF 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.2000
08-APR-2005
|
|
| 96 |
|
|
NORAJ KUMAR BALASARIA
|
|
|
|
AVONSKI SECURITIES LTD.
|
|
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1900
11-AUG-2003
|
|
| 97 |
|
|
O.P.BHARGAVA
|
|
|
|
R.H.I.PROFILES LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.7500
01-MAR-2004
|
|
| 98 |
|
|
O.P.KEDIA
|
|
|
|
GANAPATI COMMERCE LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
NUMBER OF DIRECTORS BELOW MINIMUM NUMBER SPECIFIED (SECTION 252)
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 629A & SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
25-APR-2004
|
|
| 99 |
|
|
OM PRAKASH AGARWAL
|
|
|
|
GANAPATI COMMERCE LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
NUMBER OF DIRECTORS BELOW MINIMUM NUMBER SPECIFIED (SECTION 252)
DID NOT DELIVER SHARE/DEBENTURE CERTIFICATES IN CASE OF ISSUE/TRANSFER OF SHARES/DEBENTURES WITHIN PRESCRIBED TIME (SECTION 113(1))
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 209(5) & SECTION 629A & SECTION 383A(1A) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
25-APR-2004
|
|
| 100 |
|
|
P.K.AHAMED
|
|
|
|
P.K.STEEL CASTINGS 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.4200
03-FEB-2005
|
-
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 8
|
