| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
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
|
-
|
| 102 |
|
|
P.K.SEU
|
|
|
|
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
|
|
| 103 |
|
|
PARAMANANDA BIYANI
|
|
|
|
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
|
|
| 104 |
|
|
PARDEEP KUMAR AGARWAL
|
|
|
|
COMET GLASS LTD.
|
|
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 211(7) & SECTION 147 OF COMPANIES ACT: COMPOUNDED BY CLB
14-FEB-2003
|
|
| 105 |
|
|
PAWAN KUMAR SHARMA
|
|
|
|
NORTEK COMMERCIAL 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.3000
20-MAY-2005
|
|
| 106 |
|
|
PHOOL LATA SOMANI
|
|
|
|
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
|
|
| 107 |
|
|
PONDY H.JAMSHED
|
|
|
|
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
|
|
| 108 |
|
|
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
|
|
| 109 |
|
|
PRAMOD KUMAR AGARWAL
|
|
|
|
COMET GLASS LTD.
|
|
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 211(7) & SECTION 147 OF COMPANIES ACT: COMPOUNDED BY CLB
14-FEB-2003
|
|
| 110 |
|
|
PREM SETH
|
|
|
|
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
|
|
| 111 |
|
|
R.K.CHOWDHURY
|
|
|
|
TRIPOLI CONSULTANCY SERVICES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 193(6) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1050
05-MAR-2003
|
|
| 112 |
|
|
R.K.MONDAL
|
|
|
|
TRIPOLI CONSULTANCY SERVICES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 193(6) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1050
05-MAR-2003
|
|
| 113 |
|
|
R.K.SOMANI
|
|
|
|
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
|
|
| 114 |
|
|
R.SRINIVASAN
|
|
|
|
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
|
|
| 115 |
|
|
R.SUBRAMANIAN
|
|
|
|
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
|
|
| 116 |
|
|
RADHESHYAM KARNANI
|
|
|
|
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
|
|
| 117 |
|
|
RAJESH V.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
|
-
|
| 118 |
|
|
RAMESHKUMAR R.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
|
| 119 |
|
|
RAVINDRA BIYANI
|
|
|
|
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
|
|
| 120 |
|
|
RISHI KAJARIA
|
|
|
|
KAJARIA CERAMICS 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.7200
10-FEB-2000
|
|
| 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 6 of 8
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