| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
S.C.GIROTRA
|
|
|
|
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
|
|
| 122 |
|
|
S.GUPTA
|
|
|
|
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
|
|
| 123 |
|
|
SAMBHU PRASAD KEDIA
|
|
|
|
PRUDENTIAL EQUITY FUND LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
|
PROSECUTION UNDER SECTION 374 & SECTION 209(5) & SECTION 211(7) & SECTION 372A(9) OF COMPANIES ACT: PENALTY IMPOSED RS.10300
12-AUG-2002
|
|
| 124 |
|
|
SAMBHU PRASAD KEDIA
|
|
|
|
PRUDENTIAL POWER CORP.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
07-FEB-2005
|
|
| 125 |
|
|
SANDEEP KUMAR JAIN
|
|
|
|
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
|
|
| 126 |
|
|
SANJAY KHEMANI
|
|
|
|
KHEMANI SECURITIES PVT.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)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.5750
02-JUL-2002
|
|
| 127 |
|
|
SANJAY KUMAR JAIN
|
|
|
|
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
|
|
| 128 |
|
|
SEKASTIN MATHEW
|
|
|
|
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
|
|
| 129 |
|
|
SITARAM KHEMANI
|
|
|
|
KHEMANI SECURITIES PVT.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)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 209(5) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.5750
02-JUL-2002
|
|
| 130 |
|
|
SORABJI MICHOBRAN
|
|
|
|
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
|
|
| 131 |
|
|
SUBRAMANIAN VENKATESWARAN
|
|
|
|
SOFT SYSTEMS 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.7500
09-OCT-2013
|
|
| 132 |
|
|
SUJOY KUMAR MONDAL
|
|
|
|
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
|
|
| 133 |
|
|
SUNDARAM DHARMAJAN KALYAN
|
|
|
|
SOFT SYSTEMS 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.7500
09-OCT-2013
|
|
| 134 |
|
|
SUSIL KUMAR DAS
|
|
|
|
PRUDENTIAL POWER CORP.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
07-FEB-2005
|
|
| 135 |
|
|
SUSIL KUMAR DAS
|
|
|
|
PRUDENTIAL EQUITY FUND LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
|
PROSECUTION UNDER SECTION 374 & SECTION 209(5) & SECTION 211(7) & SECTION 372A(9) OF COMPANIES ACT: PENALTY IMPOSED RS.10300
12-AUG-2002
|
|
| 136 |
|
|
T.K.KABRA
|
|
|
|
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
|
|
| 137 |
|
|
UMED SINGH BAID
|
|
|
|
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
|
|
| 138 |
|
|
UMESHKUMAR D.AGARWAL
|
|
|
|
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
|
| 139 |
|
|
UMESHKUMAR N.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
|
| 140 |
|
|
V.N.PARI
|
|
|
|
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
|
|
| 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 7 of 8
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