| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
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
|
| 162 |
|
|
PESI M.NAVIELAVELA
|
|
|
|
KHAITAN OVERSEAS & FINANCE LTD.
|
|
IMPROPER AUTHENTICATION OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 215 (1))
IMPROPER ISSUE, CIRCULATION OR PUBLICATION OF BALANCE SHEET OR PROFIT & LOSS ACCOUNT (SECTION 218)
CLOSURE OF REGISTER OF MEMBERS OR DEBENTUREHOLDERS OTHERWISE THAN IN COMPLIANCE WITH THE PROVISIONS OF (SECTION 154(1)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PRODUCE FOR INSPECTION BOOKS AND PAPERS, FURNISH INFORMATION OR EXPLANATIONS AND PROVIDE ASSISTANCE (SECTION 209A)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: FINE OF UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT AND FURTHER FINE OF UPTO RS. 500 PER DAY FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
PROSECUTION UNDER SECTION 218 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT
PROSECUTION UNDER SECTION 154(2) OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.20, 000 OR BOTH
PROSECUTION UNDER SECTION 209A(8) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 1 YEAR AND FINE NOT LESS THAN RS.50, 000
03-JUN-2004
|
|
| 163 |
|
|
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
|
| 164 |
|
|
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
|
|
| 165 |
|
|
PRADEEP BOILTY
|
|
|
|
KHAITAN OVERSEAS & FINANCE LTD.
|
|
IMPROPER AUTHENTICATION OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 215 (1))
IMPROPER ISSUE, CIRCULATION OR PUBLICATION OF BALANCE SHEET OR PROFIT & LOSS ACCOUNT (SECTION 218)
CLOSURE OF REGISTER OF MEMBERS OR DEBENTUREHOLDERS OTHERWISE THAN IN COMPLIANCE WITH THE PROVISIONS OF (SECTION 154(1)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PRODUCE FOR INSPECTION BOOKS AND PAPERS, FURNISH INFORMATION OR EXPLANATIONS AND PROVIDE ASSISTANCE (SECTION 209A)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: FINE OF UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT AND FURTHER FINE OF UPTO RS. 500 PER DAY FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
PROSECUTION UNDER SECTION 218 OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER OF THE COMPANY WHO IS IN DEFAULT
PROSECUTION UNDER SECTION 154(2) OF COMPANIES ACT: FINE UPTO RS. 5, 000 ON THE COMPANY AND EVERY OFFICER WHO IS IN DEFAULT FOR EVERY DAY DURING WHICH THE DEFAULT CONTINUES
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.20, 000 OR BOTH
PROSECUTION UNDER SECTION 209A(8) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 1 YEAR AND FINE NOT LESS THAN RS.50, 000
03-JUN-2004
|
|
| 166 |
|
|
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
|
| 167 |
|
|
RABINDRA NATH BANERJEE
|
|
|
|
MMC EXPORTS LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
25-AUG-2004
|
|
| 168 |
|
|
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
|
|
| 169 |
|
|
RAHEEM AHMED
|
|
|
|
MMC EXPORTS LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
25-AUG-2004
|
|
| 170 |
|
|
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
|
| 171 |
|
|
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
|
| 172 |
|
|
RAJENDRA DOLATRAI SHAH
|
|
|
|
NIRPAN SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
15-DEC-2005
|
COMPOUNDED
|
| 173 |
|
|
RAJESH MAHESHWARI
|
|
|
|
VALLABH REFRACTORIES & CERAMICS PRODUCTS LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
DID NOT ADHERE TO ACCOUNTING STANDARDS IN PREPARATION OF ANNUAL ACCOUNTS (SECTION 211(3A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
DID NOT ADHERE TO PROVISIONS RELATED TO FURTHER ISSUE OF CAPITAL (SECTION 81(1))
DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))
|
PROSECUTION UNDER SECTION 147(2) & SECTION 168 & SECTION 162 & SECTION 210(5) & SECTION 211(7) & SECTION 217(5) & SECTION 629A & SECTION 209(5) & SECTION 209(7) OF COMPANIES ACT: PENALTY IMPOSED RS.62400
02-MAY-2005
|
-
|
| 174 |
|
|
RAJESH V.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
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))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: EACH DIRECTORS FINED RS.1000
18-JUL-2007
|
-
|
| 175 |
|
|
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
|
-
|
| 176 |
|
|
RAJESH V.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 291(1))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH
18-JUL-2007
|
-
|
| 177 |
|
|
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
|
-
|
| 178 |
|
|
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
|
-
|
| 179 |
|
|
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
|
| 180 |
|
|
RAJUL S.SHAH
|
|
|
|
NIRPAN SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
15-DEC-2005
|
COMPOUNDED
|
| 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 9 of 11
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