| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
A.K.DAGA
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 2 |
|
|
ARBIND SWAMY
|
|
|
|
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
|
|
| 3 |
|
|
ASHOKE VERMA
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 4 |
|
|
D.BALASUBRAMANIAM
|
|
|
|
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
|
|
| 5 |
|
|
DIRECTORS
|
|
|
|
MEENAKSHI MERCANTILES LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DID NOT LEGALISE INVESTMENTS MADE BEFORE COMMENCEMENT OF THE ACT WITHIN PRESCRIBED TIME LIMIT (SECTION 373)
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.2000
09-JUL-2004
|
|
| 6 |
|
|
EASO JOHN K.
|
|
|
|
TRAVANCORE PALACE RESORTS LTD.
|
|
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))
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.9000
11-NOV-2009
|
-
|
| 7 |
|
|
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
|
|
| 8 |
|
|
K.K.GEORGE
|
|
|
|
TRAVANCORE PALACE RESORTS LTD.
|
|
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))
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.9000
11-NOV-2009
|
-
|
| 9 |
|
|
K.L.ROY
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 10 |
|
|
K.R.N.SHENOY
|
|
|
|
FAIRGROWTH INVESTMENTS LTD.
|
|
INVESTED IN SHARES OF OTHER COMPANIES IN EXCESS OF PRESCRIBED LIMIT (SECTION 372(2))
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))
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.2500 EACH
25-APR-2003
|
|
| 11 |
|
|
K.U.JACOB
|
|
|
|
TRAVANCORE PALACE RESORTS LTD.
|
|
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))
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.9000
11-NOV-2009
|
-
|
| 12 |
|
|
N.D.DUBEY
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 13 |
|
|
P.M.RAMPURIA
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 14 |
|
|
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
|
|
| 15 |
|
|
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
|
|
| 16 |
|
|
SUBRATA MUKHERJEE
|
|
|
|
G R MAGNETS LTD.
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DEFAULTED IN RELATION TO INTER-CORPORATE LOANS & INVESTMENTS (SECTION 372A)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 374 & SECTION 372A(9) & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.8200
04-AUG-2003
|
|
| 17 |
|
|
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
|
|
| 18 |
|
|
UDAY SHANKAR R.M.
|
|
|
|
FAIRGROWTH INVESTMENTS LTD.
|
|
INVESTED IN SHARES OF OTHER COMPANIES IN EXCESS OF PRESCRIBED LIMIT (SECTION 372(2))
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))
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: PENALTY IMPOSED RS.2500 EACH
25-APR-2003
|
|
| 19 |
|
|
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. |
