| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
ABN GRANITES LTD.
|
|
|
|
K.S.NAIDU
|
|
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 209A(8) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 1 YEAR AND FINE NOT LESS THAN RS.50, 000 FROM 16-JUL-2003 (ST.756/2002)
16-JUL-2003
|
|
| 2 |
|
|
ADVENT SOFTWARE LTD.
|
|
|
|
DIRECTORS
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT ADHERE TO PROVISIONS OF MEMORANDUM & ARTICLES OF ASSOCIATION (SECTION 13(4))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
11-APR-2007
|
ACCUSED DIRECTORS CONVICTED
|
| 3 |
|
|
AHMED NAGAR CLUB LTD.
|
|
|
|
DIRECTORS
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DID NOT ADHERE TO PROVISIONS REGARDING CERTIFICATE TO BE ANNEXED WITH ANNUAL RETURN (SECTION 161)
NON-FILING OF THE RETURNS OF DIRECTORS, MANAGING DIRECTORS, MANAGERS AND SECRETARIES WITH THE REGISTRAR (SECTION 303(2))
DEFAULTED IN APPOINTMENT OF DIRECTORS AND PROPORTION OF THOSE WHO ARE TO RETIRE BY ROTATION (SECTION 255)
DID NOT FILE ANNUAL RETURN WITH REGISTRAR WITHIN PRESCRIBED TIME LIMIT BY COMPANY NOT HAVING SHARE CAPITAL (SECTION 160)
DID NOT CALL AND HOLD ANNUAL GENERAL MEETING IN MANNER PROVIDED UNDER SECTION 166(2)
DID NOT KEEP PROPER REGISTER OF MEMBERS (SECTION 150(1))
DEFAULTED IN KEEPING INDEX OF MEMBERS (SECTION 151)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
BALANCE SHEET AND PROFIT & LOSS ACCOUNT NOT APPROVED BY BOARD OF DIRECTORS AND/OR SIGNED AS PER PROVISION OF THE COMPANIES ACT (SECTION 215)
IMPROPER ISSUE, CIRCULATION OR PUBLICATION OF BALANCE SHEET OR PROFIT & LOSS ACCOUNT (SECTION 218)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
PROVIDED FALSE STATEMENTS IN RETURNS, REPORT, CERTIFICATE, BALANCE SHEET, PROSPECTUS, STATEMENT ETC. (SECTION 628)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
|
PROSECUTION UNDER SECTION 147 & SECTION 162 & SECTION 303(3) & SECTION 168 & SECTION 150(2) & SECTION 151(4) & SECTION 211(8) & SECTION 218 OF COMPANIES ACT: PENALTY IMPOSED RS.184000
18-JUL-2011
|
ALL ACCUSED CONVICTED
|
| 4 |
|
|
ANEJA PLYWOOD PVT.LTD.
|
|
|
|
HARDYAL ANEJA
|
|
|
HARVEEN KUMAR
|
|
|
MAHINDRA KUMAR
|
|
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
|
|
| 5 |
|
|
ARHAM CREDIT CAPITAL PVT.LTD.
|
|
|
|
DIRECTORS
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.7000
09-JUL-2004
|
|
| 6 |
|
|
ARVIND REMEDIES LTD.
|
|
|
|
ARAVIND
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 629A & SECTION 211(7) OF COMPANIES ACT: COMPOUNDED
15-SEP-2004
|
|
| 7 |
|
|
ASIAN HOTELS LTD.
|
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: COMPOUNDED BY CLB
03-JUL-2001
|
DISMISSED & WITHDRAWAL
|
| 8 |
|
|
AVONSKI SECURITIES LTD.
|
|
|
|
MAHADEO PRASAD BALASARIA
|
|
|
NORAJ KUMAR BALASARIA
|
|
|
UMED SINGH BAID
|
|
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
|
|
| 9 |
|
|
BAFFIN ENGINEERING PROJECTS LTD.
|
|
|
|
DIRECTORS
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
BALANCE SHEET AND PROFIT & LOSS ACCOUNT NOT APPROVED BY BOARD OF DIRECTORS AND/OR SIGNED AS PER PROVISION OF THE COMPANIES ACT (SECTION 215)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.3000
07-JAN-2009
|
CONVICTED
|
| 10 |
|
|
BIS ETHENOL 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
27-APR-2004
|
DISMISSED AS COMPOUNDED U/S 621A(4)(D)
|
| 11 |
|
|
BIYANI SECURITIES PVT.LTD.
|
|
|
|
ALOKE BIYANI
|
|
|
GOVIND KANODIA
|
|
|
RADHESHYAM KARNANI
|
|
|
RAVINDRA BIYANI
|
|
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
|
|
| 12 |
|
|
CAVINCARE LTD.
|
|
|
|
C.K.RANGANATHAN
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: IMPRISONMENT OF EVERY CONCERNED PERSON UPTO 6 MONTHS OR FINE OF UPTO RS.10, 000 OR BOTH
22-AUG-2003
|
PROCEEDING QUASHED BY HIGH COURT, MADRAS
|
| 13 |
|
|
CHANDRA PRABHU INTERNATIONAL LTD.
|
|
|
|
GAJRAJ JAIN
|
|
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 209(5) & SECTION 211(7) OF COMPANIES ACT: NO PENALTY IMPOSED
07-APR-2005
|
DISMISSED AS COMPOUNDED U/S 621A(4) (D)
|
| 14 |
|
|
CLASSIC CREDIT LTD.
|
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KETAN VINAYCHANDRA PAREKH
|
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 629A & SECTION 217(5) & SECTION 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.6800
20-APR-2005
|
|
| 15 |
|
|
CLASSIC INDIA PVT.LTD.
|
|
|
|
DIRECTORS
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.1000
09-JUL-2004
|
|
| 16 |
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
|
|
|
|
B.R.CHATTERJEE
|
|
|
GIRISH NADKAMI
|
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
KAUSHIK CHHOTALAL SHAH
|
|
|
MUKESH JOSHI
|
|
|
VIJAY PANDYA
|
|
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
|
|
| 17 |
|
|
COMET GLASS LTD.
|
|
|
|
PARDEEP KUMAR AGARWAL
|
|
|
PRAMOD KUMAR AGARWAL
|
|
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
|
COMPOUNDED BY CLB
|
| 18 |
|
|
CONTINENTAL CONSTRUCTION LTD.
|
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT INCLUDE PARTICULARS OF EMPLOYEES IN BOARD'S REPORT (SECTION 217(2A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 211(7) & SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
27-AUG-2004
|
DISMISSED AS COMPOUNDED U/S 621A(4)(D)
|
| 19 |
|
|
DEO JONES INVESTMENT & CONSULTANTS PVT.LTD.
|
|
|
|
GOPAL SINGHANIA
|
|
|
SANDEEP KUMAR JAIN
|
|
|
SANJAY KUMAR JAIN
|
|
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
|
|
| 20 |
|
|
ELGI FINANCE LTD.
|
|
|
|
MANAGING DIRECTOR
|
|
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
|
BOTH THE COMPLAINANT AND ACCUSED FILED APPEAL BEFORE THE DISTRICT JUDGE,COIMBATORE
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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