| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
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
|
| 2 |
|
|
HINDUSTAN FINANCIAL MANAGEMENT LTD.
|
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
ISSUED PROSPECTUS CONTAINING UNTRUE STATEMENTS (SECTION 62)
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
DID NOT MAINTAIN REGISTER OF CONTRACTS, COMPANIES AND FIRMS IN WHICH DIRECTORS ARE INTERESTED (SECTION 301)
IMPROPER ISSUE, CIRCULATION OR PUBLICATION OF BALANCE SHEET OR PROFIT & LOSS ACCOUNT (SECTION 218)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
EXERCISED POWERS BY BOARD OF DIRECTORS,WHICH IS TO BE EXERCISED BY THE COMPANY IN GENERAL MEETING (SECTION 291)
|
PROSECUTION UNDER SECTION 211(7) & SECTION 62 & SECTION 374 & SECTION 301(4) & SECTION 218 & SECTION 193(6) & SECTION 629A OF COMPANIES ACT: 621-A COMPOUNDED BY CLB
08-JUL-2002
|
DISMISSED & WITHDRAWAL
|
| 3 |
|
|
KHAITAN OVERSEAS & FINANCE LTD.
|
|
|
|
D.N.GUPTA
|
|
|
PESI M.NAVIELAVELA
|
|
|
PRADEEP BOILTY
|
|
|
TAPAN KUMAR RAY
|
|
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
|
-
|
| 4 |
|
|
UPPAL HOTELS PVT.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)
|
PROSECUTION UNDER SECTION 629A & SECTION 218 OF COMPANIES ACT: NO PENALTY IMPOSED
15-SEP-2004
|
DISMISSED AS COMPOUNDED U/S 621A(4)(D)
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
