| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
FAIRGROWTH INVESTMENTS LTD.
|
|
|
|
K.R.N.SHENOY
|
|
|
UDAY SHANKAR R.M.
|
|
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
|
-
|
| 2 |
|
|
G R MAGNETS LTD.
|
|
|
|
A.K.DAGA
|
|
|
ASHOKE VERMA
|
|
|
K.L.ROY
|
|
|
N.D.DUBEY
|
|
|
P.M.RAMPURIA
|
|
|
SUBRATA MUKHERJEE
|
|
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
|
|
| 3 |
|
|
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
|
| 4 |
|
|
JINDAL HEALTHCARE PVT.LTD.
|
|
|
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
|
PROSECUTION UNDER SECTION 383A(1A) & SECTION 374 OF COMPANIES ACT: 621-A COMPOUNDED BY CLB
26-FEB-2002
|
DISMISSED & WITHDRAWAL
|
| 5 |
|
|
MEENAKSHI MERCANTILES LTD.
|
|
|
|
DIRECTORS
|
|
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 |
|
|
MIDEAST (INDIA) LTD.
|
|
|
DEFAULTED IN PURCHASE BY COMPANY OF SHARES, ETC., OF OTHER COMPANIES (SECTION 372)
|
PROSECUTION UNDER SECTION 374 OF COMPANIES ACT: NO PENALTY IMPOSED
29-JAN-2005
|
DISMISSED U/S 621A(4)(D)
|
| 7 |
|
|
PRUDENTIAL EQUITY FUND LTD.
|
|
|
|
ARBIND SWAMY
|
|
|
SAMBHU PRASAD KEDIA
|
|
|
SUSIL KUMAR DAS
|
|
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
|
|
| 8 |
|
|
STERLING TREE-MAGNUM (INDIA) LTD.
|
|
|
|
D.BALASUBRAMANIAM
|
|
|
G.RAJAN
|
|
|
R.SUBRAMANIAN
|
|
|
V.N.PARI
|
|
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
|
|
| 9 |
|
|
TRAVANCORE PALACE RESORTS LTD.
|
|
|
|
EASO JOHN K.
|
|
|
K.K.GEORGE
|
|
|
K.U.JACOB
|
|
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
|
-
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
