| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 1 |
|
DIRECTOR
|
|
|
|
LESHA STEELS LTD.
|
|
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
|
PROSECUTION UNDER SECTION 233 OF COMPANIES ACT: PENALTY IMPOSED RS.3000
06-FEB-2006
|
-
|
| 2 |
|
|
DIRECTOR
|
|
|
|
SHIVAM APPERALS EXPORT LTD.
|
|
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
|
PROSECUTION UNDER SECTION 232 OF COMPANIES ACT: PENALTY IMPOSED RS.650
12-AUG-2008
|
CONVICTED
|
| 3 |
|
|
G.D.MAHESHWARI
|
|
|
|
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
|
|
| 4 |
|
|
K.B.AGARWAL
|
|
|
|
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
|
|
| 5 |
|
|
MANISH MUDGAL
|
|
|
|
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
|
|
| 6 |
|
|
MUKUL AGARWAL
|
|
|
|
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
|
|
| 7 |
|
|
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
|
|
| 8 |
|
|
S.L.GUPTA
|
|
|
|
PROFITCORE PIPES LTD.
|
|
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
|
PROSECUTION UNDER SECTION 232 OF COMPANIES ACT: PENALTY IMPOSED RS.1000
30-MAR-2005
|
-
|
| 9 |
|
|
VINOD CHANDIOK
|
|
|
|
JET AIRWAYS (INDIA) LTD.
|
|
NON-FULFILMENT OF DUTIES BY AUDITOR (SECTION 227)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
04-FEB-2005
|
DISMISSED AS WITHDRAWN IN VIEW OF DEPART/MINISTRY ORDER LETTER DATED 27.01.05
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
