| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 61 |
|
HARVEEN KUMAR
|
|
|
|
ANEJA PLYWOOD PVT.LTD.
|
|
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
|
|
| 62 |
|
|
I.BANERJEE
|
|
|
|
INDAL EXPORTS 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
14-JAN-2002
|
|
| 63 |
|
|
JAGADISH PRASAD BHORA
|
|
|
|
PRUDENTIAL INTERNATIONAL LTD.
|
|
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 211(7) & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.2400
16-MAY-2003
|
|
| 64 |
|
|
JAI PARKASH BHATT
|
|
|
|
PRUDENTIAL CAPITAL MARKETS LTD.
|
|
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
20-MAY-2005
|
|
| 65 |
|
|
JAIRAM VARADHARAJ
|
|
|
|
ELGI FINANCE LTD.
|
|
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: COMPANY APPEAL ALLOWED AGAINST THE ORDER OF THE LOWER COURT CRP DISMISSED
03-DEC-2004
|
REPORT BEING SENT TO RD FOR FILING APPEAL
|
| 66 |
|
|
JAMSHEED M.PANDEY
|
|
|
|
LAKSHMI VIJAYAM INVESTMENTS PVT.LTD.
|
|
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.500 EACH ON DIRECTORS
16-JUL-2004
|
|
| 67 |
|
|
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
|
|
| 68 |
|
|
K.E.MOIDU
|
|
|
|
P.K.STEEL CASTINGS PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.4200
03-FEB-2005
|
-
|
| 69 |
|
|
K.E.MOIDU
|
|
|
|
P.K.STEEL CASTINGS PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.4200
03-FEB-2005
|
-
|
| 70 |
|
|
K.E.SHANAVAZ
|
|
|
|
P.K.STEEL CASTINGS PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.4200
03-FEB-2005
|
-
|
| 71 |
|
|
K.E.SHANAVAZ
|
|
|
|
P.K.STEEL CASTINGS PVT.LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.4200
03-FEB-2005
|
-
|
| 72 |
|
|
K.K.BAJORIA
|
|
|
|
WILLARD INDIA LTD.
|
|
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 211(7) & SECTION 209(5) OF COMPANIES ACT: PENALTY IMPOSED RS.9800
19-MAY-2000
|
|
| 73 |
|
|
K.K.SINGH
|
|
|
|
KANAN STEELS LTD.
|
|
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
|
PROSECUTION UNDER SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.6000
03-FEB-2004
|
|
| 74 |
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
|
|
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
|
|
| 75 |
|
|
KARTIK KIRTIKUMAR PAREKH
|
|
|
|
CLASSIC CREDIT LTD.
|
|
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
|
|
| 76 |
|
|
KAUSHIK CHHOTALAL SHAH
|
|
|
|
CLASSIC SHARE & STOCK BROKING SERVICES LTD.
|
|
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
|
|
| 77 |
|
|
KETAN VINAYCHANDRA PAREKH
|
|
|
|
CLASSIC CREDIT LTD.
|
|
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
|
|
| 78 |
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
|
CLASSIC CREDIT LTD.
|
|
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
|
|
| 79 |
|
|
KIRTIKUMAR NARBHERAM PAREKH
|
|
|
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
|
|
| 80 |
|
|
KISHORE MOHAN
|
|
|
|
R.H.I.PROFILES LTD.
|
|
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 209(5) & SECTION 211(7) OF COMPANIES ACT: PENALTY IMPOSED RS.7500
01-MAR-2004
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
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| Page 4 of 9
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