| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 81 |
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
COMMENCED BUSINESS WITHOUT COMPLYING WITH CONDITIONS PRESCRIBED UNDER COMPANIES ACT (SECTION 149 (2A))
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 292 (1) (C))
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 149(2A) & SECTION 629A & SECTION 211(7) & SECTION 217(5) OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 82 |
|
|
N.UDAYABHANU
|
|
|
|
SANTHIGIRI PHARMA CARE LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.950 EACH(ST.127/2002)
07-OCT-2002
|
|
| 83 |
|
|
NANDLAL M.MORE
|
|
|
|
GRAUER & WEIL (INDIA) LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
COMPOUNDED & DISPOSED ON 15/3/2007
|
| 84 |
|
|
NIRAJKUMAR U.MORE
|
|
|
|
GRAUER & WEIL (INDIA) LTD.
|
|
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
COMPOUNDED & DISPOSED ON 15/3/2007
|
| 85 |
|
|
NIRMAL SINGH BHANGOO
|
|
|
|
PGF LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 209(5) & SECTION 209(7) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
16-SEP-2004
|
|
| 86 |
|
|
P.J.ANTONY
|
|
|
|
INNOVATIVE MARINE FOODS LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.1500 EACH(ST.176/2000)
05-FEB-2003
|
|
| 87 |
|
|
P.SEETHARAMAN
|
|
|
|
CONCERT SPICES & EXPORTS LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.4000
25-MAR-2008
|
-
|
| 88 |
|
|
P.SEETHARAMAN
|
|
|
|
CONCERT SECURITIES LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
04-JUL-2006
|
-
|
| 89 |
|
|
P.VALSALA
|
|
|
|
MALABAR ORGANICS LTD.
|
|
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.1000 EACH(ST.78/2000)
08-NOV-2000
|
|
| 90 |
|
|
PADMA DEVI MAHESHWARI
|
|
|
|
VALLABH REFRACTORIES & CERAMICS PRODUCTS LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
DID NOT ADHERE TO ACCOUNTING STANDARDS IN PREPARATION OF ANNUAL ACCOUNTS (SECTION 211(3A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
DID NOT ADHERE TO PROVISIONS RELATED TO FURTHER ISSUE OF CAPITAL (SECTION 81(1))
DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))
|
PROSECUTION UNDER SECTION 147(2) & SECTION 168 & SECTION 162 & SECTION 210(5) & SECTION 211(7) & SECTION 217(5) & SECTION 629A & SECTION 209(5) & SECTION 209(7) OF COMPANIES ACT: PENALTY IMPOSED RS.62400
02-MAY-2005
|
-
|
| 91 |
|
|
PANKAJ DOLATRAI SHAH
|
|
|
|
DOLAT CAPITAL MARKET PVT.LTD.
|
|
DID NOT INCLUDE PARTICULARS OF EMPLOYEES IN BOARD'S REPORT (SECTION 217(2A))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: NO PENALTY IMPOSED
19-AUG-2004
|
COMPOUNDED
|
| 92 |
|
|
PANKAJ DUBEY
|
|
|
|
VALLABH REFRACTORIES & CERAMICS PRODUCTS LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
DID NOT ADHERE TO ACCOUNTING STANDARDS IN PREPARATION OF ANNUAL ACCOUNTS (SECTION 211(3A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
DID NOT ADHERE TO PROVISIONS RELATED TO FURTHER ISSUE OF CAPITAL (SECTION 81(1))
DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))
|
PROSECUTION UNDER SECTION 147(2) & SECTION 168 & SECTION 162 & SECTION 210(5) & SECTION 211(7) & SECTION 217(5) & SECTION 629A & SECTION 209(5) & SECTION 209(7) OF COMPANIES ACT: PENALTY IMPOSED RS.62400
02-MAY-2005
|
-
|
| 93 |
|
|
PAWAN KUMAR JAIN
|
|
|
|
QST LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.5600
19-JUN-2002
|
PENALTY AMOUNT OF RS.5,600.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820308 TO 820314 DATED 19/06/2002
|
| 94 |
|
|
PESI M.NAVIELAVELA
|
|
|
|
KHAITAN OVERSEAS & FINANCE 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)
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
|
|
| 95 |
|
|
PRADEEP BOILTY
|
|
|
|
KHAITAN OVERSEAS & FINANCE 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)
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
|
|
| 96 |
|
|
PRADEEP JAIN
|
|
|
|
I G PETROCHEMICALS LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: CASE HAS NOT YET BEEN DECIDED
17-JUN-2004
|
|
| 97 |
|
|
PREM SETH
|
|
|
|
PGF LTD.
|
|
DEFAULTED IN KEEPING BOOKS OF ACCOUNT BY THE COMPANY (SECTION 209)
DID NOT MAINTAIN BOOKS OF ACCOUNTS ON ACCRUAL BASIS AND ACCORDING TO DOUBLE ENTRY SYSTEM OF ACCOUNTING (SECTION 209(3)(B))
DEFAULTED IN REPORT OF BOARD OF DIRECTORS (SECTION 217)
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 209(5) & SECTION 209(7) & SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
16-SEP-2004
|
|
| 98 |
|
|
R.K.AGARWAL
|
|
|
|
QST LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.5600
19-JUN-2002
|
PENALTY AMOUNT OF RS.5,600.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820308 TO 820314 DATED 19/06/2002
|
| 99 |
|
|
R.K.JAIN
|
|
|
|
QST LTD.
|
|
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
|
PROSECUTION UNDER SECTION 217(5) OF COMPANIES ACT: PENALTY IMPOSED RS.5600
19-JUN-2002
|
PENALTY AMOUNT OF RS.5,600.00 PAID BY COMPANY ON 19/06/2002 VIDE RECEIPTS NO.820308 TO 820314 DATED 19/06/2002
|
| 100 |
|
|
RAJESH MAHESHWARI
|
|
|
|
VALLABH REFRACTORIES & CERAMICS PRODUCTS LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY THE COMPANY (SECTION 147(1))
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED WITH REFERENCE TO ANNUAL ACCOUNTS AND BALANCE SHEET (SECTION 210)
DID NOT ADHERE TO ACCOUNTING STANDARDS IN PREPARATION OF ANNUAL ACCOUNTS (SECTION 211(3A))
DID NOT PROVIDE FULLEST EXPLANATIONS AND INFORMATION UPON ANY QUALIFICATIONS GIVEN BY AUDITORS IN BOARD'S REPORT (SECTION 217(3))
DID NOT PREPARE BALANCE SHEET SHOWING TRUE & FAIR VIEW (SECTION 211(1) R/W SCH.VI)
DID NOT ADHERE TO PROVISIONS RELATED TO FURTHER ISSUE OF CAPITAL (SECTION 81(1))
DID NOT KEEP PROPER BOOKS OF ACCOUNTS AT REGISTERED OFFICE OF THE COMPANY (SECTION 209(1))
|
PROSECUTION UNDER SECTION 147(2) & SECTION 168 & SECTION 162 & SECTION 210(5) & SECTION 211(7) & SECTION 217(5) & SECTION 629A & SECTION 209(5) & SECTION 209(7) OF COMPANIES ACT: PENALTY IMPOSED RS.62400
02-MAY-2005
|
-
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 5 of 7
|
