| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 101 |
|
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
|
|
| 102 |
|
|
GIRISH NADKAMI
|
|
|
|
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
|
|
| 103 |
|
|
GOVIND KANODIA
|
|
|
|
BIYANI SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
DID NOT KEEP REGISTER OF DIRECTORS OR FAILED TO FILE WITH THE REGISTRAR, RETURN OF DIRECTORS, MANAGING DIRECTOR, MANAGER AND SECRETARY (SECTION 303)
DEFAULTED IN FORM & CONTENTS OF BALANCE SHEET AND PROFIT & LOSS ACCOUNT (SECTION 211)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 629A & SECTION 303(3) & SECTION 211(7) & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.17000
18-JUL-2002
|
|
| 104 |
|
|
HARENDRA DOLATRAI SHAH
|
|
|
|
NIRPAN SECURITIES PVT.LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
15-DEC-2005
|
COMPOUNDED
|
| 105 |
|
|
HARENDRA DOLATRAI SHAH
|
|
|
|
NIRPAN SECURITIES PVT.LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
DISPOSED ON 07/12/2006
|
| 106 |
|
|
HARENDRA DOLATRAI SHAH
|
|
|
|
DOLAT CAPITAL MARKET PVT.LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
02-SEP-2004
|
COMPOUNDED
|
| 107 |
|
|
HARSHA HARENDRA SHAH
|
|
|
|
DOLAT CAPITAL MARKET PVT.LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
02-SEP-2004
|
COMPOUNDED
|
| 108 |
|
|
INDRAJIT BOSE
|
|
|
|
MMC EXPORTS LTD.
|
|
DID NOT ADHERE TO PROVISIONS REGARDING APPOINTMENT OF MANAGING OR WHOLE-TIME DIRECTOR OR MANAGER (SECTION 269)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.4000
25-AUG-2004
|
|
| 109 |
|
|
J.BISWAS
|
|
|
|
STONE INDIA LTD.
|
|
DID NOT KEEP PROPER REGISTER OF MEMBERS (SECTION 150(1))
DELIVERED DEBENTURE/CERTIFICATE OF DEBENTURE STOCK WITHOUT ENDORSEMENT OF CERTIFICATES OF REGISTRATION (SECTION 133)
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)
REGISTRATION OF TRANSFER OF SHARES ETC. IN CONTRAVENTION OF PROVISIONS OF COMPANIES ACT (SECTION 108)
|
PROSECUTION UNDER SECTION 150(2) & SECTION 133(2) & SECTION 193(6) & SECTION 301(4) & SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
09-AUG-2004
|
|
| 110 |
|
|
JAMELLA
|
|
|
|
PALMGROVE EXPORTS PVT.LTD.
|
|
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN FILING ANNUAL RETURNS (SECTION 159)
DEFAULTED IN FILING OF COPIES OF BALANCE SHEET, ETC. WITH THE REGISTRAR (SECTION 220)
DEFAULTED IN NOTIFICATION OF REGISTERED OFFICE OF COMPANY OR OF CHANGES THERETO (SECTION 146)
DID NOT PRODUCE FOR INSPECTION BOOKS AND PAPERS, FURNISH INFORMATION OR EXPLANATIONS AND PROVIDE ASSISTANCE (SECTION 209A)
|
PROSECUTION UNDER SECTION 629A & SECTION 168 & SECTION 162 & SECTION 220(3) & SECTION 209A(8) OF COMPANIES ACT: PENALTY IMPOSED RS.24000
01-SEP-2004
|
|
| 111 |
|
|
JAMSHEED M.PANDEY
|
|
|
|
GREAT WESTERN FINANCE & LEASING LTD.
|
|
DEFAULTED IN RESPECT OF PLACE OF KEEPING & INSPECTION OF REGISTERS & RETURNS (SECTION 163)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1000 EACH
16-JUL-2004
|
|
| 112 |
|
|
JIMMY JAL GAZDAR
|
|
|
|
COCHIN MALABAR ESTATES & INDUSTRIES LTD.
|
|
DID NOT HOLD BOARD MEETING AT PROPER INTERVALS (SECTION 285)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.3200
20-JUL-2005
|
-
|
| 113 |
|
|
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
|
|
| 114 |
|
|
K.R.N.SHENOY
|
|
|
|
FAIRGROWTH INVESTMENTS LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.400 EACH
25-APR-2003
|
|
| 115 |
|
|
K.R.N.SHENOY
|
|
|
|
FAIRGROWTH INVESTMENTS LTD.
|
|
DECLARATION/PAYMENT OF DIVIDEND BY COMPANY WITHOUT TRANSFERRING PRESCRIBED PERCENTAGE OF PROFITS TO RESERVES (SECTION 205(2A))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.400 EACH
25-APR-2004
|
|
| 116 |
|
|
K.S.NAIDU
|
|
|
|
ABN GRANITES LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.1500 EACH(ST.765/2002, UNDER 297(1))
26-SEP-2003
|
|
| 117 |
|
|
K.S.SIMON
|
|
|
|
UNITED TROPICAL VENEERS LTD.
|
|
DID NOT OBTAIN SANCTION OF BOARD OF DIRECTORS FOR CERTAIN CONTRACTS IN WHICH PARTICULAR DIRECTORS ARE INTERESTED (SECTION 297)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.16000
08-MAR-2006
|
-
|
| 118 |
|
|
KAILASH CHAND DUJARI
|
|
|
|
SIDH EQUIPMENT LEASINGS LTD.
|
|
DEFAULTED IN RELATION TO APPOINTMENT AND REMUNERATION OF AUDITORS (SECTION 224)
DID NOT APPOINT WHOLE-TIME SECRETARY (SECTION 383A(1))
|
PROSECUTION UNDER SECTION 629A & SECTION 383A(1A) OF COMPANIES ACT: PENALTY IMPOSED RS.10000
05-APR-2002
|
|
| 119 |
|
|
KAMAL SINGH NAHATA
|
|
|
|
MEGATOP EXPORT LTD.
|
|
DEFAULTED IN RESPECT OF PLACE OF KEEPING & INSPECTION OF REGISTERS & RETURNS (SECTION 163)
DEFAULTED WITH REFERENCE TO ANNUAL GENERAL MEETING (SECTION 166)
DEFAULTED IN PUBLICATION OF NAME BY COMPANY OUTSIDE ITS REGISTERED OFFICE (SECTION 147)
|
PROSECUTION UNDER SECTION 629A & SECTION 168 & SECTION 147(2) OF COMPANIES ACT: PENALTY IMPOSED RS.10600
07-AUG-2004
|
|
| 120 |
|
|
KAMALESH TRIPATHI
|
|
|
|
TERRESTRIAL FINANCE LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,WHICH IS TO BE EXERCISED BY THE COMPANY IN GENERAL MEETING (SECTION 291)
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
18-MAR-2002
|
|
| 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 6 of 11
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