| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 121 |
|
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
|
|
| 122 |
|
|
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
|
|
| 123 |
|
|
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
|
|
| 124 |
|
|
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
|
|
| 125 |
|
|
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
|
|
| 126 |
|
|
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
|
|
| 127 |
|
|
KISHORE M.BANG
|
|
|
|
BAMA SECURITIES 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
06-JAN-2003
|
COMPOUNDED
|
| 128 |
|
|
M.HARIDASAN
|
|
|
|
PRASASTHI HOTELS & MOVIES LTD.
|
|
DID NOT APPROVE ANNUAL ACCOUNTS OF COMPANY BY BOARD & DIRECTORS BEFORE SIGNING AND SUBMITTING THESE TO AUDITORS (SECTION 215(3))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: PENALTY IMPOSED RS.7000
23-MAR-2005
|
-
|
| 129 |
|
|
M.M.ANTO
|
|
|
|
HIVEE RUBBER PRODUCTS PVT.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: PENALTY IMPOSED RS.3000
08-SEP-2004
|
-
|
| 130 |
|
|
MADHAV GURUVA ANCHAN
|
|
|
|
NAVIN INDUSTRIES & MERCANTILE CORP.PVT.LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,OTHERWISE THAN AT MEETINGS BY WAY OF RESOLUTIONS (SECTION 292)
DID NOT ADHERE TO PROVISIONS REGARDING MINUTES OF PROCEEDINGS OF GENERAL MEETINGS, BOARD MEETINGS & OTHER MEETINGS (SECTION 193)
|
PROSECUTION UNDER SECTION 629A & SECTION 193(6) OF COMPANIES ACT: PENALTY IMPOSED RS.1200
29-JUL-2003
|
|
| 131 |
|
|
MAITREYA V.DOSHI
|
|
|
|
PREMIER AUTOMOBILES LTD.,THE
|
|
DID NOT ADHERE TO CLB ORDER REGARDING DISQUALIFICATION OF DIRECTOR (SECTION 274(1)(G))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: NO PENALTY IMPOSED
08-AUG-2007
|
DISMISSED ON 15/12/2006
|
| 132 |
|
|
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
|
|
| 133 |
|
|
MANMOHAN R.SHETTY
|
|
|
|
ADLABS FILMS 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
21-JUN-2006
|
COMPOUNDED
|
| 134 |
|
|
MARIAMMA 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
|
-
|
| 135 |
|
|
MD.AHSHLAM
|
|
|
|
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
|
|
| 136 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES 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: COMPANY AND DIRECTORS FINED RS.1000 EACH
18-JUL-2007
|
-
|
| 137 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
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))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: EACH DIRECTORS FINED RS.1000
18-JUL-2007
|
-
|
| 138 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
DID NOT EXERCISE GENERAL POWERS IN ACCORDANCE WITH PROVISIONS OF COMPANIES ACT/ANY OTHER APPLICABLE ACT/MEMORANDUM & ARTICLES OF ASSOCIATION ETC. (SECTION 291(1))
|
PROSECUTION UNDER SECTION 629A OF COMPANIES ACT: COMPANY AND DIRECTORS FINED RS.1000 EACH
18-JUL-2007
|
-
|
| 139 |
|
|
MUKESH B.JAIN
|
|
|
|
PUSHPA PACKAGES LTD.
|
|
EXERCISED POWERS BY BOARD OF DIRECTORS,WHICH IS TO BE EXERCISED BY THE COMPANY IN GENERAL MEETING (SECTION 291)
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: COMPANY AND DIRECTORS FINED RS.1000 EACH IN EACH CASE
30-JUL-2008
|
-
|
| 140 |
|
|
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
|
-
|
| 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 7 of 11
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