The Registrar of Companies (ROC), Kanpur, issued an Adjudication Order (dated 14/10/2025) imposing a substantial financial penalty on EAST ALPHA ALLIANCE TECHNOLOGY PRIVATE LIMITED and its two current directors, Zhenghua Li and Lun Tian. The order addresses a serious violation of Section 168(1) of the Companies Act, 2013, which mandates a company to file Form DIR-12 with the ROC upon the resignation of a director. An official inquiry revealed that while Director Sunny Kumar filed his resignation (DIR-11) effective March 1, 2020, and the Board confirmed it on March 2, 2020, the company failed to file the corresponding DIR-12 form with the Registrar. This administrative non-compliance resulted in penal action being initiated under Section 172 of the Act, the residual penalty provision for Chapter XI (Appointment and Qualifications of Directors), which provides for penalties up to ₹3 lakh for the company and ₹1 lakh for each officer in default.
The ROC initiated the adjudication process by issuing a Show Cause Notice (SCN) on August 20, 2025. The order explicitly notes that the company and the two officers in default—Mr. Li and Mr. Tian—did not submit any response to the SCN nor did they request a formal hearing, even after the mandatory 15-day period had elapsed. Based on the confirmed default and the lack of communication from the noticees, the Adjudicating Officer proceeded to impose the maximum penalty permissible under Section 172. The company was penalized ₹3,00,000, and each of the two officers in default was individually penalized ₹1,00,000. The total penalty imposed in this matter for the non-filing of the director’s cessation form is ₹5,00,000.
The ROC order requires the penalized entities to take immediate steps to rectify the default—namely, by immediately filing the outstanding DIR-12 form—and pay the imposed penalties within 90 days of receiving the order. It is specified that the directors must pay their fines from their personal sources/income utilizing the Ministry of Corporate Affairs’ ‘e-Adjudication’ facility. The order concludes by stating that the company and directors may appeal the decision to the Regional Director, RD Noida, within sixty days using Form ADJ, while concurrently emphasizing the consequences detailed in Section 454(8) for failure to comply with the penalty payment deadline.
GOVERNMENT OF INDIA
MINISTRY OF CORPORATE AFFAIRS
ROC Kanpur
Registrar of Companies, 37/17, Westcottt Buidling, The Mall, Kanpur, Uttar Pradesh, India, 208001
Phone: 0512-2310443,2310227,2310323
E-mail: roc.kanpur@mca.gov.in
Order ID: PO/ADJ/10-2025/KN/00766 Dated: 14/10/2025
ORDER FOR ADJUDICATION OF PENALTY UNDER SECTION 454 OF THE COMPANIES ACT, 2013 (‘THE ACT’) FOR VIOLATION OF SECTION 172 OF THE COMPANIES ACT, 2013.
A. Appointment of Adjudicating Officer:
Ministry of Corporate Affairs vide its Gazette notification number S.O. 831(E) dated 24/03/2015 appointed undersigned as Adjudicating Officer in exercise of the powers conferred by section 454 of the Companies Act, 2013 [herein after known as Act] read with Companies (Adjudication of Penalties) Rules, 2014 for adjudging penalties under the provisions of this Act.
B. Company details:
In the matter relating to EAST ALPHA ALLIANCE TECHNOLOGY PRIVATE LIMITED [herein after known as Company] bearing CIN U74110UP2017PTC093229, is a company registered with this office under the Provisions of the Companies Act, 2013/1956 having its registered office situated at F-304,GROUND FLOOR SECTOR-63 F-304,GROUND FLOOR SECTOR-63 NOIDA GAUTAM BUDDHA NAGAR UTTAR PRADESH INDIA 201301
Individual details:
In the matter relating to ZHENGHUA LI [herein after known as individual] having DIN 07793107 and having its address at BLOCK F 304 SECTOR 63, GAUTAM BUDDHA NAGAR NOIDA UTTAR PRADESH INDIA 201301
In the matter relating to LUN TIAN [herein after known as individual] having DIN 08672416 and having its address at GROUP 2 GUANYINBEI VILLAGE, SHIDONG TOWNSHIP MIANYANG CITY, SICHUAN PROVINCE CHINA. CHINA NA CHINA 0
C. Provisions of the Act:
If a company is in default in complying with any of the provisions of this Chapter and for which no specific penalty or punishment is provided therein, the company and every officer of the company who is in default shall be liable to a penalty of fifty thousand rupees, and in case of continuing failure, with a further penalty of five hundred rupees for each day during which such failure continues, subject to a maximum of three lakh rupees in case of a company and one lakh rupees in case of an officer who is in default.
D. Facts about the case:
1. Default committed by the officers in default/noticee – Whereas Ministry vide letter No.F.No.3/211/2020-CL-II(NR) dated 28.10.2020 and subsequent letter No. ROC/Secret Reference/ Inquiry/4852 dated 05.08.2022 gave instructions to conduct the Inquiry U/s 206(4) of the Companies Act, 2013. The Inquiry Officer (IO) has observed from the documents available at MCA-21 that Mr. Sunny Kumar (DIN-07793089) director of the company has resigned from the company w.e.f. 01.03.2020 by filing DIR-11 vide SRN-T57572570 dated 03.11.2021 and Board of directors of the company has confirmed resignation of Mr. Sunny Kumar in the board meeting held as on 02.03.2020 through video conferencing and passed the board resolution as per the attachments of certified true copy of Board Resolution in form DIR-11. However, the company has not filed DIR-12 to Registrar of Companies U/s 168(1) of the Companies Act, 2013. Hence it is violation of section 168(1) of the Companies Act, 2013. The report in this regard furnished to the Regional Director, Northern Region for the said noncompliance. The O/o DGCoA vide its letter.No.3/211/2020-CL-II(NR) dated 20.05.2024 has accorded the penal action under section 172 read with 168(1) of the Companies Act, 2013. The Company and Mr. Zhenghua Li, Lun Tian its Directors are officers in default as per section 2(60), of the Companies Act, 2013 and are thus liable for penal provisions.
2. Neither any response has been received from the company and its officer-in-default nor any request of hearing received in this regard.
E. Order:
1. This office issued Show Cause Notice on 20.08.2025 to the company and its officer-in-default as the Company has failed to file DIR-12 in respect of resignation of its director Mr. Sunny Kumar with the Registrar of Companies in terms of Section 168(1) of the Companies Act, 2013.
More than 15 days have expired from issue of Show Cause Notice, no response has been received till date. The company and its officer-in-default have also not requested for hearing. In the said circumstances, penalty as applicable as mentioned below is being imposed as per Section 172 of the Companies Act, 2013.
2. The details of penalty imposed on the company, officers in default and others are shown in the table below:
| (A) | Name of person on whom penalty imposed (B) | Rectification of Default required (C) | Penalty Amount (D) | Additional Penalty (E) (*Per day of continuing default i.e. date of rectification of default less order issue date) | Maximum limit for Penalty (F) |
| 1 | EAST ALPHA ALLIANCE TECHNOLOGY PRIVATE LIMITED having CIN as U74110UP2017P TC093229 | 300000 | 0 | 300000 | |
| 2 | ZHENGHUA LI having DIN as
07793107 |
100000 | 0 | 100000 | |
| 3 | LUN TIAN having DIN as 08672416 | 100000 | 0 | 100000 |
3. The notified officers in default/noticee shall rectify the default mentioned above and pay the penalty, so applicable within 90 days of receipt of the order.
4. The notified officers in default/noticee shall pay the penalty amount via ‘e-Adjudication’ facility which can be accessed through the respective login IDs on the website of Ministry of Corporate Affairs and upload the copy of paid challan / SRN of e-filing (if applicable) on the ‘e-Adjudication’ portal itself. It is also directed that the penalty so imposed upon the officers in default shall be paid from their personal sources/income.
5. Appeal against this order may be filed in writing with the Regional Director, RD Noida within a period of sixty days from the date of receipt of this order, in Form ADJ setting for the grounds of appeal and shall be accompanied by a certified copy of this order [Section 454 (5) & 454 (6) of the Act, read with Companies (Adjudication of Penalties) Rules, 2014].
6. For penal consequences of non-payment of penalty within the prescribed time limit, please refer Section 454(8) of the Companies Act, 2013.
Sanjay Bose,
Registrar of Companies
ROC Kanpur
