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Compliance Checklist For NBFC

This document provides a checklist of annual, monthly, and periodic compliance requirements for a non-deposit taking Non-Banking Financial Company (NBFC) with the Reserve Bank of India and National Stock Exchange of India. It lists 7 annual compliance items due on or before June 30th including filing audited financial statements. It also lists monthly requirements to submit returns by the 7th of each month and periodic requirements for director appointments and resignations within 30 days.

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Bravoboy Johny
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8K views

Compliance Checklist For NBFC

This document provides a checklist of annual, monthly, and periodic compliance requirements for a non-deposit taking Non-Banking Financial Company (NBFC) with the Reserve Bank of India and National Stock Exchange of India. It lists 7 annual compliance items due on or before June 30th including filing audited financial statements. It also lists monthly requirements to submit returns by the 7th of each month and periodic requirements for director appointments and resignations within 30 days.

Uploaded by

Bravoboy Johny
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as XLS, PDF, TXT or read online on Scribd
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Checklist of Compliances for a Non-Deposit taking NBFC

With Reserve Bank of India

Annual compliances

Sl No. Particulars
1 Unaudited March Monthly return/NBS7
2 Audited March Monthly return/NBS7
3 Statutory Auditors certificate on Income & Assets
4 Information about Cos having FDI/Foreign Funds
5 Resolution of Non-acceptance of Public Deposit
6 File Audited Annual Balance Sheet and P&L Account
7 Declaration of Auditors to Act as Auditors of the Company

Monthly compliances

Sl No. Particulars
1 Monthly Return
2 Upload monthly return on www.dnbsinfinet.org (OLD)
https://secweb.rbi.org.in/COSMOS/rbilogin.do (NEW)

Periodical compliances

Sl No. Particulars
1 Appoinment of Director(Annexure-III)
2 Resignation of Director(Form- 32 + Challan Receipt)
3 Adoption of any notification in the ensuing Board Meeting &
filing the certified copy with RBI

Microsoft Word
Document
BFC

Time limit
on or before 30th June
Upon completion
on or before 30th June
on or before 30th June
before commencement of new Financial year
One month from the date of signoff
annual basis

Time limit
by 7th of every month
by 7th of every month

Time limit
within 30 days of appointment
within 30 days of resignation
Checklist of Compliances for a Non-Deposit taking NBFC
With National Stock Exchange of India

Sl No.
1
2
3
4
5
Checklist of Compliances for a Non-Deposit taking NBFC
With National Stock Exchange of India

Particulars
Filing of Listing Agreement of Issued Series
Publishing of Unaudited Half-yearly Result in two newspaper
File Half-yearly Audited Result with NSE via mail
File Quaterly result (Balance Sheet and P&L) via mail
Filing Umbrella Information Memorandum/Shelf Offer Document + below letters:
i) Letter from CRISIL for filing UIM
ii) Letter from AXIS Bank (Debenture Trustee) for filing UIM
iii) Letter from Directors for filing UIM
iv) Certifed true copy of the resolution authorizing filing of UIM
v) Certifed true copy of the blanket resolution covering Debt issuances for filing UIM
vi) Certify compliance as per Chapter VI of SEBI (DIP) Guidelines 2000 & Sch-II of Companies Act,1956
vii) Obtain In-principle approval letter from NSE post filing
Time limit
Within 30 days of Issuance
Within 30 days from the end of Half-year
Within 60 days from the end of Half-year
Within 90 days from the end of Quarter
At the end of Financial Year

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