COMPLIANCE LIST FOR NBFCs REGISTERED WITH THE RBI

COMPLIANCE LIST FOR NBFCs REGISTERED WITH THE RBI

FORMS TO BE FILED ALL NBFCs INCLUDING NDSI (Non-Deposit taking NBFCs)

FORMS TO BE FILED ON MONTHLY BASIS

(Provided by all Non-Banking Financial Companies which are accepting / holding public deposits having asset size above Rs. 100 crores or having public deposits of Rs. 20 crores and above):

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Monthly Return	Monthly Return on NBFC-ND-SI with asset size of Rs.100 CR. & above	RBI
NBS_ALM-1	Statement of Short term dynamic liquidity(Within 10 days of the close of the Month)	RBI
NBS-6	Monthly Return regarding Exposure To Capital Market	RBI

FORMS TO BE FILED ON QUARTERLY BASIS

To Be Provided by all NBFC’s accepting / holding public deposits, and MNBCs – except Residuary Non-Banking Companies:

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS 1	Quarterly Return on Important Financial Parameters of Deposit Taking NBFCs	RBI
NBS -2	Quarterly Statement of Capital Funds, Risk Assets/Exposures and risk assets Ratio.	RBI
CA & CEO certificate for NBS-2	Certifying NBS-2	RBI
NBS 3	Submit quarterly return reading Statutory Liquid asset	RBI

TO BE SUBMITTED BY ALL RESIDUARY NON-BANKING COMPANIES:

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS 3A	Quarterly Return on Statutory Liquid Assets	RBI
Quarterly Return I	Return of investments	RBI

FORMS TO BE SUBMITTED BY ALL NBFC-NDSIS(NON DEPOSIT TAKING NBFCS)

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS -7	Quarterly Statement of Capital Funds, Risk Assets/Exposures and risk assets Ratio.	RBI
SA and CEO certificate for NBS-7	Certifying NBS-7	RBI

FORMS  TO BE SUBMITTED  BY NBFCS HAVING ASSET SIZE BETWEEN 50-100 CR

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Quarterly Return	Quarterly Return by NBFC-ND with asset size of Rs.50 – 100 Cr.	RBI

FORMS TO BE SUBMITTED BY ALL SCRCS 

(SECURITISATION AND RECONSTRUCTION  COMPANY)

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
SCRC	Quarterly statement of assets acquired, securitized& reconstructed	RBI

FORMS TO BE SUBMITTED BY ALL NBFCS

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Branch Info	Details of the Branches	RBI

HALF YEARLY COMPLIANCES

 TO BE PROVIDED BY ALL NBFC ACCEPTING / HOLDING PUBLIC DEPOSITS HAVING ASSET SIZE ABOVE RS. 100 CRORES OR HAVING PUBLIC DEPOSITS OF RS. 20 CRORES AND ABOVE.

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS_ALM-2	Asset liability mismatches and interest rate exposure(Within 20 days ofthe close of half year)	Regional RBI office of the Department in whose jurisdiction NBFC is register

HALF YEARLY COMPLIANCES BY ALL NBFC-NDSIS (NON DEPOSIT TAKING NBFCS)

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS_ALM-3	Interest rate sensitivity	statement shall filed with the Bank

ANNUAL COMPLIANCES

TO BE SUBMITTED BY ALL NBFC-NDSIS(NON DEPOSIT TAKING NBFCS)

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
ALM_Return	Asset liability mismatches and interest rate exposure	RBI

TO BE SUBMITTED BY ALL RESIDUARY NON-BANKING COMPANIES:

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Form  – NBS 1A	Annual Return on Deposits(once in a year, after March 31 and latest by September 30)	RBI Regional Office of Department of Non-Banking Supervision, RBI where registered office of the company is situated

TO BE SUBMITTED BY NBFCS HAVING ASSET SIZE BETWEEN RS 100 TO RS 500CR

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS-8	Annual Return on NBFC-ND With Asset Size From Rs.100 Cr. To 500 Cr	RBI

TO BE SUBMITTED BY NBFCS HAVING ASSET SIZE BELOW RS 100CR

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS-9	Annual Return on NBFC-ND-SI With Asset Size Below Rs.100 Cr	RBI

ANNUAL FORM TO BE SUBMITTED BY ALL NBFC’S ACCEPTING / HOLDING PUBLIC DEPOSITS, AND MNBCS – EXCEPT RESIDUARY NON-BANKING COMPANIES

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
NBS4	Repayment of Deposits only in respect of rejected/cancelled companies	Department of Non-Banking Supervision, RBI
CA certificate for NBS 4	Certifying NBS-4	RBI

ADDITIONAL COMPLIANCES

To be filed in by all residuary non-banking financial companies

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Form Schedule “A”	General Information of the Company(once a year as early as possible latest by the 30th September)	Regional Office of the Department of Supervision, Financial Companies Wing

To be submitted by all  NBFCs whether holding public deposits or not

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Special Return	General information and Net Owned Funds	RBI

FORMS TO BE FILED BY NBFC-NDSIS(NON-DEPOSIT TAKING NBFCS)

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
Monthly Return	Monthly Return on NBFC-ND-SI with asset size of Rs.100 CR. & above	RBI
NBS_ALM-1	Statement of Short term dynamic liquidity(Within 10 days of the close of the Month)	RBI
NBS -7	Quarterly Statement of Capital Funds, Risk Assets/Exposures and risk assets Ratio	RBI
SA & CEO certificate for NBS-7	Certifying NBS-7	RBI
NBS_ALM-3	Interest rate sensitivity	statement shall filed with the Bank
ALM_Return	Asset liability mismatches and interest rate exposure	RBI

COMPLIANCES BY NBFCs UNDER 

COMPANIES ACT ,2013

NAME OF THE FORM	OBJECT OF THE FORM	FILING WITH WHOM?
E-Form MGT-7	Filing of Annual Return(Within 60 days of AGM)	ROC
E-Form AOC-4	Filing of Balance Sheet & P & L A/c(Within 30days of AGM)	ROC
E-Form DIR-12	If there is any change in Directors(Within 30days of that change)	ROC