| MONTHLY COMPLIANCE | ||
| Form Name | Purpose of the Form | Department |
| submitted by all NBFC-NDSIs(Non-Deposit taking NBFCs) | ||
| 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 |
| 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: | ||
| NBS-6 | Monthly Return regarding Exposure To Capital Market | RBI |
| QUARTERLY COMPLIANCE | |||||
| Form Name | Purpose of the Form | Department | |||
| provided by all NBFC’s accepting / holding public deposits, and MNBCs – except Residuary Non-Banking Companies: | |||||
| 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 | |||
| Submitted by all Non Deposit taking NBFCs | |||||
| 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 | |||
| NBFCs having asset size between 50-100 cr | |||||
| Quarterly Return | Quarterly Return by NBFC-ND with asset size of Rs.50 – 100 Cr. | RBI | |||
| submitted by all SCRCs (Securitisation and reconstruction company) | |||||
| SCRC | Quarterly statement of assets acquired, securitized& reconstructed | RBI | |||
| submitted by all NBFCs | |||||
| Branch Info | Branch Details | RBI | |||
| HALF YEARLY COMPLIANCES | |||||
| Form Name | Purpose of the Form | Department | |||
| 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 | |||||
| NBS_ALM-2 | Asset liability mismatches and interest rate exposure(Within 20 days ofthe close of half year) | Regional office of the Department in whose jurisdiction NBFC is registered | |||
| provided by all NBFC-NDSIs (Non Deposit taking NBFCs) | |||||
| NBS_ALM-3 | Interest rate sensitivity | statement shall filed with the Bank | |||
| NBFC’s accepting / holding public deposits, and MNBC | ||
| NBS-4 | 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 |
| EXTRA COMPLIANCE | |||
| All NBFCs whether holding public deposits or not | |||
| Special Return | General information and Net Owned Funds | RBI | |
| COMPANIES ACT, 2013 Compliance | |||
| Form Name | Purpose of the Form | Department | |
| 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 | |
| Non-Deposit taking NBFCs | ||
| Form Name | Purpose of the Form | Department |
| 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 |
| Non-Banking Financial Companies accepting / holding public deposits having asset size above Rs. 100 crores or having public deposits of Rs. 20 crores and above | ||
| Form Name | Purpose of the Form | Department |
| NBS-6 | Monthly Return On Exposure To Capital Market | RBI |
| NBS_ALM-2 | Asset liability mismatches and interest rate exposure(Within 20 days of the close of half year) | Regional office of the Department in whose jurisdiction NBFC is registered |
| provided by all NBFC’s accepting / holding public deposits, and MNBCs | ||
| Form Name | Purpose of the Form | Department |
| 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 | Submitting return on Quarterly basis for Statutory Liquid Asset | RBI |
| NBS-4 | 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 |
| NBFCs having asset size between 50-100 cr | ||
| Form Name | Purpose of the Form | Department |
| Quarterly Return | Quarterly Return by NBFC-ND with asset size of Rs.50 – 100 Cr. | RBI |
| provided by all SCRCs(Securitisation and reconstruction company) | ||
| Form Name | Purpose of the Form | Department |
| SCRC | Quarterly statement to be filed for asset acquired, reconstructed and securitized | RBI |
| submitted by NBFCs having asset size between Rs 100 to Rs 500cr | ||
| Form Name | Purpose of the Form | Department |
| NBS-8 | Annual Return on NBFC-ND With Asset Size From Rs.100 Cr. To 500 Cr | RBI |
| Submitted by NBFCs asset size below Rs 100cr | ||
| Form Name | Purpose of the Form | Department |
| NBS-9 | Annual Return on NBFC-ND-SI With Asset Size Below Rs.100 Cr | RBI |
| Submitted by all NBFCs | ||
| Form Name | Purpose of the Form | Department |
| Special Return | General information and Net Owned Funds | RBI |
| Branch Info | Branch Details | RBI |
RBI Compliance Group
Ozg Compliance & Regulatory Practice Center
