Professional Documents
Culture Documents
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