RBI Compliance Filing for NBFC Company – Monthly, Quarterly, Half-Yearly & Yearly

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
      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
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
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
  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

~ Online ~

RBIcompliance.ozg.in

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