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
Sl No. Particulars
1 Monthly Return
2
Upload monthly return on www.dnbsinfinet.org (OLD)
https://secweb.rbi.org.in/COSMOS/rbilogin.do (NEW)
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
Periodical compliance
Annual compliance
Checklist of Compliances for a Non-Deposit taking NBFC
With Reserve Bank of India
Monthly compliance
Time limit Done
on or before 30th June a
Upon completion a
on or before 30th June a
on or before 30th June a
before commencement of new Financial year a
One month from the date of signoff a
annual basis a
Time limit Done
by 7th of every month a
by 7th of every month a
Time limit Done
within 30 days of appointment a
within 30 days of resignation a
a
Periodical compliance
Annual compliance
Checklist of Compliances for a Non-Deposit taking NBFC
With Reserve Bank of India
Monthly compliance
Sl No. Particulars
1 Filing of Listing Agreement of Issued Series
2 Publishing of Unaudited Half-yearly Result in two newspaper
3 File Half-yearly Audited Result with NSE via mail
4 File Quaterly result (Balance Sheet and P&L) via mail
5 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
Checklist of Compliances for a Non-Deposit taking NBFC
Compliances
With National Stock Exchange of India
Time limit Done
Within 30 days of Issuance a
Within 30 days from the end of Half-year a
Within 60 days from the end of Half-year a
Within 90 days from the end of Quarter a
At the end of Financial Year a
vi) Certify compliance as per Chapter VI of SEBI (DIP) Guidelines 2000 & Sch-II of Companies Act,1956
Checklist of Compliances for a Non-Deposit taking NBFC
Compliances
With National Stock Exchange of India