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RBI Compliance for NBFC Companies - Monthly, Quarterly, Half-Yearly & Yearly


MONTHLY COMPLIANCE
Form NamePurpose of the FormDepartment
submitted by all NBFC-NDSIs(Non-Deposit taking NBFCs)
Monthly ReturnMonthly Return on NBFC-ND-SI with asset size of Rs.100 CR. & aboveRBI
NBS_ALM-1Statement 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-6Monthly Return regarding Exposure To Capital MarketRBI

        QUARTERLY COMPLIANCE
Form NamePurpose of the FormDepartment
provided by all NBFC’s accepting / holding public deposits, and MNBCs – except Residuary Non-Banking Companies:
NBS 1Quarterly Return on Important Financial Parameters of Deposit Taking NBFCsRBI
NBS -2 Quarterly Statement of Capital Funds, Risk Assets/Exposures and risk assets Ratio.RBI
CA & CEO certificate for NBS-2Certifying NBS-2RBI
NBS 3Submit quarterly return reading Statutory Liquid assetRBI

                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-7Certifying NBS-7RBI
             NBFCs having asset size between 50-100 cr
Quarterly ReturnQuarterly Return by NBFC-ND with asset size of Rs.50 – 100 Cr.RBI
submitted by all SCRCs (Securitisation and reconstruction company)
SCRCQuarterly statement of assets acquired, securitized& reconstructedRBI
submitted by all NBFCs
Branch InfoBranch DetailsRBI
      HALF YEARLY COMPLIANCES
Form NamePurpose of the FormDepartment
 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-2Asset 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-3Interest rate sensitivitystatement shall filed with the Bank

NBFC’s accepting / holding public deposits, and MNBC
NBS-4Repayment of Deposits only in respect of rejected/cancelled companiesDepartment of Non-Banking Supervision, RBI
CA certificate for NBS 4Certifying NBS-4RBI

   EXTRA COMPLIANCE

All  NBFCs whether holding public deposits or not
Special ReturnGeneral information and Net Owned FundsRBI
    COMPANIES ACT, 2013 
     Compliance  
Form NamePurpose of the FormDepartment
E-Form MGT-7Filing of Annual Return(Within 60 days of AGM)ROC

E-Form AOC-4Filing of Balance Sheet & P & L A/c(Within 30days of AGM)ROC

E-Form DIR-12If there is any change in Directors(Within 30days of that change)ROC


    Non-Deposit taking NBFCs 
Form NamePurpose of the FormDepartment
Monthly ReturnMonthly Return on NBFC-ND-SI with asset size of Rs.100 CR. & aboveRBI
NBS_ALM-1Statement 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-7Certifying NBS-7RBI
NBS_ALM-3Interest rate sensitivitystatement shall filed with the Bank
ALM_ReturnAsset liability mismatches and interest rate exposureRBI

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 NamePurpose of the FormDepartment
NBS-6Monthly Return On Exposure To Capital MarketRBI
NBS_ALM-2Asset 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 NamePurpose of the FormDepartment
NBS 1Quarterly Return on Important Financial Parameters of Deposit Taking NBFCsRBI
NBS -2 Quarterly Statement of Capital Funds, Risk Assets/Exposures and risk assets Ratio.RBI
CA & CEO certificate for NBS-2Certifying NBS-2RBI
NBS 3Submitting return on  Quarterly basis for Statutory Liquid AssetRBI
NBS-4Repayment of Deposits only in respect of rejected/cancelled companiesDepartment of Non-Banking Supervision, RBI
CA certificate for NBS 4Certifying NBS-4RBI

      NBFCs having asset size between 50-100 cr
Form NamePurpose of the FormDepartment
Quarterly ReturnQuarterly Return by NBFC-ND with asset size of Rs.50 – 100 Cr.RBI

provided by all SCRCs(Securitisation and reconstruction company)
Form NamePurpose of the FormDepartment
SCRCQuarterly statement to be filed for asset acquired, reconstructed and securitizedRBI

submitted by NBFCs having asset size between Rs 100 to Rs 500cr
Form NamePurpose of the FormDepartment
NBS-8Annual Return on NBFC-ND With Asset Size From Rs.100 Cr. To 500 CrRBI

Submitted by NBFCs asset size below Rs 100cr
Form NamePurpose of the FormDepartment
NBS-9Annual Return on NBFC-ND-SI With Asset Size Below Rs.100 CrRBI

    Submitted by all NBFCs 
Form NamePurpose of the FormDepartment
Special ReturnGeneral information and Net Owned FundsRBI
Branch InfoBranch DetailsRBI

RBI Compliance Group
Ozg Compliance & Regulatory Practice Center