NBFC Compliance (1)

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By Swarit Advisors
NBFC Compliance
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As per Reserve Bank of India in 2016, NBFC
Compliance is mandatory for all registered NBFC
companies need to file the data of there all
financial activities which carries Loans
Advances, Equities, Debt, Acquisition of stocks,
etc. at the given time.
What is NBFC Compliance ?
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By Swarit Advisors
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NBFC  Compliance Includes

• Annual return filing
• Liaising with RBI
• Review of annual balance sheet
• RBI Returns
• MCA Filings
• Income Tax Compliances

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By Swarit Advisors
NBFCs also have to follow the rules which comes
under the Companies Act 2013.

• ADT-1, Appointment of Auditor
• Maintenance of Books of Accounts
• Maintenance of Statutory Registers
• Preparation of Financial Statements
• Convene Statutory Meetings
• Income Tax Returns Filings
• AOC-4, Filing of Financial Statement
• MGT-7, Filing ROC Annual Returns

ADDITIONAL COMPLIANCE
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BRANCH INFORMATION RETURNS
For Deposit taking NBFC - Every NBFC holding and
accepting public deposits needs to submit this
quarterly return. For Non-Deposit taking NBFC -
Just as NBFCs-SI, NBFC-ND-SI also needs to submit
the branch information return quarterly.
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By Swarit Advisors
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