NBFC refers to a Non-Banking Financial Company which carries on the business of all Financial Documents issued by the government.

1. By Swarit Advisors

2. 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.
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3. • Annual return filing
• Liaising with RBI
• Review of annual balance sheet
• RBI Returns
• MCA Filings
• Income Tax Compliances
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4. NBS 1 - Quarterly returns with the concern Present Financial status.
NBS 2 - Quarterly returns with the concern of Prudential norms.
NBS 3 - Quarterly returns with the concern of present liquid assets.
NBS 4 - Annually returns based on the factors of rejected company holds public
deposits.
NBS 6 - Holding Rs.100 cr. or more will filled this monthly return.
ALM - Filled for those who having public deposit of Rs 20 cr. or assets of more than
Rs. 100cr.
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5. NBS 7 - Quarterly returns need to filed on quarterly statements such as risk assets
ratio, capital funds, risk-weighted asset etc.
NBS 2 - Monthly return on the basis of financial parameters.
ALM - It consist certain Intervals
1. NBS-ALM 1: A quarterly statement of short term dynamic liquidity.
2. NBS-ALM 2:A half-yearly statement of short-term structural liquidity.
3. NBS-ALM 3:A half-yearly statement of Interest Rate Sensitivity.
4. ALM-YRLY:Asset Liability Mismatch statement, which is an annual return.
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6. • 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
NBFCs also have to follow the rules which comes under
the Companies Act 2013.
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7. 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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