NBFC Comprehensive Compliance Checklist

[CS Raunak Gupta]

Hello Everyone, 

Sharing NBFC Comprehensive Compliance Checklist. 

RAUNAK GUPTA & ASSOCIATES
Corporate Legal Firm

Call: 9910226715

Company Secretarial Services | Legal Services | Opinion & Advisory | Accounting & GST | Compliance Management | Mergers & Acquisitions | NBFC | AIF | IPO | Funding| Due Diligence | FEMA | IPR | SEBI | RBI | Insolvency & Bankruptcy | HR | Payroll | CSR | ESG| Corporate Training

[RAMACHANDRAN P]

dear sir/madam

procedure for intimation to RBI for resignation of Company secretary and appointment of new CFO and Company Secretary for a BSE Listed NBFC company

--
--
************************************************
Mail your comments, feedback and suggestions on CSMysore to Moderator: datta...@gmail.com and Manager: vivekhe...@gmail.com
---
You received this message because you are subscribed to the Google Groups "CSMysore" group.
To unsubscribe from this group and stop receiving emails from it, send an email to csmysore+u...@googlegroups.com.
To view this discussion visit https://groups.google.com/d/msgid/csmysore/CAPkJJgDYHxDP_AsYv3q3RWjBKXgJ7JdPt6zGuJyPHZpVhFS70Q%40mail.gmail.com.

[manonma...@gmail.com]

Dear Professionals, 

 

Three members of the team wish to incorporate a private limited company. Their main business activity is investment in the securities market using the company's own funds (shareholders' funds).  

In this case, is any further registration required with other regulatory authorities such as RBI, SEBI, or NBFC? 

Thanks & Regards, 

Manonmani. S

Company Secretary

[Nidhii Parrekh]

Anyone has drafts for attached

Regards
CS Nidhi Parekh

[Nidhii Parrekh]

Anyone has drafts for this attached 

Regards
CS Nidhi Parekh

[RAMACHANDRAN P]

Dear Friends

 

Can anyone share the formats for  Submission of Fair Practice Code (FPC) & Know Your Customer (KYC) Policy adopted by the Company with RBI for a base level NBFC  listed with BSE:

 

                      I.        Board resolution for adoption of Fair Practices Code (FPC) in terms of Chapter VII of RBI Master Direction NBFC-Scale Based Regulation dated October 19, 2023 (updated from time to time).

                    II.        Board resolution for adoption of ‘Know Your Customer’ (KYC) guidelines in terms of RBI Master Direction Know Your Customer (KYC) Direction, 2016 dated February 25, 2016 (updated from time to time).

                   III.        Copy of the FPC & KYC Policies adopted by the company.

 

[aayushi panwar]

Sir, 

I have a query...if NBFC wants to start mobile app only for recovery of EMI, not lending..then is it also fall under the guidelines of Digital lending and require RBI approval before launching an app.

To view this discussion visit https://groups.google.com/d/msgid/csmysore/CABSZ0xyta-nShAzDL-2%2B6XHwGwfsNLhUM5f08ZyoG24u%3DrBYKA%40mail.gmail.com.

[RAMACHANDRAN P]

send an email to rbi and obtain written confirmation before launching any such mobile app for loan emi recovery

To view this discussion visit https://groups.google.com/d/msgid/csmysore/CAG24m6e%3D-JQ3jgPJhbMFQvbG02RpK0ABviwKccXHuzEbkmXaWg%40mail.gmail.com.

[RAMACHANDRAN P]

share the latest NBFC and BSE compliance check list for a listed company and AGM activities pre and post and other incidental activities to be taken care

thanks in advance

On Thu, 23 Jan 2025 at 16:37, CS Raunak Gupta <csrauna...@gmail.com> wrote: