Checklist of Compliances for a Non-Deposit taking NBFC With Reserve Bank of India Annual compliance 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 Monthly compliance Sl No. Particulars 1 Monthly Return 2 Upload monthly return on www.dnbsinfinet.org (OLD) https://secweb.rbi.org.in/COSMOS/rbilogin.do (NEW) Periodical compliance 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

Time limit on or before 30th June Upon completion on or before 30th June on or before 30th June before commencement of new Financial year One month from the date of signoff annual basis

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Time limit by 7th of every month by 7th of every month

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Time limit within 30 days of appointment within 30 days of resignation

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Checklist of Compliances for a Non-Deposit taking NBFC With National Stock Exchange of India Compliances Sl No. Particulars Time limit 1 Filing of Listing Agreement of Issued Series Within 30 days of Issuance 2 Publishing of Unaudited Half-yearly Result in two newspaper Within 30 days from the end of Half-year 3 File Half-yearly Audited Result with NSE via mail Within 60 days from the end of Half-year 4 File Quaterly result (Balance Sheet and P&L) via mail Within 90 days from the end of Quarter 5 Filing Umbrella Information Memorandum/Shelf Offer Document + below letters: At the end of Financial Year 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

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