NBFC Compliance Services

Ensure your Non-Banking Financial Company (NBFC) stays compliant with RBI norms and regulatory frameworks. Our experts assist in timely filings, reporting, and audits to avoid penalties and maintain operational integrity.



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Everything You Need to Know

Overview of NBFC Compliance

Non-Banking Financial Companies (NBFCs) are required to comply with a stringent regulatory framework laid down by the Reserve Bank of India (RBI). Corporate Analytica offers expert support to help NBFCs meet their periodic and event-based compliance obligations seamlessly.

Why NBFC Compliance is Important

  • Maintain RBI registration status and avoid penalties
  • Ensure transparency and financial discipline
  • Improve investor and customer trust
  • Timely submission of returns and statements
  • Stay updated with RBI guidelines and circulars

Types of NBFC Compliances

  • Annual Compliances – Audited financials, Board resolutions, Statutory filings
  • Monthly/Quarterly RBI Returns – NBS-1, NBS-2, NBS-9, etc.
  • Statutory Audit, Tax Audit, Internal Audit
  • KYC & Anti-Money Laundering (AML) Compliance
  • Filing of Income Tax and GST Returns

Documents Required

  • RBI Registration Certificate
  • MOA and AOA of the NBFC
  • Board Resolutions & Minutes of Meetings
  • Audited Financial Statements
  • Details of Directors and KMPs

Compliance Process

  1. Step 1: Compliance calendar preparation
  2. Step 2: Review of internal and statutory records
  3. Step 3: Preparation & filing of RBI returns
  4. Step 4: KYC, AML & risk assessment reporting
  5. Step 5: Income tax, TDS, GST return filings
  6. Step 6: Compliance audit & advisory report

Why Choose Corporate Analytica?

  • Dedicated NBFC compliance team
  • Expertise in RBI, SEBI & MCA regulations
  • Support for both deposit-taking and non-deposit-taking NBFCs
  • Automated alerts & deadline tracking
  • Pan-India & International client service

Post‑Filing Obligations

  • Maintain minutes of AGM and Board Meetings
  • Timely renewal of FCRA/12A/80G certificates
  • Timely filing of event-based compliances (e.g., change in directors, capital)
  • Keep Statutory Registers updated and secure
  • Display name and registration details on all communication material

Penalty for Non-Compliance

  • Failure to follow rules may lead to fines.
  • Missing renewal deadlines can attract penalties.
  • Providing false information may invite legal action.
  • Serious violations can even cause project shutdown.

Frequently Asked Questions (NBFC Compliance)

Q1. What are the mandatory returns to be filed by an NBFC?

NBFCs are required to file returns like NBS-1, NBS-2, NBS-9, Statutory Auditor Certificate, ALM returns, and others as per their classification.

Q2. What is the penalty for non-compliance by an NBFC?

Non-compliance may lead to monetary penalties, cancellation of registration, or restrictions on operations as per RBI directions.

Q3. Do NBFCs need to comply with GST and Income Tax?

Yes, NBFCs must file regular GST returns (if applicable), TDS, and income tax returns annually.

Q4. Are internal audits mandatory for NBFCs?

Yes, internal and risk-based audits are mandatory depending on the category of NBFC (asset size, deposit-taking, etc.).

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