Format pack, 3 formats · FV08-K5

NBFC Ongoing Compliance, Returns, Auditor Certificate, KYC, Fair Practices and Change in Control

The year-round compliance of a registered small NBFC: what it files on CIMS and when, what the statutory auditor must certify, what KYC, PMLA, fair practices and grievance rules demand, and the prior approval needed before anyone buys into it or changes its Board.

Length
6 pages
Blanks to fill
77
Files
Word and PDF
Law stated to
16 September 2026

The 3 formats inside

  1. 1Change in control, prior approval application checklistNBFC Acquisition of Shareholding or Control Directions 2025 · PRAVAAH27 blanksOn its own₹149
  2. 2Statutory Auditor Certificate, skeletonNBFC Auditor's Report Directions 2026 · DNBS1039 blanksOn its own₹149
  3. 3Fair Practices Code, Board-approved skeletonNBFC Responsible Business Conduct Directions 202514 blanksOn its own₹149

Read the opening

The first part of “Change in control, prior approval application checklist”, as it downloads. Blanks are highlighted.

[Name of the firm] engagement checklist — application by the NBFC for prior approval

NBFC: [NBFC's name] CoR: [Certificate of registration number] Acquirer(s): [Acquirer(s) name]
Trigger(s): [control / 26% or more / more than 30% of directors / amalgamation] Pre and post shareholding of acquirer: [__% → __%]

#

Item

From

Status

1

Covering letter from the NBFC explaining the transaction, rationale and timetable

NBFC

[ ]

2

Board resolution of the NBFC approving the application and authorising the signatory

NBFC

[ ]

3

Annex I information on each proposed shareholder: name, constitution, address, PAN / registration, business, group structure and ultimate beneficial owners

Acquirer

[ ]

4

Shareholding pattern of the NBFC before and after, on a fully diluted basis

NBFC

[ ]

5

Source of funds for the acquisition, with evidence (bank statements, audited accounts, borrowing sanction)

Acquirer

[ ]

6

Bankers' reports on the acquirer and its promoters

Acquirer's bankers

[ ]

1 more paragraphs and tables follow in the full format.

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