Practice Areas · Compliance · Financial Sector · NBFC & financial compliance

NBFC & financial compliance

Once registered, a financial-sector entity must keep up continuous compliance. The firm manages the annual filings, funding, and reporting.

NBFC compliance

Ongoing NBFC compliance — the RBI returns and periodic filings, prudential norms, and governance requirements an NBFC must maintain after it is registered — kept accurate and on time.

P2P compliance

Ongoing NBFC-P2P compliance — the RBI returns, the exposure and fund-transfer rules, disclosures, and governance an online P2P lending platform must maintain after registration.

Money changer compliance

Compliance for authorised money changers and Full-Fledged Money Changers — the RBI returns, KYC/AML obligations, and reporting that the foreign-exchange business requires.

FIU-IND reporting

FIU-IND registration and reporting — registering as a reporting entity and filing the CTR, STR, and other reports the Prevention of Money-Laundering Act requires.

NBFC funding

NBFC funding advisory — arranging the debt and capital an NBFC needs to lend, through bank lines, NCDs, and securitisation, within the RBI's borrowing and capital framework.

NBFC appeals

Representation for NBFCs in regulatory matters — responding to RBI observations and show-cause notices, regularising defaults, and pursuing appeals, with counsel where required.