Format of NBFC Mandatory Complinaces

This query is : Resolved

Teena (Querist)
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14 December 2009 I want the format of

1. Board resolution for framing KYC (AML) Policy.

2. KYC ( AML) Policy.

3. Declaration by statutory Auditor that we have not received any Public Deposits.

4. NIL statement for FDI

5. NOF Statement by statutory Auditor

6. Board Resolution for Not accepting Public Deposits.

If anybody is having any format of above things then please send me at earliset

Guest

Guest (Expert)

15 December 2009

â€œRESOLVED THAT pursuant to the provisions of Section 58A of Companies Act, 1956 and provisions of Companies (Acceptance of Deposits) Rules, 1975 consent of Board of Directors be and is hereby accorded that Company has not accepted any Public Deposits in the past and does not hold any Public Deposits as on date.â€

â€œRESOLVED FURTHER THAT Company will not accept any Public Deposits in future without prior approval of Reserve Bank of India.â€

â€œRESOLVED FURHTER THAT the company has complied with the provisions of the RBI Act, 1934 and Prudential Norms Directions as applicable on it in Financial year 2008-09 i.e. 01.04.2008 to 31.03.2009.â€

â€œRESOLVED FURTHER THAT this resolution be communicated to the Reserve Bank of India and shall remain in force until notice in writing be given by the Board of Directors of the Company.â€

Certified True Copy,
For PRIVATE LIMITED

Chairman of the meeting

We hereby certify and confirm that ., having its Registered office at is:

(a) not holding any public deposits as on date.
(b) not carrying on any NBFI activity as on date.
(c) having NOF of Rs. 218.79 lacs as on date.

This is as per our examination of books of account of M/S and as per information and explanations given to us by management in this regard.

For ,
Chartered Accountants,

( )
Partner
M.No.

Place: Jaipur
Dated: 03.06.2009

To Whom So Ever It May Concern

We, Directors of M/s Pvt Ltd., having its Registered office at do hereby declare that we are not associated in any manner what so ever with the Unincorporated bodies(UIB) accepting public deposits, Under Section 45S of the RBI Act, 1934.

Certified True Copy,
For PRIVATE LIMITED

Chairman of the meeting

Place: Jaipur
Date: 12.05.2009

To Whom So Ever It May Concern

We, Directors of M/s Pvt Ltd., having its Registered office at , Jaipur â€“ 302001 do hereby declare that no legal suits of any nature are pending against the company or its directors.

Certified True Copy,
For PRIVATE LIMITED

Chairman of the meeting

Place: Jaipur
Date:12.05.2009

â€œRESOLVED THAT Mr. Ramesh Kumar Mantri, Director of the company be and is hereby appointed as Nodal Officer of the Company as per directions contained in Rule 7 of Prevention of Money Laundering Act, 2002.â€

â€œRESOLVED FURTHER THAT this resolution be communicated to the Reserve Bank of India and shall remain in force until notice in writing be given by the Board of Directors of the Company.â€

Certified True Copy,
For PRIVATE LIMITED

Chairman of the meeting

TO WHOM SO EVER IT MAY CONCERN

We have examined the books of account and other records maintained by M/s for the period from 1st April 2008 to 31st March 2009 and have to state that on the basis of the checks carried out by us and the information and explanations given to us, we hereby confirm that:

(a) Principal business of the company is providing loan and financial assistance only since 100% Assets/ income during the year 2008-2009 was from interest on Loan portfolio only.
(b) Based on Balance Sheet as on 31st March 2009, Company needs to hold Certificate of Registration U/S 45 I(A) of Reserve Bank of India Act, 1934 to carry out activities of the company.

For ,
Chartered Accountants,

( )
Partner
M.No.

Place: Jaipur
Dated: 03.06.2009

TO WHOM SO EVER IT MAY CONCERN

We have examined the books of account and other records maintained by M/s for the period from 01st April 2008 to 31st March 2009 and have to state that on the basis of the checks carried out by us and the information and explanations given to us, we hereby confirm that company does not hold any public deposit as on 31.03.2009.

It is further certified that the company has complied with the conditions prescribed in para 9(3) of the RBI Directions contained in Notification No. DFC.118.DG(SPT)-98 dated January 31, 1998.

For ,
Chartered Accountants,

( )
Partner
M.No.

Place : Jaipur
Dated : 03.06.2009

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