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NBFC Application: Company Identification Information (CII)


📌 1 Name of the company

📌 2 CIN of the company

📌 3 PAN of the company

📌 4 Date of incorporation

📌 5 Complete registered address of the company 
(Including Phone Number, Fax Number, Email)

📌 6 Address of the corporate office: 
(If different from the office mentioned in 4 above)

📌 7 The ROC with which the company is registered City: 
State:

📌 8 How is the company registered with ROC?
(Tick whichever is applicable) (i) Public Ltd Co   
(ii) Private Ltd Co 
(iii) Deemed public Co 
(iv) Government Company 
(v) Others (to be specified) 

📌 9 If registered as Public Limited Company, date of commencement of business Date: dd/mm/yyyy

📌 10 Whether the company has changed its name earlier? Yes/No

📌 11 If yes, a list of all the earlier names of the company and date/s of change together with the names of Chief Executive Officer and Chairman at the time of change of name along with the reasons for such a change should be furnished.

📌 12 Is the company registered with any other financial regulator other than ROC? Yes/No

📌 13 If yes, furnish name of the regulator, registration number of the company and date of registration

📌 14 Whether the MoA permits the company to carry out Financial Business? Yes/No

📌 15 Amount of Net Owned Funds as on (date: dd/mm/yyyy) Rs.           crore

📌 16 Applicant Company- a) Total Assets:
                                 b) Total Liabilities:  
                                 c) No. of branches:

📌 17 Details of Start–up capital of the company is from own sources/ borrowed funds/ Foreign funding (Amount in Rs. ---------) Own funds:  Rs.
Borrowed Capital: Rs.
Foreign Funding: Rs.

📌 18 Details of latest shareholding pattern (with %)
Provide details about the line of activity of corporate stakeholders. Name of Shareholder:
% shareholding:

📌 19 Net-worth of shareholders holding substantial interest (more than 10%) in the company. Name of shareholder:
Net-worth of the shareholder: Rs.

📌 20 Whether the company has received Foreign Direct Investment? Yes/No

📌 21 If yes, how was it received? FIPB or Automatic Route. Submit the copies of relevant certificates (viz. FIRC, FC-GPRs etc) in this regard. Specify the name of the entity, amount received and % of FDI in shareholding

📌 22 Has the company already started its business operations? Yes/No

📌 23 If yes, please furnish a brief background note on the activities of the company since inception and the reasons for applying for NBFC registration

📌 24 Is the company carrying on any finance related business? Yes/No

📌 25 If yes, specify the type of activity.

📌 26 Has it applied to RBI/NHB earlier for a CoR? If yes, details thereof to be submitted. If not applied to RBI/NHB earlier, whether the company was doing NBFI activities without CoR?. If yes, indicate reasons for same. Whether company has completely stopped NBFI activities now and furnish the certificate in this regard certified by their auditor. 

Also, submit a letter seeking to be condoned for violation of sec 45 IA of the RBI Act/ sec 29A of the NHB Act, if the company had conducted NBFI business detailing the circumstances. Yes/No

📌 27 Whether the company has ever accepted deposits in the past? Yes/No

📌 28 If yes, specify under which provisions of law it has been accepted along with the period and the quantum of deposits outstanding as on the date of this application

📌 29 Has the company defaulted in repayment of the deposits accepted earlier? If so, to what extent? Quantify the amount of default. Yes/No

📌 30 Whether the company has raised any funds by way of unsecured loans from others (including the directors) during the year? Yes/No

📌 31 If yes, whether these unsecured loans fall under the exempted category of Public deposits. Please furnish full details of the loans. Yes/No

📌 32 Has the company borrowed from bank/NBFC/FI etc.? Yes/No

📌 33 If yes, please furnish full details of the loans (viz. Name of the entity, Amount of loan, Loan classification by bank viz. Standard, Sub-standard etc.) and balance outstanding as on the date of application

📌 34 Is the present company created out of mergers and acquisition if any with/of other companies? Yes/No

📌 35 If yes, please furnish complete information about the merger/acquisition and the names of the earlier company/ies which merged to form the present company or the earlier company which took over the present company

📌 36 Is the company a subsidiary of a Holding Company? Yes/No

📌 37 If yes, provide full particulars of the Holding Company.

📌 38 Does the company have a Subsidiary/Associate/Group company? Yes/No

📌 39 If yes, furnish full particulars of all the subsidiaries/associate/group company/related parties in tabular form as per CC No. 312 dated December 07, 2012, updated from time to time. Additionally, furnish CIBIL Score or equivalent Credit Information Score of each of these companies.

📌 40 Has any other regulatory body initiated any penal action against the company or any of its Subsidiary/Associate/Group/Holding Company? Yes/No

📌 41 If yes, please furnish complete details of strictures, penalties, adjudications, investigations etc. together with the reasons for such action against the Subsidiary/Associate/Group/Holding Company.

📌 42 Are there any pending civil or criminal cases against the company? Yes/No

📌 43 If yes, give complete information about the case and the courts in which it is pending

📌 44 If it is an existing company, was it engaged in full-fledged or partial money changing activity? Yes/No

📌 45 If yes, please furnish a copy of the RBI’s permission in this regard.

📌 46 If it is an existing company, is it engaged in any capital market activity? Yes/No

📌 47 If yes, whether it is registered with SEBI and has there been any non-compliance with SEBI Regulations?

📌 48 Whether the company had been issued a Certificate of Registration earlier in terms of Circular DFC (COC) No. 2/02/04/96-97, dated July 24, 1996? Yes/No

📌 49 If yes, furnish details of the CoR and submit a copy of the CoR.

📌 50 Whether the company was transacting the business of Non-banking financial institution as on January 9, 1997? Yes/No

📌 51 If yes, furnish complete particulars of the type of business

📌 52 Date of commencement of the business dd/mm/yyyy

📌 53 Classification as made by RBI (EL/HP/LC/IC/RNBC/MNBC).
Reference No. and date of RBI classification advice

📌 54 Whether the applicant company or its Group companies/Subsidiaries/Associate companies is/are engaged in Multi Level Marketing activity? Yes/No

📌 55 If yes, specify the details thereof.

📌 56 Name/s of Statutory Auditor/s of the company with address/es Telephone numbers, fax, email and the ICAI registration number

📌 57 Name/s & Address/es of bankers of the company, with complete address, telephone number

📌 58 Declaration: I, Shri/Smt/Kum._________ director of (Name of applicant company) confirm on behalf of the company that the company owns electronic infrastructure and is capable to electronically submit data/returns through internet as and when required by Reserve Bank of India (Tick √ if complied)

📌 59 Details of the Authorised Official-

Signature:
Name:
Designation
Company Seal: 
Date:
Place: