Regulating Non-Banking

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list

RBI/2014-15/569 DNBR (PD).CC.No.032/03.10.42/2014-15 April 23, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list Please refer to our Circular DNBR (PD).CC.No.026/03.10.42/2014-15 dated April 6, 2015 on the captioned subject releasing 5th update dated March 13, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External Affair

RBI/2014-15/569 DNBR (PD).CC.No.032/03.10.42/2014-15 April 23, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list Please refer to our Circular DNBR (PD).CC.No.026/03.10.42/2014-15 dated April 6, 2015 on the captioned subject releasing 5th update dated March 13, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External Affair

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list

Guidelines on Corporate Governance - Review

RBI/2014-15/552DNBR (PD) CC.No.029/ 03.10.001/ 2014-15April 10, 2015All NBFCs (excluding Primary Dealers) Dear Sirs,Guidelines on Corporate Governance - ReviewPlease refer to the Revised Regulatory Framework for NBFCs issued vide DNBR (PD) CC.No.002/ 03.10.001/ 2014-15 dated November 10, 2014 (the Framework). Corporate Governance and Disclosure norms for NBFCs, contained in para 9 of the Framework, have been reviewed based on the feedback received from industry partic

RBI/2014-15/552DNBR (PD) CC.No.029/ 03.10.001/ 2014-15April 10, 2015All NBFCs (excluding Primary Dealers) Dear Sirs,Guidelines on Corporate Governance - ReviewPlease refer to the Revised Regulatory Framework for NBFCs issued vide DNBR (PD) CC.No.002/ 03.10.001/ 2014-15 dated November 10, 2014 (the Framework). Corporate Governance and Disclosure norms for NBFCs, contained in para 9 of the Framework, have been reviewed based on the feedback received from industry partic

Guidelines on Corporate Governance - Review

NBFCs- Lending against Shares - Clarification

RBI/2014-15/551 DNBR (PD).CC.No.028/03.10.001/2014-15 April 10, 2015 All NBFCs with asset size of `.100 cr and above (excluding Primary Dealers) Dear Sirs, NBFCs- Lending against Shares – Clarification Please refer to our circular DNBS (PD).CC.No.408/03.10.001/2014-15 dated August 21, 2014. We have since received a number of queries from the industry participants seeking clarification on the applicability of the circular. In this connection, the following is clarified

RBI/2014-15/551 DNBR (PD).CC.No.028/03.10.001/2014-15 April 10, 2015 All NBFCs with asset size of `.100 cr and above (excluding Primary Dealers) Dear Sirs, NBFCs- Lending against Shares – Clarification Please refer to our circular DNBS (PD).CC.No.408/03.10.001/2014-15 dated August 21, 2014. We have since received a number of queries from the industry participants seeking clarification on the applicability of the circular. In this connection, the following is clarified

NBFCs- Lending against Shares - Clarification

Non-Banking Financial Company-Micro Finance Institutions (NBFC-MFIs) - Directions - Modifications

RBI/2014-15/544 DNBR.CC.PD.No.027/03.10.01/2014-15 April 08, 2015 To All NBFC-MFIs Dear Sirs, Non-Banking Financial Company-Micro Finance Institutions (NBFC-MFIs) – Directions – Modifications The captioned directions contained in the notification DNBS.PD.No.234/CGM (US)-2011 dated December 2, 2011 and subsequent modifications were issued to NBFC-MFIs in the backdrop of the Andhra Pradesh-MFI crisis. The sector has largely moved forward since then. Accordingly certain

RBI/2014-15/544 DNBR.CC.PD.No.027/03.10.01/2014-15 April 08, 2015 To All NBFC-MFIs Dear Sirs, Non-Banking Financial Company-Micro Finance Institutions (NBFC-MFIs) – Directions – Modifications The captioned directions contained in the notification DNBS.PD.No.234/CGM (US)-2011 dated December 2, 2011 and subsequent modifications were issued to NBFC-MFIs in the backdrop of the Andhra Pradesh-MFI crisis. The sector has largely moved forward since then. Accordingly certain

Non-Banking Financial Company-Micro Finance Institutions (NBFC-MFIs) - Directions - Modifications

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list

RBI/2014-15/541 DNBR(PD).CC.No.026/03.10.42/2014-15 April 06, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list Please refer to our Circular DNBR (PD).CC.No.023/03.10.42/2014-15 dated March 17, 2015 on the captioned subject releasing 4th update dated February 11, 2015 and February 19, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Mi

RBI/2014-15/541 DNBR(PD).CC.No.026/03.10.42/2014-15 April 06, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list Please refer to our Circular DNBR (PD).CC.No.023/03.10.42/2014-15 dated March 17, 2015 on the captioned subject releasing 4th update dated February 11, 2015 and February 19, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Mi

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida sanctions list

Implementation of Section 51-A of UAPA, 1967-UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List and UNSCR 1988 (2011) Taliban Sanctions List- Modification in the Listing Format

RBI/2014-15/519 DNBR (PD).CC.No 025/03.10.042 /2014-15 March 27, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967-UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List and UNSCR 1988 (2011) Taliban Sanctions List- Modification in the Listing Format A reference is invited to our circulars issued from time to time advising about amendments /additions/ deletions to UNSCR 1267(1999) /1989 (2011) Al Qaida Sanction list and UNSCR 1988 (2011)

RBI/2014-15/519 DNBR (PD).CC.No 025/03.10.042 /2014-15 March 27, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967-UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List and UNSCR 1988 (2011) Taliban Sanctions List- Modification in the Listing Format A reference is invited to our circulars issued from time to time advising about amendments /additions/ deletions to UNSCR 1267(1999) /1989 (2011) Al Qaida Sanction list and UNSCR 1988 (2011)

Implementation of Section 51-A of UAPA, 1967-UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List and UNSCR 1988 (2011) Taliban Sanctions List- Modification in the Listing Format

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List

RBI/2014-15/503 DNBR.PD.CC.No.023/03.10.042/2014-15 March 17, 2015 All NBFCs Dear Sir Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List Please refer to our Circular DNBR(PD).CC.No 020/03.10.42/2014-15 dated February 11, 2015 on the captioned subject releasing 2nd update dated January 23, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External Affa

RBI/2014-15/503 DNBR.PD.CC.No.023/03.10.042/2014-15 March 17, 2015 All NBFCs Dear Sir Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List Please refer to our Circular DNBR(PD).CC.No 020/03.10.42/2014-15 dated February 11, 2015 on the captioned subject releasing 2nd update dated January 23, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External Affa

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List

Bank’s prior approval for change in shareholding

RBI/2014-2015/476 DNBR(PD)CC.No. 01/SCRC/26.03.001/2014-2015 February 24, 2015 The Chairman / Managing Director / Chief Executive Officer All Registered Securitisation Companies / Reconstruction Companies Dear Sir, Bank’s prior approval for change in shareholding In terms of Section 3(6) of the SARFAESI Act, 2002, every Securitisation Company / Reconstruction Company (SC / RC) is required to obtain prior approval of the Reserve Bank for any substantial change in its m

RBI/2014-2015/476 DNBR(PD)CC.No. 01/SCRC/26.03.001/2014-2015 February 24, 2015 The Chairman / Managing Director / Chief Executive Officer All Registered Securitisation Companies / Reconstruction Companies Dear Sir, Bank’s prior approval for change in shareholding In terms of Section 3(6) of the SARFAESI Act, 2002, every Securitisation Company / Reconstruction Company (SC / RC) is required to obtain prior approval of the Reserve Bank for any substantial change in its m

Bank’s prior approval for change in shareholding

Raising Money through Private Placement of Non-Convertible Debentures (NCDs) by NBFCs

RBI/2014-15/475 DNBR (PD) CC No.021/03.10.001/2014-15 February 20, 2015 All NBFCs (excluding PDs) Dear Sirs, Raising Money through Private Placement of Non-Convertible Debentures (NCDs) by NBFCs Please refer to the circulars DNBS(PD)CC.No.330/03.10.001/2012-13 dated June 27, 2013 and the DNBS (PD)CC.No.349/03.10.001/2013-14 dated July 02, 2013 on the subject. 2. In supersession of circulars DNBS(PD)CC.No.330/03.10.001/2012-13 dated June 27, 2013 and the DNBS (PD)CC.No

RBI/2014-15/475 DNBR (PD) CC No.021/03.10.001/2014-15 February 20, 2015 All NBFCs (excluding PDs) Dear Sirs, Raising Money through Private Placement of Non-Convertible Debentures (NCDs) by NBFCs Please refer to the circulars DNBS(PD)CC.No.330/03.10.001/2012-13 dated June 27, 2013 and the DNBS (PD)CC.No.349/03.10.001/2013-14 dated July 02, 2013 on the subject. 2. In supersession of circulars DNBS(PD)CC.No.330/03.10.001/2012-13 dated June 27, 2013 and the DNBS (PD)CC.No

Raising Money through Private Placement of Non-Convertible Debentures (NCDs) by NBFCs

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List

RBI/2014-15/465 DNBR(PD).CC.No.020/03.10.42/2014-15 February 11, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List Please refer to our Circular DNBR(PD).CC.No.014/03.10.42/2014-15 dated January 23, 2015 on the captioned subject releasing 1st update dated January 2, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External A

RBI/2014-15/465 DNBR(PD).CC.No.020/03.10.42/2014-15 February 11, 2015 All NBFCs Dear Sirs, Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List Please refer to our Circular DNBR(PD).CC.No.014/03.10.42/2014-15 dated January 23, 2015 on the captioned subject releasing 1st update dated January 2, 2015 regarding UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List. 2. Ministry of External A

Implementation of Section 51-A of UAPA, 1967- Updates of the UNSCR 1267(1999)/1989(2011) Committee’s Al Qaida Sanctions List