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Case Law |
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PREAMBLE
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| 0 |
PREAMBLE
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CHAPTER - I
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GENERAL
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| 1 |
Short title and commencement
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| 2 |
Definitions
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| 3 |
Eligibility conditions for the establishment of a NBFC
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Permission to form a NBFC
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Conditions for grant of licence
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| 6 |
Commencement of operations by NBFC
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| 7 |
Conditions applicable to a NBFC
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Opening of branches
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| 9 |
Insurance coverage
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| 10 |
Exchange fluctuation risk
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| 11 |
Bar on acquiring controlling interest
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CHAPTER - II
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OPERATIONS
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| 12 |
Issue of certificates of investment or deposit
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Terms and conditions for undertaking leasing business
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Terms and conditions for undertaking investment finance services
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| 15 |
Total investment in equities
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| 16 |
Maximum exposure to a single issuer or associated issuer of risk assets
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| 17 |
Underwriting commitments
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| 18 |
Principles for margin loans
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| 19 |
Managing discretionary client accounts
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| 20 |
Terms and conditions for undertaking housing finance services
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Limit on individual exposures
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| 22 |
Terms and conditions for operating as a venture capital company
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| 23 |
Private placement
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| 24 |
Placement memorandum
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| 25 |
Eligibility conditions of a venture capital fund
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| 26 |
Condition for grant of licence
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| 27 |
Terms and conditions of operation
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| 28 |
Renewal of licence
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| 29 |
Private placement
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| 30 |
Placement memorandum
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| 31 |
Enquiry
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Cancellation of licence
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| 33 |
Terms and conditions to operate as Investment Adviser of closed-end fund
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| 34 |
Obligations of a NBFC licensed to operate as an investment adviser of a closed-end scheme
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| 35 |
Cancellation of licence of a NBFC to operate as an investment adviser
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| 36 |
Regulation of the business of Investment Companies (closed-end funds)
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| 37 |
Eligibility for registration
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| 38 |
Registration
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| 39 |
Appointment of investment adviser
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| 40 |
Custody of securities
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| 41 |
Authorization of closed-end scheme
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| 42 |
De-authorization
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| 43 |
Appointment of trustee
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Conditions applicable to trustee
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Obligations of trustee of a closed-end scheme
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| 46 |
Retirement of trustee
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Trustee and the investment adviser to be independent
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| 48 |
Invitation to invest
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| 49 |
Investment policy and diversification
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| 50 |
Sale of securities and cost thereof
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| 51 |
Prohibitions
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| 52 |
Transactions with connected person
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| 53 |
Remuneration payable to investment adviser
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| 54 |
Annual fee
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| 55 |
Amount distributable to shareholders
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| 56 |
Publication of portfolio securities
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| 57 |
Maintenance of books of accounts and other documents
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Periodical reports to shareholders, etc
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Appointment of auditor
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Special Audit, etc
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| 61 |
Conversion of closed-end fund
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| 62 |
Power of Commission to give directions
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| 63 |
Penalty
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| 64 |
Terms and conditions to undertake Asset Management Services (Management Company for Open-end Funds)
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| 65 |
Obligations of asset management company
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| 66 |
Remuneration payable to asset management company
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| 67 |
Authorization of Scheme
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| 68 |
Special audit of a scheme
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| 69 |
De-authorization
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| 70 |
Advertisement and invitations
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| 71 |
Investment policy and diversification
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| 72 |
Short sale not allowed
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| 73 |
Limitations and prohibitions
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| 74 |
Appointment of trustees
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| 75 |
Conditions applicable to trustees
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| 76 |
Obligations of the trustee
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| 77 |
Retirement of trustee
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| 78 |
Trustee and the asset management company to be independent
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| 79 |
Annual fee
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| 80 |
Pricing, issue and redemption of units
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| 81 |
Transaction with connected persons
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| 82 |
Cancellation of licence to operate as an asset management company
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| 83 |
Power of the Commission to give directions to trustees
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CHAPTER – III
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MISCELLANEOUS
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| 84 |
Relaxation of rules/directions
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| 85 |
Transitional provisions
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| 86 |
Repeal and savings
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FORM-I
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[see rule 4(1)]
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APPLICATION FOR PERMISSION TO FORM A NON – BANKING FINANCE COMPANY
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| 1 |
APPLICATION FOR PERMISSION TO FORM A NON – BANKING FINANCE COMPANY
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