NBFC Compliance Checklist Form
Use this form to record an NBFC compliance review, capture reviewed areas, note findings, and plan follow-up actions.
Compliance Review Details
NBFC / Entity Name
*
Branch / Office Name
Review Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Reviewer Name
*
Review Status
*
Draft
In Progress
Completed
Needs Follow-Up
Checklist Items and Findings
Compliance areas reviewed
*
KYC documentation
Onboarding records
Loan file documentation
Customer communication records
Grievance handling
Reporting registers
Policy acknowledgements
Other
Key observations or non-compliance notes
Overall compliance risk
*
Low
Moderate
High
Critical
Action Plan and Follow-Up
Corrective Actions Required
*
Follow-Up Review Date / Deadline
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Submit
Should be Empty: