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Policy, Process, Agreement, and SOP Development for NBFCs

The formulation of policies, processes, agreements, and Standard Operating Procedures (SOPs) is a critical aspect of Non-Banking Financial Companies (NBFCs) to ensure regulatory compliance, risk management, and operational efficiency. These documents help in streamlining business operations, mitigating risks, and maintaining transparency in financial transactions.

Key Policies and Processes Required for NBFCs:

  • Risk Management Policy - Framework to identify, assess, and mitigate financial and operational risks.
  • Asset-Liability Management (ALM) Policy - Guidelines for managing liquidity risks and interest rate exposure.
  • Loan & Credit Policy - Defines eligibility criteria, loan approval process, and repayment structure.
  • Customer Grievance Redressal Policy - Ensures efficient handling of customer complaints and service quality improvements.
  • KYC & AML Compliance Policy - Adheres to RBI guidelines to prevent money laundering and fraudulent activities.
  • Fair Practice Code (FPC) - Ensures ethical lending practices, transparency, and consumer protection.
  • Collection & Recovery Policy - Lays out legal and ethical methods for loan collection and recovery.
  • Agreement Drafting & SOPs - Customized loan agreements, vendor contracts, and operational SOPs for NBFCs.

Why Choose Panchal S K and Associates?​

  • Regulatory Expertise - We ensure 100% compliance with RBI guidelines.
  • Customized Solutions - Tailored policies and SOPs based on your NBFC's business model.
  • End-to-End Support - From drafting agreements to implementing best practices.
  • Risk Mitigation - Strategic frameworks to protect against financial and operational risks.