Compliance Function and Role of Chief Compliance Officer in NBFCs
Chapter notes, video classes, MCQ practice tests and quick-revision one-liners for Advanced Bank Management — CAIIB.
One-liners from this chapter
Free sample — 8 of 39 rapid-fire Q&A cards.
Base Layer — Short Name / Who Sits Here?
Short Name: NBFC-BL; Who Sits Here: Non-deposit-taking NBFCs with assets < ₹1,000 crore; NBFC-P2P, NBFC-AA, NOFHC; NBFCs not availing public funds and with no customer interface.
Middle Layer — Short Name / Who Sits Here?
Short Name: NBFC-ML; Who Sits Here: All deposit-taking NBFCs (NBFC-Ds) regardless of size; non-deposit NBFCs ≥ ₹1,000 crore; SPDs, IDF-NBFCs, CICs, HFCs, NBFC-IFCs.
Upper Layer — Short Name / Who Sits Here?
Short Name: NBFC-UL; Who Sits Here: NBFCs warranting enhanced regulation based on a parametric scoring methodology. Top 10 eligible NBFCs by asset size always sit here.
Top Layer — Short Name / Who Sits Here?
Short Name: NBFC-TL; Who Sits Here: Reserved for situations of substantial systemic risk from specific NBFC-ULs. Ideally remains empty.
NBFC-P2P, NBFC-AA, NOFHC, NBFCs without public funds & customer interface?
Always Base Layer
NBFC-D, CIC, IFC, HFC?
Middle Layer or Upper Layer (never Base Layer)
SPD (Standalone Primary Dealer), IDF-NBFC?
Always Middle Layer
NBFC-ICC, NBFC-MFI, NBFC-Factor, NBFC-MGC?
Any layer depending on SBR scoring
Video classes for this chapter
Compliance Function and Role of Chief Compliance Officer in NBFCs
Compliance Function and Role of Chief Compliance Officer in NBFCs
Compliance Function and Role of Chief Compliance Officer in NBFCs Part 3
Compliance Function And Role Of Chief Compliance Officer In Nbfcs
Compliance Function and Role of Chief Compliance Officer in NBFCs
Compliance Function and Role of Chief Compliance Officer in NBFCs Part 3
MCQ practice tests
Chapter-wise mock tests with instant scoring.
PDF study notes
More chapters in Module D - Compliance in Banks & Corporate Governance
Related articles & notes
In-depth Advanced Bank Management guides from our blog.
Master the full ABM syllabus
Every chapter of Advanced Bank Management — videos, tests, notes and one-liner decks in one place.