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Rule 21AK: Conditions for the purpose of clause (4E) of section 10

The Income-tax Rules, 1962Central Act · 1962

[Conditions for the purpose of clause (4E) of section 10.

[(1) The income accrued or arisen to, or received by, a non-resident as a result of—

(a) transfer of non-deliverable forward contracts or offshore derivative instruments or over-the-counter derivatives; or

(b) distribution of income on offshore derivative instruments [or over-the-counter derivatives],

under clause (4E) of section 10 of the Act, shall be exempted subject to fulfilment of the following conditions, namely:—

(i) the non-deliverable forward contract or offshore derivative instrument or over-the-counter derivative is entered into by the non-resident with an offshore banking unit of an International Financial Services Centre which holds a valid certificate of registration granted under International Financial Services Centres Authority (Banking) Regulations, 2020 by the International Financial Services Centres Authority [or any Foreign Portfolio Investor being a unit of an International Financial Services Centre]; and

(ii) such contract, instrument or derivative is not entered into by the non-resident through or on behalf of its permanent establishment in India.]

(2) The offshore banking unit [or the Foreign Portfolio Investor] shall ensure that the condition provided in clause (ii) of sub-rule (1) is complied with.

[Explanation.—For the purpose of this rule, the expression,—

(i) "derivative" shall have the same meaning as assigned to it in clause (ac) of section 2 of the Securities Contracts (Regulation) Act, 1956 (42 of 1956);

(ii) "a non-deliverable forward contract" shall mean a contract for the difference between an exchange rate agreed before and the actual spot rate at maturity, with the spot rate being taken as the domestic rate or a market determined rate and such contract being settled with a single payment in a foreign currency;

(iii) "offshore banking unit" means a banking branch Unit located in an International Financial Services Centre, as referred to in sub-section (1A) of section 80LA of the Act;

(iv) "offshore derivative instrument" shall have the same meaning as assigned to it in clause (o) of sub-regulation (1) of regulation 2 of the SEBI (Foreign Portfolio Investors) Regulations, 2019;

(v) "over-the-counter derivatives" shall mean a derivative contract that is not traded on an exchange but instead is privately negotiated between [a purchaser and a seller;]

(vi) "permanent establishment" shall have the meaning as assigned to it in clause (iiia) of section 92F of the Act.] [and]]

87a[(vii(87a[(vii) "Foreign Portfolio Investor" means a person registered under the Securities and Exchange Board of India (Foreign Portfolio Investors) Regulations, 2019 made under the Securities and Exchange Board of India Act, 1992 (15 of 1992).]

Where this provision sits

ActThe Income-tax Rules, 1962
Rule21AK
Marginal noteConditions for the purpose of clause (4E) of section 10
JurisdictionCentral
StatusIn force as published by the source

How this provision has been amended

Taken from the footnotes printed with the provision by the source. Where a footnote names the amending instrument, it is quoted as printed.

  • inserted. Inserted by the IT (Thirty-third Amdt.) Rules, 2021, w.e.f. 10-12-2021.
  • substituted. Substituted by the IT (Twelfth Amdt.) Rules, 2023, w.e.f. 17-7-2023.
  • substituted. Substituted by the IT (Twenty-third Amdt.) Rules, 2022, w.e.f. 1-8-2022.

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