KYC Compliance Process了解客户的一致性过程.ppt

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1、CDSL Ventures Ltd,KYC Compliance Process,Verification of DocumentsData EntryModification in Data EntryDispatch of DocumentsPrinting Acknowledgement LetterDetail Change Module,CDSL Ventures Ltd,Verification of Documents,Verification of KYC Application Form(KAF):All mandatory fields are filled by the

2、applicantColour photograph is pasted(not stapled)on the KAFApplicant is not a minorVerification of Proof documents:PAN card copy is providedDocuments are either self-attested long with the originals or it is attested by registered authoritiesDocuments are provided on A4 sheet and one-sided copies.Po

3、S should stamp the documents with“Verified With Original”,CDSL Ventures Ltd,Data Entry,After verification of KAF and other documents PoS should enter the data in the software.Pos should check the acknowledgement letter for any possible mistakes while doing the data entry.PoS should stamp and sign th

4、e Acknowledgement letter before handing it over to the client.,CDSL Ventures Ltd,Go to the website https:/,Click on Login for POS,CDSL Ventures Ltd,Login to the software by proving user id&password,CDSL Ventures Ltd,Home Page for KYC Compliance Software,CDSL Ventures Ltd,Click on CVL_GET_REF_NO from

5、 the dropdown list,CDSL Ventures Ltd,Click on New to generate new Workitem No.,CDSL Ventures Ltd,Write the Workitem No.on top of the KYC Application Form(KAF),CDSL Ventures Ltd,Write the workitem no.here,16501,CDSL Ventures Ltd,Click on CVL_MIN_ALLOCATION from the dropdown list,CDSL Ventures Ltd,Cli

6、ck on the workitem generated in CVL_GET_REF_NO queue,CDSL Ventures Ltd,Data Entry of the KAF for REGULAR Applicant,After verification of KAF and other documents POS should enter the data in the software.Get the Reference no.and then,from Min allocation select the reference no.Select the Investor Typ

7、e.For the normal KYC till date all POS was entering only Investor type,Now after Investor Type they have to select Exempt Type as REGULAR.This is by default REGULAR only.After entering all the other details,Press Commit.Following Slide shows the screen shots for Regular.,CDSL Ventures Ltd,CDSL Ventu

8、res Ltd,SELECT INVESTOR TYPE,CDSL Ventures Ltd,Select Exempt Type as REGULAR,CDSL Ventures Ltd,CDSL Ventures Ltd,PRESS COMMIT,CDSL Ventures Ltd,PRESS PRINT,CDSL Ventures Ltd,KYC Acknowledgement Letter for Regular,Check whether Name,Address and PAN mentioned in the Acknowledgement letter are correct

9、i.e.as provided in the KYC application form.Stamp and sign the KYC acknowledgement letter.Hand it over to the client across-the-counter.KYC Acknowledgement letter having the PAN NO.Also instruct the client to submit a copy of the acknowledgement letter for all their first time investment in any Mutu

10、al Fund.,CDSL Ventures Ltd,PRESS OK AND TAKE PRINTOUT,PAN NO.,CDSL Ventures Ltd,Modification in data entry,POS can modify the data entry before clicking on DONE button.After modification DONE button is disabled and COMMIT button is enabled.POS should again click on the COMMIT button then take a prin

11、t of the acknowledgement letter to enable the DONE button.The earlier acknowledgement letter should be discarded and new one should be handed over to the client after putting POS stamp and signature.,CDSL Ventures Ltd,PRESSDONE,CDSL Ventures Ltd,Data Entry For the Exempt,After taking the Reference n

12、o.and then from Min allocation select the reference no.Select the Investor Type.Select Exempt Type as EXEMPT and Select Exempt Category.Screen shot are as follows,CDSL Ventures Ltd,SELECT INVESTOR TYPE,CDSL Ventures Ltd,FOR THE EXEMPT TYPE SELECT EXEMPT,CDSL Ventures Ltd,SELECT EXEMPT CATAGORY,CDSL

13、Ventures Ltd,AUTOMATICALLY EXEMPT CODE WILL BE GENERATE,TEXT BOX FOR PAN NO.WILL BE DISABLE,CDSL Ventures Ltd,PRESS COMMIT,CDSL Ventures Ltd,PRESS PRINT,CDSL Ventures Ltd,KYC Acknowledgement Letter For Exempt,Check whether Name&Address mentioned in the Acknowledgement letter are correct i.e.as provi

14、ded in the KYC application form.KYC Acknowledgement letter for the Exempt have the Automatically generated EXEMPT Code.Stamp and sign the KYC acknowledgement letter.Note down the Exempt Code in Application form.Hand it over to the client across-the-counter.Also instruct the client to submit a copy o

15、f the acknowledgement letter for all their first time investment in any Mutual Fund.For Exempt case they have to write EXEMPT Code instead of PAN No.KYC Reference No.,CDSL Ventures Ltd,PRESS OK AND TAKE PRINTOUT,NOTE DOWN THE AUTOMATED EXEMPT CODE GENERATED.,CDSL Ventures Ltd,Modification in data en

16、try,POS can modify the data entry before clicking on DONE button.After modification DONE button is disabled and COMMIT button is enabled.POS should again click on the COMMIT button then take a print of the acknowledgement letter to enable the DONE button.The earlier acknowledgement letter should be

17、discarded and new one should be handed over to the client after putting POS stamp and signature.,CDSL Ventures Ltd,PRESSDONE,CDSL Ventures Ltd,Dispatch of Documents,Once the data entry for all the KYC application is complete,the POS should send the KYC application form along with all the mandatory d

18、ocuments to CDSL Ventures Limited.POS should create the batch&print the batch report form the software and send the documents with the batch report.POS should contact CVL appointed courier agency for dispatch of documents.After the documents are dispatched,courier details(Courier Agency name and POD

19、 no.)should be entered into the KYC Courier details.Document Should sent on the below Address:CDSL VENTURES LIMITEDI-202,Deck Level,2nd floor,Above Belapur Railway Station,Belapur,Navi Mumbai 400 614.,CDSL Ventures Ltd,Click on the BATCH button,CDSL Ventures Ltd,Click on KYC BATCH CREATION,CDSL Vent

20、ures Ltd,Click on CREATE BATCH,CDSL Ventures Ltd,Batch is created per 100 records which the PoS should take a print of,CDSL Ventures Ltd,Click on PRINT to print the batch report,Click on Close,CDSL Ventures Ltd,Click on KYC COURIER DETAILS,CDSL Ventures Ltd,Enter the Courier Agency name and POD numb

21、er,Click on SUBMIT,CDSL Ventures Ltd,Printing the Acknowledgement Letter,PoS can print the acknowledgement letter for any KYC done by the them at any time latterAcknowledgement Letter can be printed for those PAN only for which KYC was done by the PoSPoS should sign and stamp all such acknowledgemen

22、t letters before handing it over to the client,CDSL Ventures Ltd,Click on the PRINT button,CDSL Ventures Ltd,Enter PAN and click on PRINT button,CDSL Ventures Ltd,Click on OK once the print has been taken,CDSL Ventures Ltd,Click on CVLDC_CHANGE_DETAIL_NO,CDSL Ventures Ltd,KYC Detail Change,Any chang

23、es in the details of the client would be done form this module.Changes can initiated by:POS:Only modifications would be allowedChanges can be done for those cases which were earlier process by the same POS.Changes can be done for those cases where verification at CVL is pendingNo documents are requi

24、red for such kind of modification as the new data is as per the original KAF.Investor/Client:Modification can be done through any PoS.Change request form along with proof documents would be needed for this type of modifications.Client modification can be done for those cases where the CVL verificati

25、on is complete.POS should forward the documents for client modification to CVL with the separate generated batch report.,CDSL Ventures Ltd,Click on NEW,CDSL Ventures Ltd,Note down the workitem no.and mention it on top of the application form,CDSL Ventures Ltd,Click on CVLDC_CHANGE_DETAILS,CDSL Ventu

26、res Ltd,Click on the workitem created,CDSL Ventures Ltd,Enter PAN OR EXEMPT Code and click on FETCH,CDSL Ventures Ltd,Select the appropriate option for the type of changeERROR CORRECTION For changes by the POS;no documents required for the changes.CHANGE DETAILS Changes initiated by the investor;app

27、lication form along with the proof document required.SIGNATURE CHANGE For Change in signature;only the documents needs to be forwarded to CVL.,CDSL Ventures Ltd,Enter the new value in the appropriate fieldEnter the change reasonClick on PROCESSClick on COMMITClick on PRINT to take a print of the cha

28、nge ackn.Letter,CDSL Ventures Ltd,Click on DONE to complete the process.Before clicking on DONE.,CDSL Ventures Ltd,CHANGE DETAIL,CDSL Ventures Ltd,CLICK THE CHECK BOX TO CHANGE FROM EXEMPT TO REGULAR,ENTER THE PAN NO,CDSL Ventures Ltd,GIVE THE CHANGE REASON&CLICK THE PROCESS,COMMIT,CDSL Ventures Ltd

29、,PRINT,CDSL Ventures Ltd,OK,CDSL Ventures Ltd,DONE,CDSL Ventures Ltd,Click on KYC CHANGE DETAIL BATCH CREATION,CDSL Ventures Ltd,Click on CREATE BATCH,CDSL Ventures Ltd,Batch is created per 100 records which the PoS should take a print,Click on PRINT to print the batch report,CDSL Ventures Ltd,Click

30、 on KYC Change Detail Courier Details,CDSL Ventures Ltd,Enter the Courier Agency name and POD number,Click on Submit,CDSL Ventures Ltd,Dispatch of Change Detail Documents,Similar to the KYC documents forward the detail change documents to CVL.Document Should sent on the below Address:CDSL VENTURES LIMITEDI-202,Deck Level,2nd floor,Above Belapur Railway Station,Belapur,Navi Mumbai 400 614.,