Unique Client Code
Contents
1. e ecu ne aal ee raa dia nere PIN uana ges 3 1 e ss denen eA ea ee eee 3 2 Upload Optom t 3 3 Download ODtiOn meet ere 34 Add UCG rarei 35 Modify WEG hee ean e 4 UCC Batch Upload File Format eerte reete rt one rcr BSE Ltd Page 4 of 25 SE EXPERIENCE THE NEW 1 Introduction Securities and Exchange Board of India SEBI made it mandatory for all members to use Unique Client Code UCC for all clients in the cash market SEBI has also made it mandatory for all members of the derivative segment to use unique client code for all clients in the derivatives market Members will allot a client code for each segment to each of his clients including the clients of his sub brokers which is unique the same code will not be allotted to any other client in his office or at branches or to the clients of sub brokers 2 https ucc bseindia com In order to facilitate the members to register the Unique Client Code UCC details one needs to access the site i e https ucc bseindia com In order to use the UCC module for new members users members users needs to approach their respective Relationship Managers to allow them provide you the username to access the UCC sy2. BSE Ltd Page 6 of 25 39E EXPERIENCE THE NEW The above screen shows the first page after the members logs in to the site Member can view the UCC tab on the top panel On clicking on the UCC tab the dropdown list is shown as mentioned in the figure above The UCC tab gives the Upload Download Add UCC Edit UCC List Error Log and BAT User Report option for the BAT i e the main member The detailed description of the option is given below 3 2 Upload Option The UCC Upload Option is a batch upload facility whereby the members have to generate batch files in the prescribed format provided by BSE given in Manual below and upload the same using this option The file upload procedure is described as under Step 1 Select UCC gt Upload from the main menu UCC Upload Coe A SearchBy From Date 89 To Date Es Figure 3 Step2 Click on Browse Button and following screen is displayed UCC Upload Em File pat re pate BE Choose File to Upload Look in 16 NEW UCC TESTING 2 E BTest2 txt My Recent BTest3 txt Documents 2 presta t 2 E BTestS b t W ERROR2 doc Desktop E Errors txt E New Text Document txt E olducc txt W screenshot doc tip Domeni UCC Issue Tracker xls My Computer My Network File name Em pus El Files of type All Files Cancel Figure 3 1 BSE Ltd Page 7 of 25 5 EXPERIENCE THE NEW Step 3 Select the file only
3. Search button the following window pops up as shown in Figure 3 10 below Client Code Search Depository Details Depository Name 1 et Depository Client Select Client https ucc bseindia com fName frmM DER Category SEARCH Client Code Client Code Update Rezson Client Code BAN Number Address 1 Correspondence Corporate Office Select Depository Address Whether Correspondence Corporate Office Address And Permanent Registered Office Address Are Same Address 2 Permanent Recistered Office Address Country State City Pin Code Type of Service Account Number 2 Contact details Branch Address 2 BSE Ltd Page 14 of 25 SE EXPERIENCE THE NEW Figure 3 10 The member needs to double click the respective client code which needs to be modified The details are populated on the screen for the member to modify Step 3 After the necessary changes are done in the record the user has to click on the Submit button to save the necessary changes Step 4 The system also provides the option of batch bulk modification to the users where by the user has to upload the batch file in the format specified below This upload facility is the same Upload Option mentioned above at Figure 3 to 3 5 except for a change in the file format Step 5 The first colum
4. INCOME INCOME DATE NETWORTH NETWORTH DATE IS ACTIVE REASON FIRST MIDDLE NAME LAST NAME AADHAR CARD NO OF BIRTH CLIENT NAME REGISTRATION REGISTRATION AUTHORITY REGISTRATION DATE PLACE OF REGISTRATION WHETHER CORPORATE CIN CIN NO NO OF DIRECTORS PARTNERS KARTA UID PARTNERS CO PARCENER UID CONTACT PERSON 1 CONTACT PERSON DESIGNATION1 CONTACT PERSON ADDRESS1 CONTACT PERSON EMAIL1 CONTACT PERSON CONTACT PERSON TEL MOB NO1 CONTACT PERSON NAME2 CONTACT PERSON DESIGNATION2 CONTACT PERSON ADDRESS2 PERSON EMAIL2 CONTACT PERSON 2 CONTACT PERSON TEL MOB NO2 Second Row Director details NEW DIRECTOR DELETE DIRECTOR Client Code Name of Director DIN Whether Foreign Resident Director PanNo Sample data File for data for general record N NI CL MB CLIENTCODE1 ARMPF9567D N PERMANENTADDRESS 1 CORRESPONDENCEADDRESS INDIA MAHARASHTRA MUMBAI 400089 1 1 name gmail com 9992030001 022 22721234 NSDL IN123451 12345678 ICICI VVUAYABANK 2121212 OEUEUUEUA 1 1 12 02 2013 Y FIRSTNAME MID DLENAME LASTNAME 20 12 1981 CLIENTNAME 20 12 1981 Y CINNO123455566 CONTACTPERSON1 CONTACTDESGN1 CONTACTADDRESS1 CONTACTEMAIL1 G gmail com AAAAA12344A 9985451258 CONTACTPERSON2 CONTACTDESGN2 CONTACTADDRESS2 CONTACTEMAIL2 G gmail com ABCDE1234A 8542158745 Sampl
5. txt file allowed as per the prescribed format to be uploaded Click on Open button Step 4 The name with its entire path is displayed in the text area of the Upload Screen Step 5 On selecting the file to be uploaded the member needs to click on the Upload File button besides the Browse button On clicking the Upload File button the file goes through basic file validation like delimiter file extension etc and uploads the same to system However the file is not processed in the UCC system On clicking the Upload File button the system displays a message File Uploaded successfully Please click on Submit button to process the file as shown in Figure 3 2 Browse File uploaded successfully Please click on Submit button to process the file SearchBy From Date Es To Date 7 FileName SUCCESSCOUNT FAILURECOUNT TOTALCOUNT VIEWERROR DATE STA 1003 12042013175723 txt 0 0 0 JnProcessed 12 04 2013 17 57 23 Figure 3 2 ember needs to click on the Submit button day will be displayed so as to allow the member to After uploading the file it is still in the Unproogssed state Th to process the file All the files uploaded by the user for process the file using the Submit button On clicking on the Submit butto file status changes to Progessed and data is successfully inserted If the fil
6. 26 Depository 1 Character 4 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 27 Demat ID1 Alphanumeric 50 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 28 Depository Participant1 Alphanumeric 50 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 29 Depository Name2 Character 4 30 Demat ID 2 Alphanumeric 50 O 31 Depository Participant2 Alphanumeric 50 32 Depository Name3 Character 4 33 Demat ID 3 Alphanumeric 50 34 Depository Participant3 Alphanumeric 50 35 Bank 1 Character 50 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 36 Account No1 Alphanumeric 20 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 37 Branch Address1 Alphanumeric 150 M O Mandatory for INDIVIDUAL NON INDIVIDUALS Optional for INSTITUTIONS 38 Bank Name2 Character 50 39 Account No2 Alphanumeric 20 40 Branch Address2 Alphanumeric 150 41 Character 50 42 Account No3 Alphanumeric 20 43 Branch Address3 Alphanumeric 150 44 Client Agreement Date Account Alphanumeric 10 Format DD MM YYYY Opening Date Future date not allowed 45 Provide Details For Numeric 1 M Values drop down INCOME NETWORTH BOTH 1 INCOME 2 NETWORTH 3 BOTH Validations Mandatory for Client Type for INDIVIDUAL and NON INDIVIDUAL How
7. client type NON INDIVIDUAL then user may give maximum 20 directors details of which 2 director details are compulsory else Optional Example 1 if the user does not want provide additional director details other than the 2 compulsory director details this column can be kept blank the BSE Ltd Page 20 of 25 35 EXPERIENCE THE NEW system will automatically take it as 2 Example 2 if the user wants to provide 2 additional directors details in addition to the 2 compulsory director details the user needs to provide 4 in this column 65 Partners Karta UID Alphanumeric 10 If the client category is HUF PF then user may fill this field 66 Partners Co Parcener UID Alphanumeric 10 If the client category is HUF PF then user may fill this field 67 Contact Person Name1 Character 50 Mandatory if Client Type is NON INDIVIDUAL 68 Contact Person Designation1 Character 50 Mandatory if Client Type is NON INDIVIDUAL 69 Contact Person Address1 Alphanumeric 150 Mandatory if Client Type is NON INDIVIDUAL 70 Contact Person Email1 Alphanumeric 50 71 Contact Person PAN1 Alphanumeric 10 Mandatory if Client Type is NON INDIVIDUAL 72 Contact Person Tel Mob No1 Numeric 10 Mandatory if Client Type is NON INDIVIDUAL 73 Contact Person Name2 Character 50 Mandatory if Client Type is NON INDIVIDUAL 74 Contact Person Designation2 Character 50
8. correspondence address then user needs to provide the same value entered in Correspondence Address field 12 Country Character 25 M User selects INDIA and for other than Indian country user enters the Country name 13 State Alphanumeric 25 M If Country selected is INDIA State City master to be used else user enters State name of the Country entered 14 City Alphanumeric 25 M If Country selected is INDIA State City master to be used else user can enter City name of the State entered 15 Pincode Alphanumeric 10 M O Mandatory if Country selected is INDIA else Optional 16 Types Of Service Numeric 1 M Values 1 SMS 2 EMAIL 3 SMS amp EMAIL 4 NONE 17 Contact Details Numeric 1 M Values 1 TELEPHONE 2 MOBILE 3 BOTH 18 Email Alphanumeric 50 M O Mandatory if Type of Service is 2 amp 3 else Optional 19 Mobile Number Numeric 10 M O Mandatory if Type of service is 1 amp 3 Contact Details is 2 amp 3 else Optional 20 STD Code Numeric 10 M O Mandatory if Contact Details is selected as 1 amp 3 else Optional 21 Phone No Numeric 15 M O Mandatory if Contact Details is 1 BSE Ltd Page 17 of 25 3SE EXPERIENCE THE NEW amp 3 else Optional 22 Equity CP Code Alphanumeric 14 23 Equity CM ID Numeric 5 24 FNO Code Alphanumeric 14 25 FNOCMID Numeric 5
9. EXPERIENCE THE NEW EXPERIENCE THE NEVV BSE Limited P J Towers Dalal Street Fort Mumbai 400 001 www bseindia com Unique Client Code User Manual Version 2 0 April 12 2013 Unauthorised access or copying of this document is prohibited This is an uncontrolled copy The original copy is maintained on electronic media Please contact Bombay Stock Exchange Limited for the latest available version BSE Ltd Page 1 of 25 35t Project Code UCC Project Name BSE UCC System Account BSE Limited Vertical Financial Services Location Mumbai Customer Name BSE Ltd Technical Manager Email ID Project Manager Email ID Quality Co ordinator Email ID Customer Contact Information BSE Ltd Page 2 of 25 3SE EXPERIENCE THE NEW Revision History Version Date of Description of Change Reason for Change Affected Approved By x yy Revision Sections 1 0 Jan 02 2007 Initial 2 0 Apr 12 2013 Changes to accept SEBI Compliance Add Modify additional fields as Download specified by SEBI Batch Upload Affected Groups BSE Members Brokers SEBI EOD File BOSSi EOD File BSE Ltd Page 3 of 25 SE EXPERIENCE THE NEW Table of Contents 1 MYER OC UCT ON 2 Site tO dCCess Po LU LED OO UM MAD PDEA CeO 3 UCC registration
10. LS NON INDIVIDUAL CLIENT NON GOVERNMENT ORGANISATIONS NON INDIVIDUAL CLIENT VENTURE CAPITAL FUNDS NON INDIVIDUAL CLIENT DEFENSE ESTABLISHMENTS NON INDIVIDUAL CLIENT SOCIETY NON INDIVIDUAL CLIENT CHARITIES INSTITUTION INSTITUTION BANKS INSTITUTION INSTITUTION FOREIGN INSTITUTIONAL INVESTORS INSTITUTION INSTITUTION DOMESTIC FINANCIAL INSTITUTIONS INSTITUTION INSTITUTION INSURANCE INSTITUTION INSTITUTION MUTUAL FUNDS INSTITUTION BSE Ltd INSTITUTION NEW PENSION SCHEMES Page 23 of 25 39E EXPERIENCE THE NEW FILE FORMAT WITH HEADERS First Row General NEW MODIFY BATUSER CLIENTTYPE CLIENTSTATUS CLIENTCATEGORY CLIENTCODE PANNUMBER WHETHERPOLITICALLYEXPOSEDPERSON PERMANENTADDRESS PERMANENTADDRESSSAME AS CORRESPONDENCE ADDRESS CORRESPONDENCE ADDRESS COUNTRY STATE PINCODE TYPES OF SERVICE CONTACT DETAILS EMAIL MOBILE NUMBER STD CODE PHONE EQUITY CP CODE EQUITY CM ID CP CODE FNO CM ID DEPOSITORY NAME1 DEMAT 101 DEPOSITORY PARTICIPANT1 DEPOSITORY NAME2 DEMAT ID 2 DEPOSITORY PARTICIPANT2 DEPOSITORY DEMAT ID DEPOSITORY PARTICIPANT3 BANK NAME1 ACCOUNT NO1 BRANCH ADDRESS1 BANK NAME2 ACCOUNT NO2 BRANCH ADDRESS2 BANK NAME3 ACCOUNT BRANCH ADDRESS3 CLIENT AGREEMENT PROVIDE DETAILS FOR INCOME NETWORTH BOTH
11. Mandatory if Client Type is NON INDIVIDUAL 75 Contact Person Address2 Alphanumeric 150 Mandatory if Client Type is NON INDIVIDUAL 76 Contact Person Email2 Alphanumeric 50 77 Contact Person PAN2 Alphanumeric 10 Mandatory if Client Type is NON INDIVIDUAL 78 Contact Person Tel Mob No2 Numeric 10 Mandatory if Client Type is NON INDIVIDUAL The second row format is mandatory only for client codes with client category as BCO or if the user selects Whether Corporate CIN as Y YES in case of NON INDIVIDUAL client type else not required BSE Ltd Page 21 of 25 EXPERIENCE THE NEW The user needs to provide a maximum of 20 directors details of which 2 director details are compulsory in the below mentioned format along with the first row format given above User should ensure that the No of Directors field entered in the first row should match with the number of rows below the general row 1 ND DD Character 2 2 Client Code Alphanumeric 11 Name of Director Character 50 5 Values NDzNew Director DD Delete Director Pe ee O Mandatory for client category BCO or if user selects Whether Corporate CIN as Y YES in case of client type NON INDIVIDUAL Whether Foreign Resident Character 1 Mandatory for client category BCO or if user selects Whether Corporate CIN as Y YES in case of client type NON INDIVIDUAL Values Y NO Mandatory if user selects W
12. dy exist with clientcode AA8 at line no 24 i Already exist with clientcode AA9 at line no 25 i Already exist with clientcode AA9 at line no 27 i Already exist with clientcode AA10 at line no 28 gt Director Already exist with clientcode AA10 at line no 30 gt Director Already exist with clientcode AA11 line no 31 gt Director Already exist with clientcode AA11 line no 32 gt For ClientType Status Cl Category Should be HUF PF T BOI LLP HGO WCF DEF SOC CH BCO MB OCB PMSN QFIN O AOP FYCP Clientcode Exists line no 33 gt Error in General Row line no 34 gt Error in General Row line no 36 gt Director Already exist clientcode line no 37 gt Director Already exist wi clientcode line no 39 gt Director Already exist clientcode line no 40 gt Director Already exist wi clientcode line no 42 gt Director Already exist clientcode line no 43 gt Director Already exist wi clientcode line no 45 gt Director Already exist clientcode line no 46 gt Director Already exist wi clientcode line no 48 gt Director Already exist clientcode line no 49 gt Director Already exist wi clientcode line no 51 gt Director Already exist clientcode line no 52 gt Director Already exist wi clientcode line no 54 gt Director Already exist clientcode line no 55 gt Director Already exist wi clientcode line no 57 gt Director Already exist clientcode line no 58 gt Director Already exist wi clientcode line no 60 gt D
13. e data file for data for NON INDIVIDUAL where the user needs to give director details 2 ARMPF9567D N fdfafa 1 FASFFA INDIA MAHARASHTRA MUMBAI 400089 1 1 pa vanapunja gmail com 9920424546 022 5289634 NSDL IN12345112345678 232 VUAYABANK 2121212 4 1 12 02 2013 Y PAVANA PRASAD PUNJA 120 12 1981 PRASAD123 20 12 1981 Y 2313HJD 2 LL LL LLL LLL L B ND 2 PRAKASH KRISHNAN 1111211 N ASDFR1234D ND 2 RAJESH VERMA 444421 N ASDFC1234D BSE Ltd Page 24 of 25 SE EXPERIENCE THE NEW Purpose of this Document This document is the User Manual for UCC system It is comprehensive usage guide for UCC System and describes all features and interactions available to the user in UCC System The document covers all the functional areas in the System This User Manual document has the detailed module wise documents embedded within covering all the areas listed above BSE Ltd Page 25 of 25
14. e is processed successfully then Success Count and Total Count Will match and the data is successfully inserted in the UCC system However in case of any error the Failure Count will display the count of records failed and the ViewError column will display the link ViewError as shown in the Figure 3 3 which when clicked will download the Error UCC Upload Upload File File uploaded successfully Please click on Submit button to the file SearchBy From Date Es To Date FileName SUCCESSCOUNT FAILURECOUNT TOTALCOUNT STATUS VIEWERROR DATE 1003 12042013175723 0 1 1 Processed ViewError 12 04 2013 17 57 23 Figure 3 3 Step 6 On clicking the ViewError link the member is prompted to open or save the file as shown in Figure 3 4 below BSE Ltd Page 8 of 25 EXPERIENCE THE NEW UCC Upload LBrowse File uploaded successfully Please click on Submit button to process the file SearchBy From Date 8 To Date FileName SUGCESSCOUNT FAILURECOUNT TOTALCOUNT STATUS 1003 12042013175723 txt 1 1 Processed DATE 12 04 2013 17 57 23 File Download Security Warning Do you want to open or save this file ClientLog txt Type Text Document 55 bytes From ucc bseindia com potentially harm your computer If you do not trust the source do not While files from the Internet can be useful this file type can open or sa
15. ever for Client BSE Ltd Page 18 of 25 3SE EXPERIENCE THE NEW Type INSTITUTION the user can keep blank or 0 in the batch upload file 46 Income Numeric 1 M O Mandatory for Client Types INDIVIDUALS and NON INDIVIDUALS and if user selects Provide Details for as 1 INCOME and 3 BOTH else Optional Values 1 Below Rs 1 Lac 2 1 5 Lac 3 5 10 Lac 4 10 25 Lac 5 25 Lacs to 1 Crore 6 gt 1 Crore As it is not applicable for Client Type INSTITUTION the user can keep blank or 0 in the batch upload file 47 Income Date Alphanumeric 10 M O Mandatory for Client Types INDIVIDUALS and NON INDIVIDUALS and if user selects Provide Details for as 1 INCOME and 3 BOTH else Optional Format DD MM YYYY Future date not allowed 48 Networth Numeric 14 M O Mandatory for Client Types INDIVIDUALS and NON INDIVIDUALS and if user selects Provide Details for as 2 NETWORTH and 3 BOTH else Optional Networth not older than 1 year should be reported 49 Networth Date Alphanumeric 10 M O Mandatory for Client Types INDIVIDUALS and NON INDIVIDUALS and if user selects Provide Details for as NETWORTH and 3 BOTH else Optional Format DD MM YYYY Future date not allowed 50 Is Active Character 1 M Values Y YES N BSE Ltd Page 19 of 25 35 EXPERIENCE THE NEW 51 Reason for modifying Status a
16. ewError 12 04 2013 15 43 37 UCC_1003_12042013153611 txt 0 0 0 UnProcessed 12 04 2013 15 36 12 UCC_1003_12042013152145 txt 0 0 0 UnProcessed 12 04 2013 15 21 45 UCC_1003_12042013141026 txt 0 1 1 Processed ViewError 12 04 2013 14 10 26 UCC_1003_10042013174754 txt 0 0 0 UnProcessed 10 04 2013 17 47 54 UCC 1003 10042013173502 5t 2 1 3 Processed ViewEtror 10 04 2013 17 35 02 UCC 1003 10042013173250 5t 0 3 3 Processed ViewEmor 10 04 2013 17 32 49 UCC_1003_10042013172449 txt 0 0 0 UnProcessed 10 04 2013 17 24 49 Figure 3 6 On clicking on the Search button the system displays all the files along with the status and Errors if any for the respective date The member can download the error file and make necessary changes are regards the file and re upload the same to the system BSE Ltd Page 10 of 25 EXPERIENCE THE NEW 3 3 Download Members BAT Sub BAT users are allowed to download their client details as shown in Figure 3 6 BAT Administration Test UCC Location ID Registration UCC Download Client Code Client Name City Town m Download Create Date From Date To Date E Es Modified Date From Date To Date Download PAN Mismatch Report Figure 3 7 Members are allowed to download the client details based of various criteria namely e Client Code e Client Name e City Town e Create Date e Modified Date e If no criteria is given downloads all the UCC Step 1 Select UCC Download from the ma
17. f General Information applicable for all client types 1 New Modify Character 1 Values N NEW M MODIFY 2 BatUser Alphanumeric 10 Name of the BAT user who creates the client code 3 Client Type Character 3 Values INDIVIDUAL NI NON INDIVIDUAL INS INSTITUTION 4 Client Status Character 2 Values OW OWN CL CLIENT IN INSTITUTION Validations If ClientType is INDIVIDUAL then this field will only accept OW and CL status If ClientType is NON INDIVIDUAL then this field will only accept OW and CL status If ClientType is INSTITUTION then this field will only accept IN 5 Client Category Character 5 As per table given below 6 Client Code Alphanumeric 11 Following special characters are only allowed DOT ASTERISKS BACK SLASH FRONT SLASH HYPEN 7 Pan Number Alphanumeric 10 8 Whether Politically Exposed Person Character 1 Values Y YES N NO BSE Ltd Page 16 of 25 3SE EXPERIENCE THE NEW Validations Not applicable for Client Type INSTITUTION hence user can leave blank in the batch upload file 9 Permanent Address Alphanumeric 150 M 10 Permanent Address same as Character 1 M Values Correspondence Address Y YES N NO 11 Correspondence Address Alphanumeric 150 M If Permanent address is same as
18. hether Foreign Resident as No Numeric 10 M Mandatory for client category BCO or if user selects Whether Corporate CIN as Y YES in case of client type NON INDIVIDUAL Director PanNo Alphanumeric 10 BSE Ltd Page 22 of 25 EXPERIENCE THE NEW Table showing list of Client Categories as per their Client Status and Client Type INDIVIDUAL CLIENT amp OWN INDIVIDUALS INDIVIDUAL CLIENT NON RESIDENT INDIANS INDIVIDUAL CLIENT HIGH NETWORTH INDIVIDUALS INDIVIDUAL CLIENT FOREIGN NATIONALS INDIVIDUAL CLIENT PORTFOLIO MANGT SERVICES INDIVIDUAL INDIVIDUAL CLIENT QUALIFIED FOREIGN INVEST INDIVIDUAL NON INDIVIDUAL CLIENT amp OWN BODY CORPORATES NON INDIVIDUAL CLIENT amp OWN OTHERS NON INDIVIDUAL CLIENT amp OWN PARTNERSHIP FIRMS NON INDIVIDUAL CLIENT amp OWN LIMITED LIABILITY PARTNERSHIPS NON INDIVIDUAL CLIENT PORTFOLIO MANGT SERVICES NON INDIVIDUAL NON INDIVIDUAL CLIENT QUALIFIED FOREIGN INVEST NON INDIVIDUAL NON INDIVIDUAL CLIENT ASSOCIATION OF PERSONS NON INDIVIDUAL CLIENT FOREIGN VENTURE CAPITAL FUNDS NON INDIVIDUAL CLIENT HINDU UNDIVIDED FAMILY NON INDIVIDUAL CLIENT MERCHANT BANKERS NON INDIVIDUAL CLIENT TRUST NON INDIVIDUAL CLIENT OVERSEAS CORPORATE BODY NON INDIVIDUAL CLIENT BODY OF INDIVIDUA
19. ient registered in the UCC system The following steps are used to modify the records Step 1 Select UCC Modify UCC option from the main menu Modify UCC Client Client Code Client Depository Name 1 Select Depository m Status Demat ID of Client 1 Category Depository Participant 1 Depository Name 2 Select Depository Update Reason Demat ID of Client 2 PAN Number Depository Participant 2 Address 1 Correspondence Corporate Office Depository 3 Select Depository v Ad ress Whether Correspondence Corporate Office Address Demat ID of Client 3 And Permanent Registered Office Address Are Same Depository Participant 3 Address 2 Permanent Registered Office Address Bank Name 1 Country Account Number 1 State City Branch Address 1 Bank 2 Type of Service Select Service Type Account Number 2 Contact details Select Contact Detail c Address 2 Email ID Bank Name 3 Mobile No 7 Account Number 3 STD Code Telephone No Branch Address 3 Others Details Client Agreement Account Opening Date 7 amp Is Active Please Select CODE CMID Select CMID CODE CMID a Figure 3 9 Step 2 Member needs to click on the Search link to invoke all the client codes registered On clicking the
20. in The member brokers are requested to use the username amp password as received through e mail during the registration of member broker process for initiating the registration of client code Member brokers should invoke Internet Explorer browser and using URL https ucc bseindia com to login into the UCC module The Login screen will appear as under Welcome to Ucc Admin Interface Windows Internet Explorer GO ros iioc E ive seo File Edit View Favorites Tools x eb Search Rp Bookmarks FY settings E cet io nowi my vahoot EPAnswers GBcames M shoppng Be Favorites suogost B Free Bj Gallery Welcome to Ucc Admin Interface dh Pages Safety Toos Best Viewed in 1024 by 768 resolution amp IE 6 0 Done Internet 100 fe NEW UcC Figure 1 Please use the Member Code User ID amp Password as received thru e mail during your registration as a broker member and press Login button On the first successful login the system prompts for the new password which needs to be entered by the member After login in to the UCC system the members could view the following screen as given below Welcome to UCC Admin Interface EXPERIENCE THE NEW BAT Administration 1 Upload Invalid PAN Active Clients Figure 2
21. in menu Step2 Select the entity Client Code Client Name City Create Date Modified Date to download When Client Code is selected all the details related to the client code is populated Same like Client Name and City The system also accepts wild card search like for Client Code names starting with M can be downloaded same will be applicable for Client Name and City For the Create Date and Modified Date search the From date and To date needs to be given by the user and it will download the details related to specified period only However if Download button is clicked by not giving any criteria then all the UCC registered under the user will be downloaded Step 3 Select the destination directory give the file name and click on Save button to save the file BSE Ltd Page 11 of 25 35E 3 4 Add UCC The BAT Sub BAT users are allowed to add view modify the UCC details e The BAT main member can add edit modify for all the clients registered directly under him and also of his Sub BAT users created by him for client registration e The Sub BAT users can add view modify the UCC details for all clients registered by under him only Deregistration of a UCC is not allowed To register a new UCC the following steps are followed Step 1 Select UCC gt Add UCC from the main menu Add UCC Client Common Client Type Select Client Depository Details Depository Name 1 Select Deco
22. irector Already exist clientcode line no 61 gt Director Already exist wi clientcode line no 63 gt Director Already exist clientcode 11 34 Step 7 BSE Ltd Page 9 of 25 SE EXPERIENCE THE NEW On successful of processing of the file the system display the SuccessCount with the number of records inserted in the system The screen shot is shown below a Figure 3 Browse Upload File Please click on Submit button to process the file ro Date 12 04 2013 FileName WERROR DATE C 1003 12042013155346 txt 1 0 12 04 2013 15 53 UCC 1003 12042013155233mt 0 1 1 Processed Mitaa 12 04 2013 15 5233 1003 12042013154337 txt 0 1 1 Processed MiewEttor 12 04 2013 15 43 37 UCC 1003 12042013153611 xt 0 0 0 UnProcessed 12 04 2013 15 36 12 UCC_1003_12042013152145 txt 0 0 0 UnProcessed 12 04 2013 15 21 45 UCC 1003 12042013141026 txt 0 1 1 Processed ViewEtror 12 04 2013 14 10 26 Figure 3 5 n The members also has the option of viewing downloading processing historical dates files by searching the files on basis of the Date The member needs to input the Date and click on the Search C FileName SUCCES A A VIEWERROR DATE UCC_1003_12042013155346 txt 1 0 1 Processed 12 04 2013 15 53 47 UCC 1003 12042013155233 5t 0 1 1 Processed ViewError 12 04 2013 15 52 33 UCC 1003 12042013154337 txt 0 1 1 Processed Vi
23. n in the pipe separated file indicates the N for new record M for modified records and I for ignore records Hence when the user has to do modification of a batch record then a batch file in txt format having the necessary modification with the first column of the txt file marked as M is uploaded through the UCC gt Upload option from the main menu This file can be generated from the users back office or the users is also given the option of doing the necessary changes in a program provided by the BSE i e UCC Client Utility Back to Upload Option 4 UCC Batch Upload file format The Input file format is given below in detail and the following information is uploaded into the system during the processing of this file Source BAT Upload UCC Records Destination UCC Database File Type txt No of Fields 78 Field delimiter pipe character File Naming Convention Should be an txt file Name of the file can be any Name Validation File should contain 77 pipes BSE Ltd Page 15 of 25 EXPERIENCE THE NEW The file format consists of pipe separated two rows The first row consists of general information applicable to all the client types However the second row will be applicable only if the user needs to enter the Director details if any Hence if the client code is of client type INDIVIDUAL and INSTITUTION then the user need not submit the second row First row consists o
24. nd Category Character 100 M O Mandatory if the users modifies Client Status Client Category else Optional 52 First Name Alphanumeric 50 53 Middle Name Alphanumeric 50 54 Last Name Alphanumeric 50 M O Mandatory for Client Type INDIVUDALS else Optional 55 Aadhar Card No Numeric 12 56 Date Of Birth Alphanumeric 10 M O Mandatory for client category INDIVIDUALS else Optional Format DD MM YYYY Future date not allowed 57 Client Name Alphanumeric 150 M O Mandatory for Client Type NON INDIVIDUALS INSTITUTIONS else Optional 58 Registration No Alphanumeric 50 59 Registration Authority Character 50 60 Registration Date Alphanumeric 10 M O Mandatory for Client Type NON INDIVIDUALS else Optional Format DD MM YYYY Future date not allowed 61 Place Of Registration Character 50 62 Whether Corporate CIN Character 1 Mandatory for NON INDIVIDUAL and INSTITUTIONAL Client For category BCO by default Y Values drop down Y YES N NO 63 CIN No Alphanumeric 21 M O Mandatory for Client Category BCO or if user select Whether Corporate CIN as Y else Optional 64 No Of Directors Numeric 2 M O Mandatory for client category BCO or if user selects Whether Corporate CIN as Y YES in case of
25. siton Status N Y Ow Demat ID of Client 1 Category v Depository Participant 1 Client Code Depository Name 2 Select Depository E PAN Number x Demat ID of Client 2 Address 1 Correspondence Corporate Office Address ZI Depository Participant 2 Whether Correspondence Corporate Office Address 2 5 M And Permanent Registered Office Address Are Same Capana Names Select Depository Demat ID of Client 3 Address 2 Permanent Registered Office Address l Depository Participant 3 M Country Please Select Bank Details State STATE Bank Name 1 City Account Number 1 Pin Code Branch Address 1 Type of Service Select Service Bank Name 2 Contact details Select Contact Detail Account Number 2 eal Branch Address 2 Mobile No Bank Name 3 STD Code Account Number 3 Telephone No For Equity Branch Address 3 cove CM ID Select CMID Client Agreement Account Opening Date Ew ES For FNO Is Active Please Select CODE CM ID Figure 3 8 Step 2 Enter all the details of the clients Note that all the fields that are mandatory are marked with an asterisk Step 3 Select appropriate Client Type i e INDIVIDUAL NON INDIVIDUAL or INSTITUTION BSE Ltd Page 12 of 25 SE EXPERIENCE THE NEW Step 4 Select respective Status i e OWN CLIENT or INSTITUTION Step 5 Selec
26. stem Once the registration is done the member users will receive necessary login name and password to access the site through e mail to the respective mailing address provided by the user in the registration form 3 UCCregistration The client code UCC registration facility will be available through Broker Administration Terminal BAT on 24x7 basis irrespective of the trading hours and holidays Members can allot a client code to each of his clients including the clients of his sub brokers The client code should be unique the same code should not be allotted to any other client in his office or at branches or to the clients of sub brokers for a segment The member should ensure their registration as a user in UCC system before availing the client detail registration facility The main member broker has the option of creating various BAT users for the branches sub brokers operating under the member broker for uploading of client details The member BAT and his related BAT users are allowed to add modify the UCC details the main member can add modify the UCC details for all clients directly under him and also of various BAT users registered under him e The respective BAT users registered under a main member broker can add edit update UCC details for their own investors clients only Deregistration of UCC is not allowed BSE Ltd Page 5 of 25 SE EXPERIENCE THE NEW Registering a new Unique Client Code UCC 3 1 User Log
27. t appropriate Category Client Type Client Status and Client Category Mapping Step 6 Enter the Client Code field Client code is restricted to 11 digits only except No special characters are allowed except for DOT ASTERISKS BACK SLASH FRONT SLASH and HYPEN Step 7 Enter all the other details as appropriate Step 8 After all the details are entered click on Submit button to save the record The UCC is registered and Client Added Successfully is displayed on the screen Step 10 To continue to register another UCC proceed to Step 2 Step 11 The system also provides the option of batch bulk insertion where by the member has to upload the batch file in the format specified below This upload facility is the same Upload option mentioned above at Figure 3 to 3 5 except for a change in the file format Step 12 The first column in the pipe separated file indicates the N for new record M for modified records and for ignore records Hence when the user has to do insertion of a batch record then a batch file in txt format having the necessary modification with the first column of the txt file marked as N is uploaded through the UCC gt Upload option from the main menu This file can be generated from the members back office 4 BSE Ltd Page 13 of 25 3SE EXPERIENCE THE NEW 3 5 Modify UCC This option provides the user to modify certain entities of the existing cl
28. ve this software What s the ri Figure 3 4 On clicking the Open button the file displays the line wise error and reasons of the failure of the record while processing The sample error file is Shown below in figure 3 5 HEF lear ManualafterlInd dac Micracaft Ward Se UCC 1003 05042013162850 txt Notepad File Edit Format View Help Error at line no 1 gt WetherCorporateCin Should be Y if Category s BCO Minimum 2 Directors are required Error at line no 3 gt Director Already exist with clientcode AA2 i l Error at line no 4 gt Director Already exist with clientcode 2 l l l Error at line no 6 gt Director Already exist with clientcode Error at line no 7 gt Director Already exist with clientcode AA3 Error at line no 9 gt Director Already exist with clientcode 4 Error at line no 10 gt Director Already exist with clientcode AA4 Error at line no 11 gt Clientcode Does not Exists WetherCorporateCin Should be Y if Category is BCO Error at line no 12 gt Error in General Row Error at line no 13 gt Error in General Row Error at line no 15 gt Director Already exist with clientcode AA6 Error at line no 16 gt Director Already exist with clientcode AA6 Error at line no 18 gt Director Already exist with clientcode at line no 19 i Already exist with clientcode at line no 21 i Already exist with clientcode at line no 22 i Alrea
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