User Manual FOR KYC Registration Agency
Contents
1. a M Done G Local intranet Protected Mode Off g v Q v Fig 2 2 Create users 3 REPORTS USER DETAILS In the Reports menu click on User Details sub menu from the drop down list This option is provided to POS admin and Branch admin user only Admin can search users using his login id and Terminal type user type Fig 3 1 dp Favorites g E Web Slice Gallery v CVLKRA Copyright 2011 All rights reserved ETC Pager Safety Tooke Qv 46 COSL VENTURES LIMITED exploring new horizons T KYC Admin Reports Utilities Log Out Welcome SANDEEP CHAVAN Log Out Search Users User Master Search Page Please note that only top 50 Rows will be returned Kindly filter your query accordingly Login ID CC 1 Fig 3 1 User Details 4 Change Password For password change click on Utilities menu select Change password option from the drop down to change the user s password Fig 4 1 Most Visited Getting Started Latest Headlines CYL KRA Copyright 2011 All right A e a Kro AY as COSL VENTURES LIMITED CI exploring new horizons Welcome SANDEEP CHAYAN Log Out Change Password AU Old Password New Password Confirm Password CHANGE PASSWORD Done Fig 4 1 Change password 4 2 File Structure Select Utilities menu click on File Structure sub menu from the drop dow2. Done internet Fig 1 2 1 Master DETAILS This tab is used to capture details of customer such as his name Date of Birth Marital Status Nationality etc Enter details for mandatory fields Gender Name Marital Status Father s Name Date of Birth Nationality amp Applicant status For Applicant Status other than Resident Individual Passport PIO Card OCI Card No field is mandatory Enter the details and click on next to open the Contact Info tab 3 CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer File Edit View Favorites Tools Help iy Ge MA px d Pp Search Sp Favorites o B 5 B m Fel 8 i Links 1 t Address hitpiJ 15 111 25 82 90 v Be EN HA COSL VENTURES LIMITED Kro NG a Welcome SANDEEP CHAYAN Log Out KYC Individuals Master Details Contact Info Others A Applicant Details Gender MALE 1 Name of Applicant AMIT KADAM Marital Status UNMARRIED Father Husband Name ARUN KADAM 2 Date of Birth p3 12 1987 3 Nationality INDIAN Other Nationality 4 Applicant Status RESIDENT INDIVIDUAL M PASSPORT PIO Card OCI Card No 5 Aadhar No UID No PREVIOUS Home About Us FAQ Contact Us File Structure KYC Inquiry 3 Copyright 2011 All rights reserved with CDSL Ventures L
3. 4 Permanent Address Details of Resident Applicant Overseas Address for Non Resident Applicant IT Permanent Address Same as Above Address 1 Address2 Address3 Gty Tip Code State Country Proof of Correspondence Address Proof of Address Provided SELECT h Proof No Date m D e Gi Local intranet Protected Mode Off fv RING v Fig 1 2 2 Contact Info DIRECTOR INFO This tab is used to capture director s details such as director s PAN Name DIN No relationship with company and political connection Enter these details for each of company s directors and click on next button It opens the Others tab dr Favorites 35 P Web Sice Gay BEN d COSL VENTURES LIED exploring new horizons I KYC Admin Reports Utilities Log Out elcome SANDEEP CHAVAN Log Out KYC Non Individuals Master Details Contact Info Director Info Others 6 Details of Promoters Partners Karta Trustees amp Whole Time Directors forming a part of KYC Application Form Aadhar No Relationship with Company Political Connection Fig 1 2 2 Director s Info OTHERS This tab is used to capture Networth details Enter Networth details and date If IPV is carried out select IPV flag details as done and click on submit It submi
4. lt il Done Fig b Login page of intermediary login Various menus in Admin login of POS are KYC 1 1 KYC Inquiry 1 2 New KYC 1 2 1 Individual KYC 1 2 2 Non Individual KYC 1 3 Modify KYC 1 4 Fetch KYC 1 5 Courier KYC 1 6 File Download 1 7 KYC Bulk upload Admin 2 1 Create POS branches 2 2 Create Users for POS Branches Reports 3 1 User Details Utilities 4 1 Change Password 4 2 File Structure 1 KYC KYC menu has various sub menus which are explained below In the home page scroll on KYC menu a drop down list of sub menus will be displayed Click on KYC Inquiry sub menu from this list Fig 1 CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer File Edit View Favorites Tools Help Fj ES x Qu WA x d KA gt Search Sf Favortes B 2 Bg i D rel 3 Links Ad Eihtpjjisini258290 i p i n Be HA COSL VENTURES LIMITED Kro AM ao S Admin Utilities Log Out Out Ea CC HUH KYC Inqui ngay Welcome SANDEEP CHAVAN Log Qut New KYC Home Page Modify KYC Fetch KYC You have successfully logged in Use the mg 7 to forms and to perform various functions Courier 4 File Download KYC Bulk Upload Home About Us FAQ Contact Us File Structure KYC Inquiry Copyright 2011 All rights reserved with CDSL Ventures Limited India Best viewed in IE 6 0 amp above Re
5. For KYC Upload click on KYC Bulk Upload sub menu from the drop down list This option enables the intermediaries to upload multiple records into the system instead making entry of each record Fig 1 7 oie Favorites ig E Web Slice Gallery v Ji CVL KRA Copyright 2011 All rights reserve d COSL VENTURES LIMITED exploring new horizons Ho va ov Pager Safety Took v Welcome SANDEEP CHAVAN Log Out Browse The File File Structure Bronse File Separator TILDE v No Records Found Fig 1 7 Bulk Upload 2 ADMIN POSMASTER This menu option is available only to ADMIN user It has 2 sub menus Create branches and create users 2 1 CREATE BRANCHES In POS Master sub menu under Admin menu select Create POS Branches option from the drop down list This option is available only with Admin user of POS and is used to create various branches for that POS f Eo Mh Pager Safetyr Tooky Qe 6 COSL VENTURES LIMITED exploring new horizons Home KYC Admin Reports Utilities Log Out Welcome SANDEEP CHAVAN Log Out Create POS Branches POS CODE ANAND RATHI BRANCH CODE BRANCH STATUS ACTIVE v POS NAME BRANCH CODE STATUS ANAND RATHI DHERI ACTIVE ANAND RATHI bhusaval ACTIVE ANAND RATHI DADAR ACTIVE ANAND RATHI FORT ACTIVE ANAND RATHI HEADOFFICE ACTIVE ANAND RATHI
6. PORT Proof No cl 12452 EXPIRY DATE i 1 12 2023 4 Permanent Address Details of Resident Applicant Overseas Address for Non Resident Applicant ical Permanent Address Same as Ahnve gt mE HW 8 Done internet Fig 1 2 1 Contact Details OTHERS This tab is used to capture Occupation and Networth details of the client Select Gross Annual Income details or enter Networth details as on date and occupation details of the customer If IPV is carried out select IPV details flag as done and click on submit 3 CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer i File Edit View Favorites Tools Help Q 7 O x d JO seh S Favortes e B A BE Uu Fel 8 t address http 115 111 25 62 90 ara KA EOSL VENTURES LIMITED Kro MG so Welcome SANDEEP CHAYAN Log Out KYC Individuals Master Details Contact Info Others C Other Details 1 Gross Annual Income BELOW 1LAC x Details ason piji2j2011 1 b Networth Details PRIVATE SECTOR SERVICE V Please specify Others 2 a Occupation Details 2 b Additionally Applicable NOT APPLICABLE v Any other Information IPY Details Flag DONE IPY Done on Pe 12 2011 SELF CERTIFIED DOCUMENT COPIES RECEIVED ORIGINAL VERIFIED Document Verification IKS SUBMIT RESET a l
7. User Manual FOR KYC Registration Agency DECEMBER 2011 About KRA SEBI Securities and Exchange Board of India has formulated the KYC Registration Agency KRA Regulations which have been notified vide notification no LAD NRO GN 2011 12 29 36772 dated December 2 2011 Purpose of KRA At present if a client intends to open accounts with different intermediaries for the purpose of trading investment in the securities market he has to undergo the process of Know Your Client KYC again and again Therefore to avoid duplication of KYC process with every intermediary a mechanism for centralization of the KYC records in the securities market has been developed Intermediary Login Intermediary logs in to the system using his login id and password and is directed to the home page of KRA system Fig a below depicts the home page for an intermediary login Fig b below depicts the login page Most Visited Getting Started Latest Headlines i3 CYL KRA Copyright 2011 Allright T h EDSL VENTURES LIMITED kro A fa AI exploring new horizons About Us KYC Inquiry FAQ File Structure Registration Procedure me Guest About CYL CDSL Ventures Limited CVL is a wholly owned subsidiary of CDSL Ventures Limited CDSL a leading securities depository in the country CVL derives its confidence from Login ID its team which has a Securities Market Domain Expertise CVL has in p
8. ication form Exempt type This field is used to identify clients belonging to PAN exempted category Exempt category List of categories for which PAN is exempted For e g i Sikkim Resident ii Non Indian State Government Body iii Non Indian Central Government Body PAN No This field is used to capture PAN of the client Application date Exempt type Exempt category and PAN number are the mandatory fields Enter these details and click on next to open the details tab CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer File Edit View Favorites Tools Help 7 a Qu a x d j Search S Favortes a GF fs LJ Fel 8 Links Address http 115 111 25 82 90 M a Go 4f COSL VENTURES LIMITED Kro 8 so Welcome SANDEEP CHAVAN Log Out KYC Individuals Master Details Contact Info Others Current Status N EW App No 00001 Application Date P6 12 2011 Exempt Type REGULAR Exempt Category Pan No JAWDPG8704R Proof Attached YES Proof of ID for PAN exempt Cases NEXT Home About Us FAQ Contact Us File Structure KYC Inquiry Copyright 2011 All rights reserved with CDSL Ventures Limited India Best viewed in IE 6 0 amp above Resolution 1024 x 768 pixels or higher Site Last Updated on December 28 2011 06 40 hrs K3
9. imited India Best viewed in IE 6 0 amp above Resolution 1024 x 768 pixels or higher Site I act lIndated nn Daramhar 28 2011 NA 4N hre v lt l gt Done Internet Fig 1 2 1 Details CONTACT INFO This tab is used to capture contact details of the client Enter the details in correspondence address phone number select proof of address document enter proof no and the date of the document If permanent address is same as correspondence address click the check box permanent address same as above else enter the details of permanent address and click on next button It opens the Others tab 3 CVL KRA Copyright 2011 All rights reserved with CDSI Ventures Limited India Microsoft Internet Explorer MEG File Edit View Favorites Tools Help NT i Q x Y x 2 jo mh Sf Favortes e gr gt Bg sa rel b ins if Address dE hitpijf15 111 25 82 90 Be Master Details Contact Info Others B1 Address For Correspondence Address 1 GULMOHAR APARTMENT Address EECTOR 16 Address3 JAIROLI City NAVI MUMBAI Postal Code 400708 State MAHARASHTRA Country nn Tel Off ISD STD NO Tel Res ISD p1 STD 22 NO 27791234 Mobile ISD NO I Office Fax ISD STD NO eMail Proof of Correspondence Address 3 Proof of Addres Provided 5 cepner by Applicant PASS
10. jalaaon ACTIVE ANAND RATHI mansarovar ACTIVE ANAND RATHI NAVI MUMBA ACTIVE ANAND RATHI VASAI ACTIVE ANAND RATHI DISABLED naaa M Gu Local intranet Protected Mode Off fv 10 v gt Fig 2 1 Create POS Branches 2 2 CREATE USERS From the home page move cursor to POS Master sub menu under Admin menu click on Create users sub menu from the drop down list This option is used to create various users for POS such as POS maker POS Verifier etc Fig 2 2 dp Favorites 35 i Web Slice Gallery v amp CVLKRA Copyright 2011 All rights reserved fh gt By Gl fv Pagev S fetyv Toolsv QT d COSL VENTURES LIMITED Kro NG so Welcome SANDEEP CHAVAN Log Out Company Code ANAND RATHI Y Branch Code ANDHERI ba Terminal Type POSMAKER s Login ID Password GENERATE Contact Details Name Phone Mobile Email ID Control Information Max Retries 5 Access Level FREE v IP Address Status ACTIVE First Login YES v Time Out Min 20 SUBMIT RESET Home About Us FAQ Contact Us File Structure KYC Inquiry Copyright 2011 All rights reserved with CDSL Ventures Limited India Best viewed in IE 6 0 amp above Resolution 1024 x 768 pixels or higher Site Last Updated on December 28 2011 06 40 hrs
11. lace a stringent policy and systems to ensure confidentiality of data Strong electronic and physical security measures ensure security of confidential data At CVL ethics values and reputation are vital to our philosophy Our aim is to be globally respected as an ITES company We at CVL believe in empowering our people so that they handle challenging assignments and exceed customer expectations Our LOG IN RESET Forgot Password people are oriented to be fair and uncompromising in their efforts to ensure external as well as internal customer satisfaction We lay special emphasis on integrity because of the trust that our clients place in us The provisions of The Prevention of Money Laundering Act 2002 PMLA and KRA Regulations 2011 has made it mandatory for all Market Participants to comply with the Know Your Client KYC norms In this regard CVL has created the necessary infrastructure in order to handle the KYC in accordance to the KRA Regulations 2011 Done Fig a Home page of intermediary login Most Visited D Getting Started Latest Headlines D CYL KRA Copyright 2011 All right h CDSL VENTURES LIMITED px Home Page You have successfully logged in Use the menus given on TOP to navigate to forms and to perform various functions Home About Us FAQ Contact Us File Structure KYC Inquiry Registration Procedure Mw
12. n list It displays a separate window containing file format for Bulk upload Fig 4 2 5 a e 3 JENIE OG ER FS the ee pung az Na Hina po hw SND STATE GT ROE MD CONTI GOVT CO mise m pe aay Contat Parman Maima w caua o Nan mihia Aa RR sierra ataa omr Ve be pand h d MM T pag MOARA E Done i AL Fig 4 2 File Structure
13. nu from the drop down list This option is used to enter courier details Select Courier company name enter reference number POD no POD date select the record and click on 5 and then click on save It displays the record in grid as given below Fig 1 5 dg Favorites g E Web Slice Gallery v Copyright 2011 All rights reserved Ka Pu Welcome SANDEEP CHAVAN Log Out Create Courier Documents COSL VENTURES LIMITED exploring new horizons Ref No Ref Date POD No POD Date 26 12 2011 23 12 2011 d l a Done GG Local intranet Protected Mode Off f AX v Fig 1 5 Courier details 1 6 FILE DOWNLOAD From the home page move cursor to KYC menu click on File Download sub menu from the drop down This option is provided to download the details of KYC in Batch mode Fig 1 6 dip Favorites 85 E Web Slice Gallery v amp CVLKRA Copyright 2011 All rights reserved Shy By OK Pager Safety Toolsv v amp DSL VENTURES LIMITED Kro 2B uz exploring new horizons Utilities Log Out Welcome SANDEEP CHAVAN Log Out Download Data Please note that only top 10 Previous Batch will be returned Download Type Batch No INCREMENTAL v SELECT BATCH v Done Gi Local intranet Protected Mode Off fr R10 Fig 1 6 File Download 1 7 KYC BULK UPLOAD
14. ooke Qe d COSL VENTURES TED exploring new horizons Home KYC Admin Reports Utilities Log Out elcome SANDEEP CHAVAN Log Out KYC Non Individuals Master Details Info Director Info A Applicant Details 1 Name of Applicant 2 Date of Incorporation Registration Registration Number Place of Incorporation Date of Commencement 3i Status PRIVATE LTD COMPANY votes menns ve G ss vi w 0002 m G Local intranet Protected Mode Off fr SI gt Fig 1 2 2 Details CONTACT INFO This tab is used to capture contact details of the entity Enter the mandatory fields in correspondence address and permanent address and click on next button It opens the Directors info tab s Favorites gi E Web Slice Gallery v E CVLKRA Copyright 2011 lights reserved fr ET he Pager Safety Tooke y B1 Address For Correspondence Address 1 Address2 Address3 City Postal Code State Country INDIA B2 Contact Details Tel off 150 STD No Tel Res ISD STD Mobile 15D NO Office Fax ISD STD NO eMail Proof of Correspondence Address Proof of Address Provided SELECT hd m Proof No Date
15. solution 1024 x 768 pixels or higher Site Last Updated on December 28 2011 06 40 hrs B hetp 115 111 25 82 90 KYCInquiry aspx internet Fig 1 KYC Sub menus 1 1 KYC Inquiry This option is used to inquire on customer KYC In the KYC inquiry search enter PAN and click on submit The KYC details will be displayed as shown in Fig 1 1 below CVL KRA 9 Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer Ele Edit View Favorites Tools Help iy Qu x o x a LA P Search Sp Favortes e gr 5 Bg M LJ Fol 8 Address NG http 115 111 25 8290 v Je uns mea ih i K er di WU COSL VENTURES LIMITED f Er NIS pi exploring new horizons tn ir nam pons es ow NN Welcome SANDEEP CHAYAN Log Out Search KYC PAN No AFAPC9973R SUBMIT RESET 6 CDSL Ventures Limited CVL KRA PANNo AFAPC9973R Name SANDEEP CHAVAN Status SUBMITTED KYC Modified Date Current Date 28 Dec 2011 Current Time 18 44 56 DISCLAIMER This KYC status shall not be used or relied upon for any purpose other than those specified in the CYL KRA guidelines CYL shall not be liable to any person using this information b u B Internet Fig 1 1 KYC Inquiry 1 2 New KYC This menu is used to enter KYC details for Individual as well as Non Individual customers To enter new KYC details scroll on KYC menu and select Individual KYC
16. t Internet 8 Done Fig 1 2 1 Others On submit the following message will be displayed Microsoft Internet Explorer A KYC DETAILS FOR AMIT KADAM Pan No AWDPG8704R CREATED SUCCESSFULLY CYL REFNO 158 1 2 2 NON INDIVIDUALS This option is used to capture data under 5 tabs viz Master Details Contact information Director Information and others To enter new KYC scroll on KYC menu and then select Non Individual KYC under New KYC sub menu MASTER This page is similar to Individual KYC page Enter the mandatory details and click on next button it opens the Details tab dip Favorites dy i Web Slice Gallery Copyright 2011 b db COSL VENTURES LIMITED exploring new horizons elcome SANDEEP CHAVAN Log Out KYC Non Individuals Master Director Info KCStatu NEW App No Application Date Exempt Type REGULAR v Exempt Category SELECT Pan Wo Proof Attached YES v Proof of ID for PAN exempt Cases H 7 D G Local intranet Protected Mode Off f Kim v Fig 1 2 2 Master DETAILS This tab is used to capture details like applicant s name date of incorporation registration number place of incorporation date of commencement etc Enter the mandatory details and click on next button it opens the Contact Info tab kr rav Pager Steyr T
17. ts the KYC details of Non individual in the system di Favorites 45 E Web Slice Galley v 46 DSL VENTURES LIMITED exploring new horizons Home KYC Admin Reports Utilities Log Out elcome SANDEEP CHAVAN Log Out KYC Non Individuals C Other Details 1V Details Flag NOTDONE IPVDoneon 7 SELF CERTIFIED DOCUMENT COPIES RECEIVED ORIGINAL VERIFIED v G G Local intranet Protected Mode Off v RING Y Fig 1 2 2 Others 1 3 MODIFY KYC For modification move cursor to KYC menu from the drop down list as shown in Fig 1 3 below click on Modify KYC sub menu This option is used to modify any details of the customer submitted in original KYC details CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer File Edit View Favorites Tools Help ay Qe a x a pO search FG Favortes A f 2 Bg las Fel 3 Links Address d http 115 111 25 82 90 v gje 6 Kro CDSL VENTURES LIMITED LL EA pa exploring new horizons SO ECL come SANDEEP CHAYAN Loq Out New KYC Home Page Modify KYC Fetch KYC You have successfully logged in Use the mq to forms and to perform various functions Courier KYC File Download KYC Bulk Upload Home About Us FAQ Contact Us File Structure KYC Inquiry Reg Proced
18. under New KYC sub menu Fig 1 2 CVL KRA Copyright 2011 All rights reserved with CDSL Ventures Limited India Microsoft Internet Explorer File Edit View Favorites Tools Help r Qx gt x 2 JO search Sip Favortes O A 2 B M m a x Links M Address http J115 111 25 82 90 ge db COSL VENTURES LIMITED Kro 66 s m exploring new horizons KYC Inqui nawiy Welcome SANDEEP CHAYAN Log Out New KYC Individual KYC Home Page Modify KYC Non Individual KYC Fetch KYC You have successfully logged in Use the mg F to forms and to perform various functions Courier KYC File Download KYC Bulk Upload Home About Us FAQ Contact Us File Structure KYC Inquiry Copyright 2011 All rights reserved with CDSL Ventures Limited India Best viewed in IE 6 0 amp above Resolution 1024 x 768 pixels or higher Site Last Updated on December 28 2011 06 40 hrs i gt amp http 115 111 25 82 90 Blank aspx Internet Fig 1 2 Individual KYC menu selection 1 2 1 Individual KYC This option is used to capture individual customer data in 4 tabs viz Master Details Contact information and others Each tabs are explained below MASTER This tab is used to capture PAN details of the client The various fields on this form are as below Current status Displays the current status of KYC It will be NEW for a new KYC registration Application number The number which appears on the KYC appl
19. ure Copyright 2011 All rights reserved with CDSL Ventures Limited India Best viewed in IE 6 0 amp above Resolution 1024 x 768 pixels or higher Site Last Updated on December 28 2011 19 10 hrs http 115 111 25 82 90 ModifyClient5earch aspx Internet Fig 1 3 Modify KYC Enter the PAN details and click on search KYC details of the client will be displayed for modification fr ERO Obr Pager Safety Tooke v di Favorites dy i Web Slice Gallery v Je L KRA Copyright 2011 All rights reserved amp COSL VENTURES LIMITED exploring new horizons YC Admin Reports Utilities Log Out Welcome SANDEEP CHAVAN Log Out Search KYC For Modification aaa my I ES i Local intranet Protected Mode Off v RIMA Fig 1 3 Modify KYC 1 4 FETCH KYC In KYC menu click on Fetch KYC sub menu from the drop down list This option is used to fetch the details of existing KYC from KRA Fig 1 4 dp Favorites s Be Sie Caley VL KRA Copyright 2011 All rights reserved db COSL VENTURES LIMITED exploring new horizons Reports Utilities Log Out Welcome SANDEEP CHAVAN Data of Birth Date of Incorporation CO um L X T Ng Gi Local intranet Protected Mode Off fay RING v Fig 1 4 Fetch KYC 1 5 COURIER KYC In KYC menu click on Courier KYC sub me
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