In order to incorporate the additional fields for Client Registration, MFIs/MFDs/RIAs are hereby informed that new additional fields are being added to the existing UCC structure.  This facility is provided in manual as well as bulk upload.   

New Registration :

Manual Entry :

Members while registering new clients on platform, can use manual entry option. In addition to the existing fields, additional fields have been added under the Additional KYC Details. Members can add these details during the new UCC registration itself.

Path : Admin >> Client Details >> Client Master

Bulk Upload :

Members can also use the bulk upload option to register the client and add additional details of the client. While using bulk upload, members will have to register the client by using the existing process of client registration with existing bulk upload file format. Once the member registers the client and UCC is created, members can add additional details of the client using a separate bulk upload format as mentioned below.

Existing UCC Registration :

Members have been given option to add the additional details in the existing UCC.  Members have to use the bulk upload option given to update these additional details for their existing clients.

Changes have been made in client registration manual entry page to facilitate the members of adding the same. An additional section has been added to the existing page as ‘Additional KYC Details’ where additional nominee details can be added by the member for the client in addition to other details of the client.

Path for bulk upload :

Kindly refer the attached Annexure for Upload Format.

Reports:

The additional details entered by the members are available in Additional KYC details report. The report format is given below :

Path: Admin >> Admin Reports >> Additional KYC Report

Kindly refer the attached Annexure for Report Format.

Members are hereby requested to note that, the details mentioned under the UCC will be reported to RTA against the transaction and will be updated in the RTA/AMC for fresh purchase orders in fresh folio only. In case of existing folios created additional nominee details will not be updated. Clients will have to follow of existing process of RTA/AMC for the same.

All members using third party vendor solutions and/or in-house developed trading application are hereby requested to take note of the above and arrange to initiate necessary development at their end.

Ketan Jantre                                                                          Zeeta Eustace 

Sr. General Manager – Mutual Funds                                    Asst.General Manager – Mutual Funds