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Kyc presentation

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Kyc presentation

  1. 1. KYC Compliance Process Verification of Documents Data Entry Modification in Data Entry Dispatch of Documents Printing Acknowledgement Letter Detail Change Module CDSL Ventures Ltd
  2. 2. Verification of Documents Verification of KYC Application Form (KAF):  All mandatory fields are filled by the applicant  Colour photograph is pasted (not stapled) on the KAF  Applicant is not a minor Verification of Proof documents:  PAN card copy is provided  Documents are either self-attested long with the originals or it is attested by registered authorities  Documents are provided on A4 sheet and one-sided copies. PoS should stamp the documents with “Verified With Original” CDSL Ventures Ltd
  3. 3. 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 the Acknowledgement letter before handing it over to the client. CDSL Ventures Ltd
  4. 4. Go to the website https://www.cvlindia.com Click on Login for POS CDSL Ventures Ltd
  5. 5. Login to the software byproving user id & password CDSL Ventures Ltd
  6. 6. Home Page for KYC Compliance Software CDSL Ventures Ltd
  7. 7. Click on CVL_GET_REF_NO from the dropdown listCDSL Ventures Ltd
  8. 8. Click on New togenerate newWorkitem No. CDSL Ventures Ltd
  9. 9. Write the Workitem No.on top of the KYCApplication Form (KAF) CDSL Ventures Ltd
  10. 10. 16501 Write the workitem no. hereCDSL Ventures Ltd
  11. 11. Click on CVL_MIN_ALLOCATION from the dropdown listCDSL Ventures Ltd
  12. 12. Click on the workitem generated in CVL_GET_REF_NO queueCDSL Ventures Ltd
  13. 13. 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 Type. 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
  14. 14. CDSL Ventures Ltd
  15. 15. SELECTINVESTOR TYPE CDSL Ventures Ltd
  16. 16. Select Exempt Type as REGULARCDSL Ventures Ltd
  17. 17. CDSL Ventures Ltd
  18. 18. PRESS COMMITCDSL Ventures Ltd
  19. 19. PRESS PRINTCDSL Ventures Ltd
  20. 20. KYC Acknowledgement Letter for Regular Check whether Name, Address and PAN mentioned in the Acknowledgement letter are correct 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 Mutual Fund. CDSL Ventures Ltd
  21. 21. PAN NO .PRESS OKAND TAKEPRINTOUT CDSL Ventures Ltd
  22. 22. 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 print 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
  23. 23. PRESS DONECDSL Ventures Ltd
  24. 24. Data Entry For the Exempt After taking the Reference no. 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
  25. 25. SELECTINVESTOR TYPECDSL Ventures Ltd
  26. 26. FOR THE EXEMPT TYPE SELECT EXEMPTCDSL Ventures Ltd
  27. 27. SELECT EXEMPT CATAGORYCDSL Ventures Ltd
  28. 28. TEXT BOX FORPAN NO. WILL BE DISABLE AUTOMATICALLY EXEMPT CODE WILL BE GENERATE CDSL Ventures Ltd
  29. 29. PRESS COMMITCDSL Ventures Ltd
  30. 30. PRESS PRINTCDSL Ventures Ltd
  31. 31. KYC Acknowledgement Letter For Exempt Check whether Name & Address mentioned in the Acknowledgement letter are correct i.e. as provided 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 of 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
  32. 32. NOTE DOWN THE AUTOMATED EXEMPT CODE GENERATED. PRESS OK AND TAKE PRINTOUTCDSL Ventures Ltd
  33. 33. 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 print 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
  34. 34. PRESS DONECDSL Ventures Ltd
  35. 35. 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 documents 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 no.) should be entered into the KYC Courier details. Document Should sent on the below Address: CDSL VENTURES LIMITED I-202, Deck Level, 2nd floor, Above Belapur Railway Station, Belapur, Navi Mumbai – 400 614. CDSL Ventures Ltd
  36. 36. Click on the BATCH buttonCDSL Ventures Ltd
  37. 37. Click onKYC BATCHCREATION CDSL Ventures Ltd
  38. 38. Click on CREATEBATCH CDSL Ventures Ltd
  39. 39. Batch is created per 100 records which thePoS should take a print of CDSL Ventures Ltd
  40. 40. Click on PRINT to print Click onthe batch report Close CDSL Ventures Ltd
  41. 41. Click onKYC COURIERDETAILS CDSL Ventures Ltd
  42. 42. Enter the CourierClick on Agency name andSUBMIT POD number CDSL Ventures Ltd
  43. 43. Printing the Acknowledgement Letter PoS can print the acknowledgement letter for any KYC done by the them at any time latter Acknowledgement Letter can be printed for those PAN only for which KYC was done by the PoS PoS should sign and stamp all such acknowledgement letters before handing it over to the client CDSL Ventures Ltd
  44. 44. Click on the PRINT buttonCDSL Ventures Ltd
  45. 45. Enter PAN and click on PRINTbutton CDSL Ventures Ltd
  46. 46. Click on OK once the printhas been taken CDSL Ventures Ltd
  47. 47. Click onCVLDC_CHANGE_DETAIL_ NO CDSL Ventures Ltd
  48. 48. KYC Detail Change Any changes in the details of the client would be done form this module. Changes can initiated by:  POS:  Only modifications would be allowed  Changes 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 pending  No documents are required 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 verification is complete. POS should forward the documents for client modification to CVL with the separate generated batch report. CDSL Ventures Ltd
  49. 49. Click on NEW CDSL Ventures Ltd
  50. 50. Note down the workitem no. and mention it on top of the application formCDSL Ventures Ltd
  51. 51. Click onCVLDC_CHANGE_DETAIL SCDSL Ventures Ltd
  52. 52. Click on the workitem createdCDSL Ventures Ltd
  53. 53. Enter PAN OR EXEMPTCode and click onFETCHCDSL Ventures Ltd
  54. 54. Select the appropriate option for the type of change• ERROR CORRECTION – For changes by the POS; no documents required for the changes.• CHANGE DETAILS – Changes initiated by the investor; application 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
  55. 55. • Enter the new value in the appropriate field • Enter the change reason • Click on PROCESS • Click on COMMIT • Click on PRINT to take a print of the change ackn. LetterCDSL Ventures Ltd
  56. 56. Click on DONE to complete the process. Before clicking on DONE.CDSL Ventures Ltd
  57. 57. CHANGEDETAIL CDSL Ventures Ltd
  58. 58. CLICK THE CHECK BOX TO CHANGE FROM EXEMPT TO REGULAR ENTER THE PAN NOCDSL Ventures Ltd
  59. 59. GIVE THE CHANGEREASON &CLICK THEPROCESS COMMIT CDSL Ventures Ltd
  60. 60. PRINTCDSL Ventures Ltd
  61. 61. OKCDSL Ventures Ltd
  62. 62. DONECDSL Ventures Ltd
  63. 63. Click on KYC CHANGE DETAIL BATCH CREATIONCDSL Ventures Ltd
  64. 64. Click on CREATEBATCH CDSL Ventures Ltd
  65. 65. Batch is created per 100 records which thePoS should take a print Click on PRINT to print the batch report CDSL Ventures Ltd
  66. 66. Click on KYC Change Detail Courier DetailsCDSL Ventures Ltd
  67. 67. Enter the Courier Agency name and POD number Click on SubmitCDSL Ventures Ltd
  68. 68. 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 LIMITED I-202, Deck Level, 2nd floor, Above Belapur Railway Station, Belapur, Navi Mumbai – 400 614. CDSL Ventures Ltd

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