2014 ARN DISTRIBUTOR MANUAL - mfuonline.com · ARN DISTRIBUTOR MANUAL MF Utilities India Private Limited (A manual for distributors signing up with MFUI) 2014 Created by Sudit K

ARN

DISTRIBUTOR MANUAL

MF Utilities India Private Limited

(A manual for distributors signing up with MFUI)

2014

Created by

Sudit K. Parekh & Co. Chartered Accountants

Notice: This document is meant, solely for training purposes, to give an overview of MF Utilities System (“MFU

System”). This document is, STRICTLY CONFIDENTIAL, solely for the intended / authorized recipient. The contents

of this document, including but not limited to text, images and process flow charts are proprietary material of MF

Utilities India Private Limited (“MFUI”) and the same shall not be copied, reproduced, transmitted via e-mail or

otherwise, shared physically or electronically, displayed, distributed or altered, in whole or in part, or in any manner

whatsoever. Further no person has been authorized to make any representations or to furnish any information with

respect to MFU System or MFUI on the basis of information contained herein. Failure to comply with the directives

herein, shall entitle MFUI to take legal action against non-compliant and unauthorized recipients of this document.

Distributor Manual

2 This document is strictly CONFIDENTIAL and is proprietary to MF Utilities India Private Limited (MFUI). Usage of this manual in any manner without regard to the “Notice” on the cover page, is STRICTLY PROIBITED.

Document Revision or Amendment Records

Version No. Section Details of Revision Old Reference Approver

Abbreviations used in the Distributor Manual

Abbreviation Full Form Abbreviation Full Form Abbreviation Full Form

AMFI Association of Mutual Funds in India

ARN AMFI Registration Number

CAN Common Account Number

CMS Cash Management Service

CDSL Central Depository Services Limited

DIN Director Identification Number

DP Depository Participant Account Number

EUIN Employee Unique Identification Number

FIIs Foreign Institutional Investors

FVCIs Foreign Venture Capital Investor

ITRN Individual Transaction Reference Number

KYC Know Your Customer

GORN Group Order Reference Number

MFUI MF Utilities India Private Ltd (The Company)

MFU MF Utility (The System)

KRA KYC Registration Agency

NSDL National Securities Depository Limited

OCI Card Overseas Citizenship of India Card

MICR Code Magnetic Ink Character Recognition Code

PAN Permanent Account Number

PEKRN PAN Exempt KYC Reference Number

POS Point of Service POI Proof of Identity RM Code Relationship Manager Code

POA Power of Attorney STP Systematic Transfer Plan

SWP Systematic Withdrawal Plan

SIP Systematic Investment Plan

UID Unique Identification URL Uniform Resource Locator

VCFs Venture Capital Fund

Document Title Distributor Manual

Policy No. MFU/D/12/2014-15 Applicability All categories of distributors

First Issue Date Review Period Next Review Date Effective from Version No.

- - - - -

Particulars Name Designation Date Signature

Prepared By

Reviewed By

Approved By

http://www.google.co.in/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&docid=SZT2f2Bfj9NRZM&tbnid=gLbz0PC0yuJIMM:&ved=0CAUQjRw&url=http://www.mfuindia.com/&ei=Yqm_U7CsFNWgugS-6IDIBw&bvm=bv.70810081,d.c2E&psig=AFQjCNFSpjmaeLwIsIzp1RTPykMg2bQOlA&ust=1405156043513140

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List of Indicators / Buttons used in the system

Indicators / Buttons Description

Browse/view the information

Submit the information

Reset the information

Save the information

Submit the information to POS

Go to previous window

Calendar

Validate the information

Search the details

Reset the information

Check box (tick)

Radio button

This icon is to view the warning message, before proceeding with confirmation

Confirm the request

Cancel the request

Home page

Reports

Log on info

Notification

Change Password

Log-out

Modify the order

Approve the order

Reject the order

View next order

Go to Approval Book

Online Help


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Contents 1. Objective ..................................................................................................................................................................... 6

2. Technical Support Section .......................................................................................................................................... 6

3. Sign up Process ........................................................................................................................................................... 6

3.1 Distributor signing-up form ................................................................................................................................. 6

3.2 Documents to be submitted for sign-up ............................................................................................................. 6

3.3 Distributor Terms and Conditions ....................................................................................................................... 6

3.4 Categories of Empanelment ................................................................................................................................ 7

3.5 Distributor back office master set up process ..................................................................................................... 7

3.6 Allocation of MFU System - User ID .................................................................................................................... 8

3.7 Creation of Branch, User IDs and Assigning of Roles & Menus ........................................................................... 8

3.8 General ................................................................................................................................................................ 9

3.9 Distributor Maintenance ................................................................................................................................... 12

3.10 User Management ............................................................................................................................................. 17

4. User Navigation Flow................................................................................................................................................ 20

4.1 General .............................................................................................................................................................. 21

4.2 Registration ....................................................................................................................................................... 23

4.3 CAN Transaction ................................................................................................................................................ 24

4.4 Folio Transaction ............................................................................................................................................... 25

4.5 Transaction Books ............................................................................................................................................. 25

4.6 NC Transaction................................................................................................................................................... 26

4.7 Scan.................................................................................................................................................................... 26

4.8 Deposit Slip ........................................................................................................................................................ 27

4.9 Dash Board ........................................................................................................................................................ 28

5. Scan ........................................................................................................................................................................... 29

5.1 Scan Transaction ................................................................................................................................................ 29

5.2 Transaction Scan Book ....................................................................................................................................... 30

5.3 Scan Registration ............................................................................................................................................... 31

5.4 Registration Scan Book ...................................................................................................................................... 33

6. Transactions .............................................................................................................................................................. 34

6.1 KYC Registration (incidental to CAN creation) ................................................................................................... 35

6.2 CAN Registration ................................................................................................................................................ 41


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6.3 CAN Transaction ................................................................................................................................................ 46

6.4 Folio Transactions .............................................................................................................................................. 56

7. Submission of physical documents .......................................................................................................................... 66

7.1 Flow of Physical documents from Distributors to POS – applicable to Option II .............................................. 66

8. Transaction books ..................................................................................................................................................... 67

8.1 Normal Order Book ........................................................................................................................................... 67

8.2 Systematic Order Book ...................................................................................................................................... 69

8.3 Order Approval Book ......................................................................................................................................... 70

9. Non Commercial Transactions (NC Transactions) ................................................................................................... 72

9.1 POA Registration/Change .................................................................................................................................. 72

9.2 Depository Account Addition / Deletion ........................................................................................................... 74

9.3 Address Change ................................................................................................................................................. 77

9.4 Bank Mandate Addition/Deletion ..................................................................................................................... 79

10. Deposit Slip ............................................................................................................................................................... 83

10.1 Slip Maintenance ............................................................................................................................................... 83

10.2 Slip Book ............................................................................................................................................................ 84

11 Report Generation .................................................................................................................................................... 85

11.1 Transaction ........................................................................................................................................................ 86

11.2 Banking .............................................................................................................................................................. 89

11.3 Distributor ......................................................................................................................................................... 90

11.4 Registration ....................................................................................................................................................... 90

11.5 Deposit Slip ........................................................................................................................................................ 92

12 Documents to be maintained, Daily dispatch process and Timelines .................................................................... 92

Annexure I : Documents need to be submitted ............................................................................................................ 92

Annexure II : Documents need to be submitted ........................................................................................................... 95


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1. Objective

This distributor manual is developed to assist the distributors who sign-up with MF Utilities India Private Limited (‘MFUI’). The manual helps the distributor users to understand the processes/procedures to be followed to perform the activities envisaged from them like creation and maintenance of master data pertaining to the distributor (including addition of branches and users), day-to-day operations like data-capturing of “transactions”, banking activities, document maintenance etc. and checkpoints to be taken care while carrying out the activities.

2. Technical Support Section

Reading and understanding the manual will help the distributor users to perform their day-to-day activities smoothly. For any exceptions encountered / clarifications required while operating MFU system, please feel free to contact the Client Services Team at MF Utilities India Private Limited on +91 22 39526363 or Toll Free No._____________ or e-mail us your query at [email protected].

3. Sign up Process

3.1 Distributor signing-up form The form to be used by the Distributors for signing-up with MFUI is attached herewith.

Distributor signing up form

3.2 Documents to be submitted for sign-up As defined in the sign-up form.

3.3 Distributor Terms and Conditions By signing and submitting this form to MFUI, the Distributor agrees to the Terms and Conditions annexed to the

Distributor sign-up form, related to the Service and any other conditions referred thereto in the Terms and

Conditions.

1• Submission of Sign-up form and mandatory documents to MFUI

2

• Verification of Sign-up form and mandatory documents submitted by distributor at MFUI and approving the Sign-up

3• Creation of User ID and sharing the same with the distributor


mailto:[email protected]

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MFU will assign Administrator ID for Distributors

Login ID

Using the Administrator ID, add various level of branches

Add Branch

Adding individual users and mapping them to their respective branch

Add Users

Mapping of Branches to Point of Service in the location

Map branch to POS

Mapping of branches to the MFU Collection Bank branches in the location

Map branch to

Bank

3.4 Categories of Empanelment

3.4.1 Functions and Time Stamp features for Distributor Categories

Distributor Category

Functions available Time Stamp Applicability

A1 Basic Access (Information, Downloads and feeds, etc.)

Physical Submission of Documents to POS

A2 Basic Access, Transaction Data Entry and Image Scanning.

Scan + Data Entry + Electronic “Submit to POS”

3.4.2 Facility of scanning rights for various category of distributors

3.5 Distributor back office master set up process

3.5.1 Back office master setups flow for Distributors choosing Option II – Scan & Transaction

facility

3.5.2 Type of Distributor’s Branches

If distributor has more than one office, he can maintain a hierarchy within his branches in the system.

The system has the facility for assigning below levels to various offices.

Category A

A1 - Basic Access

A2 - Basic Access, Data Entry and Scanning.

Every Distributor, as per

their registration with

MFU, will be assigned a

category. Distributor will

have the scanning rights as

per the category of their

registration.


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National

Regional

Branch

3.6 Allocation of MFU System - User ID MFUI will scrutinize the Sign-up form submitted by the Distributor and post successful scrutiny, will register the

Distributor in MFU and provide appropriate “User ID” to the Distributor based on the option chosen. For

Distributors who have chosen “Option II” i.e. scan & transaction facility, MFU will provide an Administrator

User ID, using which the Distributor will be able to create branch, add Users and assign roles & menus for Users

etc. For Distributors who have chosen “Option I” i.e. Access to Information/Downloads etc., MFU will provide a

User ID for accessing the system. This user will not have the rights to perform the activities of an Administrator

user as in Option II.

3.7 Creation of Branch, User IDs and Assigning of Roles & Menus

Step 1: Distributors having the Administrator User ID can login to the MFU System using the ID provided by

MFUI

Step 2: Upon login, the Administrator User is displayed with a screen where he will be able to see the Logged-in

User Name along with User ID / Code, Entity Name, Icons pertaining to various options available to the user.

The User shall be displayed with a Navigation menu showing the following options that are mapped in MFU to

the Administrator role:


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Step 3: The user can navigate through the menu displayed. Following is the detailed list of menu for reference:

3.8 General This menu provides the following options:-

S.No. Tab Name Description

1 General This menu helps the Administrator User to monitor and manage User access to the system.

2 Distributor Maintenance

This menu helps the Administrator User to create and maintain branches and their mapping to the nearest POS branch & the nearest and available MFUI Collection Bank branches. All additions/changes will be activated only if approved by another Administrator User.

3 User Management This menu helps the Administrator User in User Maintenance and allocation of Menu & facilities to Users. All additions/changes will be activated only if approved by another Administrator User.


1 Change Password This menu will enable the Administrator user to change his existing password.

2 Reset Password This menu will enable the Administrator User to reset the password of another

user belonging to the Distributor in case that user has forgotten his existing password and is unable to reset the same on his own with the provisions available to him.

If the User ID is known, enter the same and click on submit button, else to search the User ID, click on “Search” and the following screen will be displayed:


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If the User Name is known, mention the same and click on search button which will display the list of users matching the User Name, else click on “Search” and the following screen will be displayed with the entire list of users under the Distributor:

The user can use the “NEXT” or “PREVIOUS” button on the right hand bottom of the screen till the appropriate User ID is displayed.

After selecting the particular ID for resetting password, following screen will be displayed:

Once the Administrator user clicks the submit button, user password will be reset and following screen will be displayed with the message showing “Reset password has been done successfully. New password has been sent to your registered e-mail id.”

3 Logon Monitor This menu will enable the Administrator user to monitor the details of users

who are currently logged-in to the system.

The entity name is by default displayed as the logged-in user’s entity name.

“Logon As” is by default set to “User”. The Name of the Entity, details of Total Users, Active Users and Logged Users under the entity will be displayed. Logged users will be the users who are currently logged into the system. To view the list of logged users, the Administrator user can click on the number which appears under Logged Users. To view all the users who have logged-in during the day, click on the Entity Name which will display the logon audit screen as below that shows the details


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of users who have logged-on for the day:

Administrator User can have the date wise view (From Date and To Date) or of a particular user code. To specifically view the login details of a user, enter the User Code and click on submit button which will display the login details of that specific user. Else to search the User code , click on “Search” adjacent to the User Code and the system will display the search criteria as below:

4 Logon Audit To directly view the details of users who have logged-on for a specific period,

the Administrator can use this menu:

Click on the submit button will display the entire list with Log On and Log Off Time Stamp and Source IP as follows:

Administrator User can have the date wise view (From Date and To Date) or of a particular user code. To specifically view the login details of a user, enter the User Code and click on submit button which will display the login details of that specific user. Else to search the User code , click on “Search” adjacent to the User Code and the system will display the search criteria as below:


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3.9 Distributor Maintenance

This menu provides the following options:


1 Branch Maintenance

I – Distributor Branch Creation Procedure: This menu will enable the user to add, view, update, delete, suspend, and activate the branch. By default the system will display the branches which are in “Approved” state and are categorized as “National” branches.

Options for Branch Level (Drop down list) are – National, Region and Branch. Options for Status (Drop down list) are – Approved, Pending & Rejected. To view the details of a particular branch, choose the branch level and enter the branch code in the space provided and the relevant status. Else choose the branch level and the relevant status and click on “Browse” button and the following screen is displayed:

To view the details of branches which have been mapped to the “Head Office” or a specific “Regional Office”, enter the branch code of the HO or the Regional Office in the space provided, else click on the “Search” button which will display the following screen:


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To create a new branch/region, click on the Add button, fill in all the details and submit the same:

For approving or rejecting the new branch created, Select the appropriate Branch Level and Status as “Pending”. Click on the Browse button and the following screen will be displayed.

Click on the “View” icon shown against the record and the following screen will be displayed:

Verify the details captured by the Administrator User and Click on the “Approve” or “Reject” button as desired and the following screens will be displayed:

Clicking on the “Ok” button will approve/reject the new branch/region creation and by clicking on Cancel button will return back to original screen.


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To see whether the branch/region creation is approved/rejected, select the appropriate Branch Level and status as “Approved” or “Rejected”. The following screen will be displayed:

Options available:

1. View – To view details of the branch. 2. Update – To update details of the branch. 3. Delete – To delete the entry of the branch. 4. Suspend – To suspend the branch. 5. Activate – To activate the branch. 6. Reject Reason. 7. Collection Bank Branch View

For making any updates, click on the Update option, and the following screen will be displayed :

Make necessary changes and click on the update button and the following screen is displayed.

All changes to a master record needs an approval from another Administrator User and the process is similar to approving a new branch creation.


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II – MFU Collection Bank Branch Mapping Procedure: Each Distributor branch must be mapped to MFU Collection Bank Branch as Primary, Secondary and mode of deposit as Transfer, CMS. MFU Collection Bank and its branches are available in the system. Distributor branch has to bank physical instruments (Cheques / Demand Drafts / Pay Orders / Banker Cheques) only through mapped bank branch. This menu will enable the user to add, view, update, delete MFU Collection Bank branch.

Step I : Click on the icon, which appear on your screen. Upon clicking on “Branch Maintenance”, system will display the below screen:

To map the collection Bank to the particular branch, user has to click the “Collection Bank Branch view” button. Upon clicking on the same, system will display the below screen.

User has to click the “Add” button to map the “Primary” and “Secondary” Bank Branch under the “Transfer” and “CMS” mode to the particular branch.

User has to select the “Primary” and “Secondary” Bank Branch through the


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search function as per their branch requirement and click the “Add” button to save the details. If required user can also map multiple MFU Collection Bank using the same procedure.

2 Distributor-POS Mapping

Each Distributor branch must be mapped to a POS branch that will authorize the transactions captured by the Distributor branch. The Distributor branch will submit all physical documents to the mapped POS branch as per the agreed timelines. A distributor branch will not be allowed to enter transactions if it does not have a POS branch mapped to it. This menu will enable the user to add, browse (view), update, delete, suspend, and activate the POS - Branch mapping. By default all the Distributor – POS Branch mapping as existing in the system in “approved” state is displayed upon accessing this menu:

To establish a new mapping click on Add button and the following screen will be displayed:

Choose the appropriate Branch ID, POS Branch ID and the Alternate POS branch ID required to be mapped by using the “Search” option click on submit button after selecting the appropriate records for mapping. For approving or rejecting the new mapping created, Select the Status as “Pending”. Click on the Browse button and the following screen will be displayed.

Click on the “Approve” or “Reject” icon and the following screens are displayed:

Confirm approval or rejection by clicking OK. Else click Cancel will return back to original screen.


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3.10 User Management This menu provides the following options:


1 User Maintenance This menu will enable to add, view, update, activate, and suspend a particular user.

Options for User Type (Drop down list) are – All and Employees.

Options for Role (Drop down list) are – Back Office, Front Office, Help Desk and Sys Admin.

Options for Status (Drop down list) are – Approved, Pending and Rejected. Upon clicking the Add button the following screen will be displayed:

After adding the user details, click on save button. Another Administrator user will login to the system for Approval and browse the list of records pending for approval. From the list of records displayed, click on “View” button will display the following screen:

Click on “Approve” button to approve or “Reject” button to reject.

2 Menu Maintenance Every user gets access to a pre-defined list of modules/menus based on the role assigned to him. Through this screen, some specific menus may be enabled or disabled for a specific user if need be.


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If the User ID is known, then enter the same and click on submit button, else to search the User code , click on “Search” and the following screen will be displayed:


The user can use the “NEXT” or “PREVIOUS” button on the right hand bottom of the screen till the appropriate User ID is displayed. Select the required User code and Click on the Get Menu button and the following screen will be displayed:

Enable or Disable a specific menu to the User ID. Once the rights and permissions are defined, click on the Update Menu button to save the changes.

3 User Facility Maintenance

Every user gets access to pre-defined list of facilities based on the role assigned to him. Through this screen, some specific facilities may be enabled or disabled for a specific user if need be.

If the User Code is known, then enter the same and click on submit button, else to search the User code , click on “Search” and the following screen will be displayed:


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The user can use the “NEXT” or “PREVIOUS” button on the right hand bottom of the screen till the appropriate User ID is displayed. Select the required User Code and click on the Submit button and the following screen will be displayed:

Enable or Disable the facilities as required. Once Facilities are defined, click on the Update button to save the changes.


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4. User Navigation Flow

The following details explain the features that are available to a branch user under the Distributor. The Branch

user shall be able to login to the MFU System and perform his day to day activities. The following steps define

the flow for a branch user login.

Step 1: Branch User can login to the MFU System with the help of login credentials provided to him.

Step 2: Upon logging into the system, the branch user will be displayed with the User Name, Entity Name and Icons pertaining to various options (as described later) available for the user. He shall be displayed with the various Menu items which have been mapped to his role and/or specific to his User ID. A dashboard will be displayed summarizing the “Registrations” and “Transactions” that are created and are awaiting approval at various levels.

Step 3: The user can navigate through the menu depending upon the action he wants to perform. Following are the detailed list of menus available:


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4.1 General

This Menu facilitates the user to lodge a complaint/feedback as well as view the status of the same. Upon

clicking the Menu, the user will be able to view further sub-menus as detailed below:

Upon clicking the menu, user will be able to view the below screen for lodging the complaint or feedback.

The user will be have to specify the type as complaint/feedback/Query (as per dropdown available) and

choose category under which the complaint falls, the details specific to the complaint like the CAN,

Reference #, Reference Date, Fund/AMC Name, Folio Number and assign it to the entity (as available in

the dropdown menu) to whom he wishes to address the complaint / feedback to. The response by the

assigned entity user can be viewed by selecting the period as required (1/30/60/90 days or 6 months or 1

year), type (Complaint/Feedback/Query) and status (All/Open/In-progress/Closed) and click on the

Browse button as given above which will show the status as below:

The Entity users who are assigned with the “Helpdesk” role will be able to respond to the complaints

lodged against their respective entities or acknowledge the feedback. Upon login to the MFU system the

helpdesk user is displayed with the following screen by default:


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To view the status of Feedback, the user will be required to change the type as “Feedback” and the

following screen is displayed:

To view the complaints or feedback under different statuses for different periods, the User has to select

the appropriate Type, appropriate Status and specify the period for which the details are required and

click on the submit button and the following screen will appear:

The following options are displayed against each of the complaint/feedback displayed based on the

above selection:

Sr. No. Options Description

1. View Image This option enables the user to view the scanned pages of the Complaint / Feedback as follows:

2. Reply This option enables the user to reply to the Complaint / Feedback as follows:


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Options for Status (dropdown list) are – Open, In Progress and Closed.

User has to select the status, enter the response in the text column and click on

the submit button.

3. Re-Assign This option enables the user to re-assign the Complaint / Feedback as follows:

Options for To Whom (dropdown list) are – AMC, RTA, DST and POS.

User has to select the Entity Type, Entity Name and click on the Re Assign button. Thereafter Complaint / Feedback will be assigned to the selected Entity

4. Expand This option enables the user to see the history of the complaint as below:

5. Collapse This option enables the user to collapse the screen from displaying the history of

the complaint.

4.2 Registration This Menu facilitates the user to data capture the KYC and CAN Registrations. Upon clicking the Menu,

the user will be able to view further sub-menus as detailed below:


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4.3 CAN Transaction This Menu facilitates the user to data capture the “Transactions” received from Investors mentioning the

CAN. Upon clicking the Menu, the user will be able to view further sub-menus as detailed below:


1 KYC Tracker This menu will enable the user to view all the KYC Registration data captured by the Distributor users along with their current status.

2 KYC Individual This menu will enable the user to data capture the KYC Registrations received from individual investors along with the requests for CAN creation.

3 KYC Non-Individual This menu will enable the user to data capture the KYC Registrations received from Non-Individual investors along with the requests for CAN creation.

4 CAN Tracker This menu will enable the user to view all the CAN Registrations data captured by the Distributor users along with their current status.

5 CAN Individual This menu will enable the user to data capture the CAN Registrations received from Individual Investors.

6 CAN Non-Individual This menu will enable the user to data capture the CAN Registrations received from Non-Individual Investors.


1 Purchase This menu facilitates the user to data capture a CAN based Purchase Transaction of the investor. The payment for the purchase can be through Cheques / Demand Drafts / Pay-Orders / Banker’s Cheques or through electronic modes like RTGS / NEFT / Transfer Instruction. Where cheques are issued for investments, the user should ensure that only CTS cheques are accepted and entered into the system while rejecting the non-CTS cheques. Sample images of CTS cheques are as follows :

2 Redeem This menu facilitates the user to data capture a CAN based

Redemption Transaction of the investor.

3 Switch This menu facilitates the user to data capture a CAN based Switch Transaction of the investor.


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4.4 Folio Transaction This Menu facilitates the user to data capture the folio-based “Transactions” received from Investors. The

transactions of investors who are not having a CAN, but intend to submit a transaction using an existing

folio can be accepted, provided the transaction is for a single AMC. Folio based transactions cannot be

submitted in a single form across AMCs.

Upon clicking the Menu, the user will be able to view further sub-menus as detailed below:

4.5 Transaction Books This menu facilitates the user to view the details of Regular and Systematic Requests data captured by

the user along with their current status. Upon clicking the Menu, the user will be able to view further

sub-menus as detailed below:


4 SIP This menu facilitates the user to data capture a CAN based SIP Registration of the investor.

5 STP This menu facilitates the user to data capture a CAN based STP Registration of the investor.

6 SWP This menu facilitates the user to data capture a CAN based SWP Registration of the investor.


1 Purchase This menu facilitates the user to data capture a Folio based Purchase Request of the investor.

2 Redeem This menu facilitates the user to data capture a Folio based Redemption Request of the investor.

3 Switch This menu facilitates the user to data capture a Folio based Switch Request of the investor.

4 SIP This menu facilitates the user to data capture a Folio based SIP Registration of the investor.

5 STP This menu facilitates the user to data capture a Folio STP Registration of the investor.

6 SWP This menu facilitates the user to data capture a Folio based SWP Registration of the investor.


1 Normal Order Book This menu will enable the user to view the Regular Requests like


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4.6 NC Transaction This menu facilitates the user to data capture the Non- Commercial Transaction “Requests” received

from Investors. Upon clicking the Menu, the user will be able to view further sub-menus as detailed

below:

4.7 Scan This menu facilitates scanning of all documents received from the Investor. Upon clicking the Menu, the

user will be able to view further sub-menus as detailed below:

Purchases, Redemptions and Switches with their associated details like CAN, Folio, Reference Numbers, Branch, Scheme, Payment details etc. and also their current status.

2 Systematic Order Book

This menu will enable the user to view the Systematic Registrations like SIP, STP and SWP with their associated details like CAN, Folio, Reference Numbers, Branch, Scheme, Payment details etc. and also their current status.

3 Order Approval Not applicable to Distributors.


1 POA This menu will enable the user to data capture the “Power of Attorney” Registration requests received for a CAN from the Investor.

2 DP This menu will enable the user to data capture the “Depository Account” details for a CAN received from the Investor.

3 Address This menu will enable the user to data capture (if KYC done on MFU) the request for “Address Change” received from the investor.

4 Bank Mandate This menu will enable the user to data capture the “Bank Mandate Change” request received for a CAN from the Investor.

5 Contact Details This menu will enable the user to data capture the “Contact Details” request received for a CAN from the Investor (eg. Telephone No., Mobile No., Email etc.)

6 Other Details This menu will enable the user to data capture the “Other Details” request received for a CAN from the Investor (eg. Gross Income, Net Worth, Occupation etc.)


1 Scan Transaction This menu will enable the user to scan & upload all the documents

related to Requests received from investor

2 Transaction Scan Book This menu gives the list of all the documents that have been scanned and uploaded related to the Requests along with the


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4.8 Deposit Slip This menu facilitates generation of deposit slips for the physical payment instruments received from

Investors for Subscription Requests. Upon clicking the Menu, the user will be able to view further sub-

menus as detailed below:

option to View, Re-Scan, detect marker, Data Capture and Delete

3 Scan Registration This menu will enable the user to scan & upload all the documents related to KYC & CAN registrations received from investors.

4 Registration Scan Book This menu gives the list of all the registration related documents that have been scanned and uploaded along with the option to View, Re-Scan, detect marker, Data Capture and delete


1 Slip Maintenance This menu will enable the user to view the list of physical instruments eligible to be deposited and generate deposit slip for the same.

2 Slip Book This menu will display the user with the list of the deposit slips generated through “Slip Maintenance” menu for the chosen period along with the deposit slip status as well as allow the user to view, cancel, print and scan the deposit slip details.


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4.9 Dash Board

The dashboard provides the logged-in user with the current status of “Registrations” and “Transactions”

captured by the Distributor Entity users that are pending approval by the next level user within the entity or

the mapped POS. The display shows the Registrations and Transactions under two columns i.e. MY BRANCH

and MY LEVEL. The numbers displayed under MY BRANCH are those which are captured within the User

associated branch whereas the numbers displayed under MY LEVEL are those which are captured at a level of

the branch to which the user is associated to. To explain it further, if the user is attached to a branch which is

defined as a “BRANCH” during creation, then the display will only show the records pertaining to that branch.

Whereas if the user is attached to a branch which is defined as a “REGION” during creation, then the display

will show the records pertaining to his branch as well as other branches which are mapped to his branch

under the region.


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5. Scan This function will enable the user to scan the registration and transaction documents that have been received by them and upload to the MFU system. There are separate menus for scanning Registration documents and transaction documents. Scanning has to be done in the sequence of documents starting from the Registration or Transaction Request Form followed by the supporting documents attached like PAN card, address proof, company resolution, MOA, etc. In cases where the Transaction Requests are received along with the Registration Form, then the scanning of documents for Registration and Transaction Request has to be done separately. Registration or the Transaction Request Form should be as per the MFU standards. The scanning of the Registration/Transaction and attached documents should be with the standard dpi of 200.

5.1 Scan Transaction The following are the drop-down menus available in the screen displayed upon clicking the “Scan Transaction” menu:

Sr. No. Information Description

1 Pages Number of pages scanned

2 Form Type It is type of request form to be scanned

3 Control Type It can be scan & upload and edit

*Deskew option is provided to align or rotate a scanned image to a proper position and size.

To scan a new transaction, select the appropriate transaction type and click on the scan button and the following

screen will appear to select the device / scanner attached / installed:


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Once you select the device, click on OK button will scan the documents and then display the following screen:

The scanned image is currently displayed to the user on his screen without being stored anywhere and the same

has to be uploaded to MFU server by clicking the “Upload to server” button, which will display the following

screen:

The user has to input either the Application No or CAN / Folio No as the specific reference to the scanned

document so as to retrieve the scanned image from the scan book. The user may also mention any additional

remarks for their reference.

5.2 Transaction Scan Book All transactions documents which are scanned through the “Scan Transaction” module are available for display

under the “Transaction Scan Book” menu. The following are the details displayed when this menu is chosen:


1 Image Reference Number System Generated Reference Number after the scan image has been successfully uploaded into MFU system.

2 Application No. Application number

3 Txn Type (Transaction Type)

It can be purchase, redeem, Switch, SIP, STP, SWP

4 Order Type It can be CAN based or folio based

5 CAN It is common account number


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The scanned images can be viewed in all or by providing specific filters. From the displayed list of scanned records, the user will be able to View, Re-scan, Detect Marker, Data Capture or Delete the record

5.3 Scan Registration The following are the drop-down menus available in the screen displayed upon clicking the “Scan Registration” menu:


1 Pages Number of pages scanned

2 Form Type It is type of registration form to be scanned

3 Control Type It can be scan & upload and edit

*Deskew option is provided to align or rotate a scanned image to a proper position and size.

To scan a new “Registration” document, select the appropriate Registration type and click on the scan button and

the following screen will appear to select the device / scanner.


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Once you select the device, click on OK button which will scan the documents show the following screen.

The scanned image is currently available in the local system and the same has to be uploaded to MFU server by

clicking the “Upload to server” button, which will display the following screen:

The user has to input an Image Reference No. to identify the Scanned Image for retrieval through “Registration

Scan Book”.


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5.4 Registration Scan Book

All Registration documents which are scanned through the “Scan Registration” module are available for display

under the “Registration Scan Book” menu. The following are the details displayed when this menu is chosen:


1 Image Reference No. Reference number of the image which the User Inputs 2 Form Type It is type of form to be scanned

3 CAN Common account number

The scanned images can be viewed in all or by providing specific filters. From the displayed list of scanned

records, the user will be able to View, Re-scan, Data Capture or Delete the record.


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Distributor

Registration

KYC registration incidental to CAN

CAN registration

Transactions

Financial

CAN based transaction

Folio based transaction

Regular Transactions

Purchase

Redemption

Switch

Systematic

Registrations

Systematic Investment Plan

Systematic Withdrawal Plan

Systematic Transfer Plan

Non Financial

Update and send like change of address and bank mandate etc.

Receive and forward

like warrant revalidation etc.

6. Transactions The following flow chart explains the type of registrations and transactions that can be handled by the distributor through MFU System.

Note : Distributor can accept and data capture the requests under his ARN only.


Distributor Manual


6.1 KYC Registration (incidental to CAN creation)

This menu enables the distributors to data capture the KYC Registration Details of Investors who have submitted a CAN Registration Form to create a Common Account Number (’CAN’) and are non-KYC compliant. The Investors applying for CAN should be either already KYC compliant or should have applied for KYC Registration outside MFU or should have submitted a KYC Registration Form along with the CAN Registration Form. Investors who are already KYC compliant can submit the KYC acknowledgement along with the CAN Registration Form basis which MFU system will check the KYC status of the Investor with the KRA using the PAN/PEKRN.

Independent KYC registrations will not be performed by MFU. Only KYC Registrations submitted along with a CAN Registration Form will be allowed through MFU. The distributor needs to capture following information in MFU system to complete the KYC registration process. For ease of use, the required data inputs and the related sections are explained separately. KYC Registration for Individuals


1 Permanent Account Number (PAN)*

The applicant’s PAN as mentioned on the KYC Registration form for Individuals

2 Name of Applicant* The applicant’s name as mentioned on the KYC form

3 Father's/Spouse's Name* The applicant’s father’s or spouse name as mentioned on the KYC form

4 Nationality* The applicants nationality as mentioned on the KYC form

5 UID (Aadhar) The applicant’s UID number (if provided) as mentioned on the KYC form

6 Proof of Identity The applicant’s proof of identity that has been submitted along with the KYC form (Self attested photocopy of passport, driving license, voter’s ID card etc.)

7 Gender* The applicant’s gender as mentioned on the KYC form

8 Marital Status* The applicant’s marital status as mentioned on the KYC form

9 Residential Status* The applicant’s residential status as mentioned on the KYC form

10 PAN Exempt The applicant’s PAN exempt status as mentioned in the KYC form

11 PAN Exempt Category The exemption category which is applicable to the applicant as mentioned in the KYC form

12 PAN Copy Automatically filled in by the system depending upon the PAN ID field. Will be “YES” if PAN is provided, else “NO”

13 Remarks Any additional remarks that the user may want to mention

*Mandatory fields


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KYC Details to be updated

The Internal Reference Number generated upon saving the above details should be written on the KYC

registration form on the TOP RIGHT for future reference/retrieval purposes.


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KYC Registration for Non-Individual Investors


1 PAN * The entity’s PAN as mentioned on the KYC form

2 Date of Incorporation*

The date on incorporation of the entity as mentioned on the KYC form

3 Name of Applicant* The entity’s name as appearing on the KYC form

4 Place of Incorporation*

The place where the entity was incorporated as mentioned on the KYC form

5 Entity Reg.No.* The registration number of entity as mentioned on the KYC form

6 Commencement Date*

The date on which the entity started functioning as mentioned on KYC form. For public limited companies it will be as per certification of incorporation.

7 PAN Copy* Auto-populated as “YES”

8 Entity Status* The category under which the entity falls in the list as provided in the Entity Status menu

9 Entity Status Desc. If Entity status is other than the list of items displayed in the


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dropdown, it has to be selected as “Others” and the details as mentioned in the form by the Entity have to be captured here.


The Internal Reference Number generated upon saving the above details should be written on the KYC

registration form on the TOP RIGHT for future reference/retrieval purposes.


1 PAN * The entity’s PAN as mentioned on the KYC form

2 Name of Applicant* The entity’s name as appearing on the PAN

3 DIN/UID* Director identification number/unique identification number

4 Relationship* The relationship of promoter with the investor

5 Political connection* Political connection of promoter

Registration for KYC Non Individual: Entity will submit the required documents to the distributor

(For list of documents Refer Annexure I). Distributor needs to update the requisite information as

per the above screen which in turn will be submitted to KRA.


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KYC Tracker

This window will enable the distributor to view all the KYC Registration Records created by the Distributor Users and current status of the records. The distributor can view the registration status, the list of documents submitted by the applicant and the last date and time, when the respective record was modified.


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1 Branch Level The distributor can view all the KYC applications under his branch or under his level

2 Category The distributor can view/search for KYC the applications category wise

3 Registration Status The distributor can view/search for KYC applications based on their the registration status

4 KYC Registration No. The distributor can view/search for KYC applications by their KYC registration number

5 PAN/PEKRN The distributor can view/search for KYC applications by their PAN/PAN Exempted KYC Registration Number (PEKRN).

For registrations pending approval, under detailed view, the details of the registration can be viewed. If a

scanned image is already available for the record, the same can be viewed by clicking the button as displayed in

the below screen:


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6.2 CAN Registration

Individual CAN Registration


1 Holding Type The applicant’s mode of holding as mentioned on the CAN form (Single, Joint, Anyone or Survivor)

2 Investor Category The Investor category as mentioned on the CAN form (Individual, Minor or Sole-proprietor)

3 Residential Status The applicant’s residential status as mentioned on the CAN form

4 Account Holder Details

The applicants details as mentioned on the CAN form (Primary / Secondary / Third holder details along with, PAN/PEKRN, name and the date of birth of the applicant)


The UCRN generated upon capturing the CAN data should be written on the CAN registration form in the space

provided for future reference/retrieval purposes.

CAN Registration for Individual: Individual will submit the required documents to the

distributor (For list of documents Refer Annexure II). Distributor has to update the requisite

information as defined above which in turn will be submitted to POS.


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CAN Details to be updated (for Individual)


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Non Individual CAN Registration

CAN Details to be updated (for Non individual)


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The UCRN generated upon capturing the CAN data should be written on the CAN registration form in the space

provided for future reference/retrieval purposes.

CAN Registration for Non Individual: Entity (Non Individuals) will submit the required documents to

the distributor (For list of documents Refer Annexure II). Distributor needs to update the requisite

information as defined as per above screen and it will be submitted to POS. Details Screen will

remain same as CAN registration for individual.

Click here to save

check list

Click here to save

other detail

Click here to save

common detail


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CAN Tracker

This window will enable the user to view all the applicants that have registered for CAN ID creation. The user can view the registration status, the list of documents submitted by the applicant and the last time when the applicant’s data was modified. User can save or modify the details entered till submission to POS.


1 Branch Level The distributor can view all the CAN applications branch wise 1. My Branch – Here user can view requests pertaining to his

branch only. 2. My Level – Here user can view requests pertaining to their

mapped branch.

2 Category The distributor can view/search for the CAN applications category wise

3 Registration Status

The distributor can view/ search for CAN applications based on their the registration status

4 CAN The distributor can view/ search for CAN applications by their CAN

5 PAN/PEKRN The distributor can view/ search for CAN applications by their PAN/PEKRN

CAN Tracker: It will display all CAN registrations created through the distributor users with their

relevant status.


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6.3 CAN Transaction

The details as mentioned in the transaction form will be captured in the respective fields required

under each transaction type. The GORN generated upon capturing the CAN transaction should be written on

the CAN Transaction form in the space provided for future reference/retrieval purposes.

Purchase


CAN Details

1 CAN* The CAN of the applicant

2 Application No. The application form number

3 New Investor If the applicant has ticked that he is a first time investor investing in mutual funds, the checkbox needs to be checked else left blank

ARN Details (AMFI Regn. Details)

1 ARN Code* The ARN Code of the main distributor. This will be auto-populated with the ARN code of the entity to which the user belongs to.

2 ARN Name The name of the ARN Holder as available in the master will be displayed here.

3 Sub Brk. ARN Code The ARN code of the Sub-broker/Agent

4 Sub Brk. ARN Name The name of the ARN holder (Sub-broker/Agent) as available in the master will be displayed here upon click of the ‘Validate’ button

5 Sub Brk. Code The Sub Broker’s code (other than the ARN code) if mentioned on the form

6 Branch / RM Code The branch/RM code as mentioned on the form

7 EUIN Code The Employee unique identification number code belonging to the sales personnel who had advised the investment under the ARN of the main distributor or the Sub broker/agent’s.

8 EUIN Declaration If Investor has not provided EUIN in the application form, unit holder needs to sign a declaration to that effect which will be captured by ticking this check box.

Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a valid code linked to the respective ARN codes and auto-populate a suitable remark in the transaction.

Payment Details

1 Payment Type* The mode of payment

2 Payment Ref.No.* The payment reference number (Instrument No./Online Reference No.)

3 Payment Date* The date of payment

4 Amount * Payment amount as per the payment instruction

5 Source Account Number* The account number from where the payment is made.

6 Account Type* Type of account (Savings, Current, etc.)

7 MICR Code* The MICR code of the branch where the source account is maintained

8 Bank Name The name of the bank where the account is maintained

9 Bank Branch The name of the branch where the source account is maintained

10 Third Party Declaration To be checked if the payment is from a third party and necessary declaration is attached to the payment

11 Third Party Entity

Will be displayed only when the Third Party declaration check box is ticked and the relevant category under which the third party entity falls in the list as provided in the third party entity menu should be chosen

12 DD/PO/BC Declaration Where the payment mode is DD/PO/BC a declaration should be submitted by the investor based on which this check box will be checked.

13 Proof for Source Debit A/c Where the source account number cannot be identified from the payment instrument, the investor has to provide a proof to support that the payment is from an account belonging to him. In


Distributor Manual


such instances, this check box will be checked

Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for investment

2 Folio No./ITRN The folio number under which the investment is sought to be done

3 Scheme*

The name of the scheme in which investor wants to invest should be input. The system will filter the schemes matching the input criteria for display and selection. Where the scheme is not displayed based on input, the same can be selected through the search option.

4 Dividend Option* The option of “Payout” or “Reinvestment” of dividends under the Scheme as requested by the investor

5 Amount* The amount chosen to be invested for the respective scheme by the investor.

The above fields will be repeated for each transaction block and the user shall capture the investment details as many times as available in the form

6 Total Order Amount The sum of the amount invested in respective form.

The Total of all the investments and the payment amount should match except in case of payments through DD / PO / BC where the difference can be attributed to the commission charges deducted which should be within the DD charges limits set in the system.

Depository Account Details

1 Allot units in Demat If the investor has requested for credit of Units into his depository account this check box needs to be checked

From this link,

investor can

switch to folio

specific

transaction

(Refer Point

No. 6.4 for

folio

transactions)


Distributor Manual


Redeem


CAN Details

1 CAN* The applicant’s CAN as mentioned on the request form.


2 Depository The depository name i.e. NSDL or CDSL as mentioned on the request form

3 Client ID Beneficiary’s Depository account number i.e. DPID & Client ID

Remarks

1 Remarks to RTA Any information/instruction that the user may want to communicate to the RTA related to the specific transaction

2 Internal remarks Any additional information/instruction that the user may want to communicate for their internal use.

Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for redemption

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form or the transaction reference number of the positive transaction against which this redemption has to be considered

3 Scheme* The name of the scheme from which the investor wants to redeem

4 Redeem Option* The option to redeem units / amounts i.e. by Units or Amount or All units.

5 Payout Details If bank account details are mentioned in the redemption form then user has to


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Remarks



Switch


CAN Details







4 Sub Brk. ARN Name

The name of the ARN holder (Sub-broker/Agent) as available in the master will be displayed here upon click of the ‘Validate’ button



7 EUIN Code The Employee unique identification number code belonging to the sales

tick on the check box i.e. “Payout Details” shown below to enter the bank details. (the bank account number where redemption proceeds are required to be credited)


Distributor Manual


personnel who had advised the investment under the ARN of the main distributor or the Sub broker/agent’s.

8 EUIN Declaration

If Investor has not provided EUIN in the application form, unit holder needs to sign a declaration to that effect which will be captured by ticking this check box.


Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for switching.

2 Folio No./ITRN* The folio number of the AMC as mentioned on the request form or the transaction reference number of the positive transaction against which this switch has to be considered

3 Switch Out Scheme*

The name of the scheme from which the investor wants to switch out units from.

4 Switch In Scheme* The name of the scheme to which the investor want to switch units into.

5 Dividend Option* The option of “Payout” or “Reinvestment” of dividends under the Target Scheme as requested by the investor

6 Switch By* Switch options available are in terms of all Units/Specific Amount/Specific Units.


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Systematic Investment Plan (SIP)


CAN Details

1 CAN* The CAN of the applicant


3 New Investor

If the applicant has ticked that he is a first time investor investing in mutual funds, the checkbox needs to be checked else left blank


1 ARN Code*

The ARN Code of the main distributor. This will be auto-populated with the ARN code of the entity to which the user belongs to.



4 Sub Brk. ARN Name




7 EUIN Code

The Employee unique identification number code belonging to the sales personnel who had advised the investment under the ARN of the main distributor or the Sub broker/agent’s.

8 EUIN Declaration



Payment Details for 1st instalment, if current dated only











11 Third Party Entity Will be displayed only when the Third Party declaration check box is ticked and the relevant category under which the third party entity falls in the list as provided in the third party entity menu should be chosen


13 Proof for Source Debit A/c

Where the source account number cannot be identified from the payment instrument, the investor has to provide a proof to support that the payment is from an account belonging to him. In such instances, this check box will be checked


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Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company where investor wants to invest.

2 Folio No./ITRN The folio number of the AMC as mentioned on the request form

3 Scheme* The name of the scheme in which investor wants to invest


5 Frequency* The Frequency in which the investor wants the SIP to be processed

6 Installment Date/Day* The date on which the investor wants the SIP to be processed within the above specified frequency

7 Start Date* SIP request starting date

8 End Date SIP request ending date



10 Total Order Amount The name of the fund/ Asset Management Company where investor wants to invest.



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Systematic Transfer Plan (STP)

Sr. No.

Information Description

CAN Details







4 Sub Brk. ARN Name The name of the ARN holder (Sub-broker/Agent) as available in the

SIP Mandate Registration Details


2 Regn. Bank Account Number*

The account number from where the payment is made.


4 MICR Code* The MICR code of the bank having account

5 Bank Name The name of the bank having the account

6 Bank Branch The Branch of the account

7 Proof Received Proof of cheque / standing instructions.





Remarks




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master will be displayed here upon click of the ‘Validate’ button



7 EUIN Code


8 EUIN Declaration



Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company where investor intends to transfer the units.

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form or the transaction reference number of the positive transaction

against which this STP has to be considered 3 STP Out Scheme* The name of the scheme the investor wants the STP-Out

STP In Scheme* The name of the scheme the investor wants the STP-In


5 STP Option* It can be fixed or variable as chosen by the investor

6 Amount** Amount (transfer amount) to be invested with the scheme by the Investor in case of Fixed Option

7 Frequency* Periodicity of STP Instalment

8 Installment Date/Day* Date/day of STP instalment

9 Start Date* STP request starting date

10 End Date STP request ending date


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Remarks



Systematic Withdrawal Plan (SWP)

Sr. No.


CAN Details

1 CAN* The applicant’s CAN as mentioned on the request form


Transaction Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for withdrawal

2 Folio No./ ITRN The folio number of the AMC as mentioned on the request form or the

transaction reference number of the positive transaction against which this SWP has to be considered

3 Scheme* The name of the scheme under which the investor wants to enroll the SWP request

4 Withdrawal Option* The option chosen by the investor i.e. Fixed or Variable

5 Amount** The amount chosen for withdrawal in case of Fixed option

6 Frequency* Periodicity of SWP instalment

7 Installment Date/Day* Date/day of SWP instalment

8 Start Date* Request starting date

9 End Date Request ending date


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6.4 Folio Transactions

The details as mentioned in the transaction form will be captured in the respective fields required under each transaction type The GORN generated upon capturing the transaction should be written on the Transaction form in the space provided for future reference/retrieval purposes.

Folio Purchase

S. No. Information Description Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for investing.

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form

Application Details




2 ARN Name

The name of the ARN Holder as available in the master will be displayed here.


4 Sub Brk. ARN Name




7 EUIN Code


8 EUIN Declaration


Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a valid code linked to the respective ARN codes and auto-populate a suitable remark in the transaction

Payment Details

Remarks




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The account number from where the payment is made.





10 Third Party Declaration

To be checked if the payment is from a third party and necessary declaration is attached to the payment





Transaction Details

1 Scheme*

The name of the scheme in which investor wants to invest should be input. The system will filter the schemes matching the input criteria for display and selection. Where the scheme is not displayed based on input, the same can be selected through the search option.




4 Total Order Amount The Total of all the investment amounts in the respective form.



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Remarks



Folio Redemption


Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for redemption

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form or the transaction reference number of the positive transaction against which this redemption has to be considered

Application Details


Transaction Details

3 Scheme* The name of the scheme from which the investor wants to redeem


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Remarks



Folio Switch


Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for switching.

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form or the transaction reference number of the positive transaction against which this switch has to be considered

Application Details




2 ARN Name



4 Sub Brk. ARN Name


4 Redeem Option* The option to redeem units / amounts i.e. by Units or Amount or All units.

5 Payout Details

If bank account details are mentioned in the redemption form then user has to tick on the check box i.e. “Payout Details” shown below to enter the bank details. (the bank account number where redemption proceeds are required to be credited)


Distributor Manual




7 EUIN Code


8 EUIN Declaration



Transaction Details

1 Switch Out Scheme* The name of the scheme from which the investor wants to switch out units from.

2 Switch In Scheme* The name of the scheme to which the investor want to switch units into.

3 Dividend Options* The option of “Payout” or “Reinvestment” of dividends under the Target Scheme as requested by the investor

4 Switch By*

Switch options available are in terms of all Units/Specific Amount/Specific Units.






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Folio Systematic Investment Plan


Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company where investor wants to invest.

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form Application Details




2 ARN Name



4 Sub Brk. ARN Name




7 EUIN Code


8 EUIN Declaration



Payment Details for current dated 1st instalment









Remarks




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Transaction Details

1 Scheme* The name of the scheme in which investor wants to invest

2 Dividend option* The option of “Payout” or “Reinvestment” of dividends under the Scheme as requested by the investor

3 Frequency* The Frequency in which the investor wants the SIP to be processed

4 Installment Date/Day* The date on which the investor wants the SIP to be processed within the above specified frequency

5 Amount* The amount chosen to be invested for the respective scheme by the investor


6 Start Date* SIP request ending date 7 End Date SIP request starting date 8 Total Order Amount The Total of all the investment amounts in the respective form.



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Folio Systematic Transfer Plan


Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company where investor intends to transfer the units.

2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form or

the transaction reference number of the positive transaction against which this STP has to be considered

Application Details



1 ARN Code*

The ARN Code of the main distributor. This will be auto-populated with the ARN code of the entity to which the user belongs to.

2 ARN Name



S. No. Information Description

SIP Mandate Registration Details



The account number to be debited for SIP instalment payments.

3 Account Type* Type of account (Savings, Current, etc.) 4 MICR Code* The MICR code of the bank having account 5 Bank Name The name of the bank having the account 6 Bank Branch The Branch of the account

7 Proof Received Proof of cheque / standing instructions. Depository Account Details

1 Allot units in Demat

If the investor has requested for credit of Units into his depository account this check box needs to be checked



Remarks




Distributor Manual


4 Sub Brk. ARN Name




7 EUIN Code


8 EUIN Declaration



Transaction Details

1 STP Out Scheme* The name of the scheme the investor wants the STP-Out 2 STP In Scheme* The name of the scheme the investor wants the STP-In

3 Dividend option* The option of “Payout” or “Reinvestment” of dividends under the Scheme as requested by the investor

5 STP Option* It can be fixed or variable as chosen by the investor

6 Amount** Amount (transfer amount) to be invested with the scheme by the Investor in case of Fixed Option

7 Frequency* Periodicity of STP Instalment

8 Installment Date/Day* Date/day of STP instalment

9 Start Date* STP request starting date

10 End Date STP request ending date

Remarks




Distributor Manual


Folio Systematic Withdrawal Plan


Folio Details

1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for withdrawal

2 Folio No.* The folio number of the AMC as mentioned on the request form or

the transaction reference number of the positive transaction against which this SWP has to be considered

Application Details


Transaction Details

1 Scheme* The name of the scheme under which the investor wants to enroll the SWP request

2 Withdrawal Option* The option chosen by the investor i.e. Fixed or Variable 3 Amount* The amount chosen for withdrawal in case of Fixed option 4 Frequency* Periodicity of SWP instalment 5 Installment Date/Day* Date/day of SWP instalment 6 Start Date* Request starting date 7 End Date Request ending date

Remarks




Distributor Manual


7. Submission of physical documents

7.1 Flow of Physical documents from Distributors to POS – applicable to Option II

Investor will submit CAN/KYC registration andtransaction forms along with the required documentsto the distributor who will scan and data capture thesame in MFU system

Distributor may provide across the counteracknowledgment to the investor. Distributor'sacknowledgement is only a temporary one and not aconfirmed acknowledgment and is not legally binding onthe AMC/MFU.

There will be a Batch creation module available to theDistributor, on selecting the option the system will give alisting of documents. The Distributor has to tick against eachdocument which he is submitting to the mapped POS, MFUsystem will generate the Batch number along with the list,which the distributor has to submit to the mapped POS.

Sends the original physical documents to the mapped POSalong with the run sheet

Mapped POS branch acknowledges the receipt of physicaldocuments and forward it to the POS HO (if any) with runsheet


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8. Transaction books

This menu will enable the user to view all the requests and their details, branch wise, scheme wise, referencing them by their CAN or Folio number. This will also enable the user to view the status of the payment and see the transaction’s timestamp.

8.1 Normal Order Book Sr. No. Filters Description

1 Branch Level To view requests at branch level or the user level

2 Start Date Start date will be the date from which order book is to be viewed

3 End Date End date will be the date till the order book is to be viewed

Advanced Filters for which the orders have to be viewed Default filter will be “ALL”

1 Txn Type( Transaction Type)

2 Fund (AMC) Name

3 Scheme Category

4 Scheme Sub Category

5 Scheme Name A specific scheme name can be typed or selected through the Search option

6 CAN A specific CAN to be mentioned or selected through the Search option

7 Folio No.

8 Group Order No.

9 Order Status

10 Payment mode

11 Payment Status

12 Timestamp Sorting This option lists all the request according to the date and time in ascending or descending order


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Distributor Manual


8.2 Systematic Order Book Sr. No Filters Description





1 Txn Type ( Transaction Type)

2 Fund (AMC) Name

3 Scheme Category




7 Folio No.

8 Group Order No.

9 Order Status

10 Payment mode

11 Payment Status

12 Timestamp sorting This option lists all the request according to the date and time in ascending or descending order

1. Export pdf file of

order details

2. Take print out of

order details


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8.3 Order Approval Book This facility will only be available to Distributors who have chosen to perform the maker and checker levels for

the Registrations and Transactions being data captured by them.

Sr. No. Filters Description





1 Transaction Type

2 Fund (AMC) Name

3 Scheme Category




7 Folio No.

8 Group Order No.

9 Order Status

10 Payment mode

11 Payment Status

12 Timestamp sorting This option lists all the request according to the date and time in ascending or descending order


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9. Non Commercial Transactions (NC Transactions) Distributors may receive Non-Commercial transactions from the Investors and scan and capture the same as part

of MFU system under their login. Currently, MFU system provides for the NCT types like Address Change, Bank

Mandate (Addition / Deletion), Depository Account (Addition / Deletion) and Power of Attorney (Registration /

Change). Post scan and data capture of the NCTs, the requests from the investors have to be submitted to the

mapped POS in the similar fashion followed for the Registrations & Commercial Transactions. The NCT requests

scanned and data captured by the distributors will be scrutinized / verified by MFUI back office users before

effecting the changes. The NCT Reference Number generated upon capturing the NCT data should be written on

the TOP RIGHT of the NCT request for future reference/retrieval purposes.

9.1 POA Registration/Change An investor may give a request for POA Registration or Change pertaining to the given CAN. The Applicant has to

provide a duly signed request (as per the mode of holding) with the necessary POA documents duly notarized for

the Registration / Change.


1 CAN The applicant’s CAN

2 Start Date The start date of request

3 End Date The end date of request

4 Status The status of request

Upon clicking the menu, the following screen is displayed:-


CAN & POA Details


2 POA Option POA Marking or POS Revoking

3 PAN/PEKRN POA’s PAN/PEKRN

4 DOB/ Date of Incorporation Individual – DOB / Non Individual – Date of Incorporation

POA Details

1 In Favour of POA’ s Name as registered with KRA

2 KYC Status POA’s KYC status as per KRA

3 Address POA’s Address as registered with KRA

Remarks

1 Internal Remark Any additional information/instruction that the user may want to communicate for their internal use


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Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the

user to data caputre the details as listed above. Under POA Option there is a dropdown with options i.e. POA

Marking (Registration) or POA Revoking (Cancelation).

After entering the required infromation user can click on “Submit” button, the following screen will be displayed.

After clicking on the “OK” button, the following screen will be displayed.

Scan: Under the options available, the user has to scan the request documents and upload to MFU Server.

Submit to MFU: After the user uploads the scan image, the user can click on the icon “Submit to MFU”

Detailed Views: Click on the “Detailed View” icon and the following screen will be displayed:

1. Detailed View – To view / submit details of the POA transaction.

2. Cancel – To cancel the transaction.

3. Scan – Facilitates to scanning of all documents received from the Investor.

4. View – To view scanned documents.

5. Submit To MFU – To submit the Scan image to MFU Server.


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Upon clicking on submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the

record will be submitted to MFU.

Cancel: If the user clicks on the “Cancel” button, the following screen will be displayed. This option is provided

to the user to delete the request.

Confirm cancelled by clicking “Yes”. Else click “No” to go back to the main screen.

9.2 Depository Account Addition / Deletion An investor may give a request to Add / Delete his Depository Details pertaining to the given CAN. The Applicant

has to provide a duly signed request (as per the mode of holding) with the required proof of documents for doing

the changes.







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CAN Details

1 CAN Investor’s CAN

2 DP Event Provision of Addition and deletion option

DP Details

1 Depository ID Depository Account Details and Proof of Document/s

2 DP Client ID

3 DP Account Proof

Remarks

1 Internal Remark Any additional information/instruction that the user may want to communicate for their internal use.

Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the user

to data caputre the details listed above, under DP Event there is a dropdown with options i.e. Add or Delete.




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Scan: Under the options available above the user has to scan the request documents and upload to MFU Server.


Detailed Views: Click on the “Detailed View” icon and the following screens are displayed:

Upon clicking on submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the







3. Scan – Facilitates to scanning of all documents received from the Investor..




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9.3 Address Change An investor may give a request to change his address for a PAN / PEKRN provided he has a CAN available with

MFU. The Applicant has to provide a duly signed request with the required proof of documents for doing the

changes. The distributor can capture the address change request in the MFU system. MFU will facilitate sending

the change request to the KRA and upon confirmation from the KRA about the successful updation of the change,

MFU system will update the change under the CAN and inform the RTAs also.


1 PAN/PEKRN The applicant’s PAN/PEKRN




Sr. No.


PAN/PEKRN. Details

1 PAN/PEKRN. Applicants PAN / PEKRN

Address for Correspondence

1 Address Line 1* Applicants Address details as mentioned in the request

2 Address Line 2

3 Address Line 3

4 PIN Code* 5 Country* 6 State* 7 City* 8 Address Proof* Appropriate proof of documents submitted along with the request as

supporting document

Permanent / Overseas Address

1 Address Line 1* Applicants Address details as mentioned in the request

2 Address Line 2

3 Address Line 3

4 PIN Code* 5 Country* 6 State*


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7 City* 8 Address Proof* Appropriate proof of documents submitted along with the request as

supporting document

Remark


Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the user

to data caputre the address details.







3. Scan – Facilitates to scanning of all documents received from the Investor..




Distributor Manual



Upon clicking on Submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the





9.4 Bank Mandate Addition/Deletion An investor may give a request to Add / Change / Delete his Bank Mandate pertaining to the given CAN. The

Applicant has to provide a duly signed request (as per the mode of holding) with the required proof of documents

for doing the changes.


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CAN Details

1 CAN Applicants CAN Number

Add Bank

1 Account Number Bank Account Details

2 Account Type

3 MICR code

4 IFSC Code 5 Bank Name 6 Branch Name 7 Default Account By clicking on the option the previous default bank will be overwritten

with the current default bank.

8 Proof Type Appropriate proof of documents submitted along with the request as supporting document

9 Dividend Payout Electronic / Physical

10 Redemption Payout Electronic / Physical

Change Default Bank Mandate

1 Account Number

2 Account Type

3 MICR code

4 IFSC Code

5 Bank Name

6 Branch Name

7 Default Account Assigning multiple default account is not permissible. Hence, user has to unselect the existing account from default selection before selecting the current one.

8 Proof Type Appropriate proof of documents submitted along with the request as supporting document

9 Dividend Payout Electronic / Physical

10 Redemption Payout Electronic / Physical

Delete Bank

1 Account Number Deleting the default bank is not permissible till one of bank account is assigned as default 2 Account Type


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3 MICR code

4 IFSC Code 5 Bank Name 6 Branch Name

Remark





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Upon clicking on Submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the






2. Cancel – To cancel the transaction

3. Scan – Facilitates to scanning of all documents received from the Investor.




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10. Deposit Slip

10.1 Slip Maintenance


1 Start Date* The date from which the inflow transactions have to be considered for inclusion in the deposit slip

2 End Date* The date till which the inflow transactions have to be considered for inclusion in the deposit slip

3 Scheme Category The scheme category (Equity, Debt, Cash, Interest and Invest) for which the deposit slip has to be generated. More than one category can be selected at a time

4 Amount Range The amount range as per pre-defined slab for which the deposit slip has to be generated.

5 Deposit Mode The deposit mode as allocated by the system i.e. Transfer or CMS for which the deposit slip has to be generated

6 Collection Bank and Branch The name of the mapped collection bank and branch for which the deposit slip has to be generated

7 Bank Account Number The CMS code for under the collection bank and branch for which the deposit slip has to be generated


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10.2 Slip Book


1 Start Date* The date from which the deposit slips generated have to be considered for display

2 End Date* The date till which the deposit slips generated to be considered for display

3 Deposit Mode The deposit mode under which the deposit slip was generated

4 CMS Code The CMS code under which the deposit slip was generated


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11 Report Generation This function will enable the user to generate and view all the reports for analysis and keep a record of the transactions

Transactions

Processed -

High value -

Unprocessed -

SIP Registration Report -

SIP mandate reg. Status -

Scan control report -

Daily transaction summary -

Transaction check list -

Banking

Deposit Acceptance Report -

Credit Status Report -

Pending DS Generation Report -

Delayed Deposit Report -

Distributor

Broker Transaction Report –

Billing

Total Transaction Processed -

Transactions

Processed - This report will generate transactions routed through MFU that are updated post RTA processing with current status (including rejections)

High value - This reports provides transaction report based on transaction value for the given period.

Unprocessed - This report will generate transactions capture in MFU showing the current status of the transaction/s.

SIP Registration Report - This reports displays the List of SIP Registrations done through MFU during the period where the mandate has to be sent for Bank validation through the Aggregator.

SIP mandate reg. Status - This reports displays the List of SIP Registrations done through MFU where the Mandate verification success/failure is pending for update from the aggregator.

Scan control report: This report will display the details for transactions attached with scan image or transactions without scan image.

Daily transaction summary - This reports displays the Summary of Daily MFU transactions entity wise, Scheme wise, transaction type wise and scheme category wise.

Transaction check - This report will provides transaction checklist for the given period. Banking

Deposit Acceptance Report: This report displays the List of MFU routed Inflow transactions, with their deposit slip acceptance/rejection status at the Bank level.

Credit Status Report: This report displays credit status of instruments for the transactions routed through MFU.

Pending DS Generation Report - This report displays the list of MFU routed inflow transactions, where deposit slip is pending for generation at the Entity end.

Delayed Deposit Report: This report displays the list of MFU routed inflow transaction - where there is a T+1 delay or more days in cheque deposit at the Entity end Distributor

Broker Transaction Report – This report displays the list of transactions captured thru the Broker during a day or for a specified period.

Billing

Total Transaction Processed - This report displays the Summary of Entity wise /Total Transaction processed count for cross verifications of Bills raised by the Entity.

Registration

KYC Individual Summary – This report will provide the details of Individual KYC registration done for a given period.

CAN Individual Summary - This report will provide the details of Individual CAN registration done for a given period.

CAN Non-Individual Summary - This report will provide the details of Non-individual CAN registration done for a given period.

KYC Non-Individual Summary - This report will provide the details of Non-Individual KYC registration done for a given period.

Deposit Slip

This report will provide the user to generate bank wise deposit slip for a given period.


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11.1 Transaction

Processed Transaction Report

High Value Transaction Report

Processed Transaction Report: This report will include details of entity type and name, entity

branch id and name, ITRN, CAN investor name, fund name and scheme name, Folio no./Broker

or sub broker ARN, Amounts or units and transaction status with date.

Processed Transaction Report: This report will list the transactions routed through MFU and are updated

post RTA processing with their current status (including rejections). This will help the distributor to know

whether the transactions are processed or rejected by the RTA

High Value Transaction Report:. This report will list the transactions for and above a certain value as defined by

the User for the given period. This report will help the distributor to prioritize and pay attention towards the large

value transactions


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Un-processed Transaction Report

SIP Registration Report

SIP Mandate Registration Status

Unprocessed Transaction Report: This report will generate transactions captured in MFU showing the current

status of the transaction/s which are pending approval by the mapped POS. The distributor may follow-up with

the mapped POS if required to expedite the approval

SIP Registration Report: This report will generate list of SIP Registrations done through MFU during the period for

which the mandate has to be sent for Bank validation through the Aggregator. This report will help the distributor

to ensure the requisite mandate for SIP registration is available

SIP Mandate Registration Status: This report will generate list of SIP Registrations done through MFU and the

Mandates submitted to the aggregator for verification with the investor’s banker along with the verification

status as success/failure. This will help the distributor to know whether the investor’s mandate registration has

been successful or not


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Scan Control Report

Daily Transaction Summary

Transaction Check List

Scan Control Report: This report will display the details for transactions attached with scan image or transactions

without scan image. This will help the distributors identify the records where documents are yet to be scanned

Daily transaction Report: This reports displays the Summary of Daily MFU transactions entity wise, Scheme wise,

transaction type wise and scheme category wise. This will help distributors keep track of the number of

registrations and transactions routed by them through MFU system

Transaction Checklist: This report will provide transaction checklist for the given period. This will help

distributors to verify the data captured by them with the transaction document


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11.2 Banking

Deposit Acceptance Report

Credit Status Report

Pending DS Generation Report

Pending DS (Deposit Slip) Generation Report: This report displays the list of MFU routed inflow transactions,

where deposit slip is pending for generation at the Entity end. This will help distributors at the HO or regional

level to monitor whether there are any cheques lying un-deposited at their branches

Deposit Acceptance Report: This report displays the List of MFU routed Inflow transactions, along with their

deposit slip acceptance/rejection status at the Bank level. This will help distributors to know whether the

cheques sent by them for banking are accepted / rejected by the banker

Credit Status Report: This report displays credit status of instruments for the transactions routed through

MFU. This will help the distributors to know whether instruments provided by their customers are cleared or

not


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Delayed Deposit Report

11.3 Distributor

Broker Transaction Report

11.4 Registration

KYC Individual – Registration Detail

Broker transaction Report: This report displays the list of transactions captured thru the Broker during a day

or for a specified period

Delayed Deposit Report: This option will generate the delayed deposit report in respect of no. of days delay

in deposit of physical payment instrument to the bank by the user for specific period as required. This will

help the distributors to monitor if there has been any delay in depositing the cheques by their branches

KYC Individual – Registration Detail: This report will provide the details of Individual KYC

registration data captured for a given period. This will help the distributors to compare the

data captured by them with the original registration document


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CAN Individual Detail

CAN Non-Individual Detail

KYC Non-Individual Detail

CAN Individual Detail: This report will provide the details of Individual CAN registration data

captured for a given period. This will help the distributors to compare the data captured by

them with the original registration document

CAN Non-Individual Detail: This report will provide the details of Non-Individual CAN

registration data captured for a given period. This will help the distributors to compare the

data captured by them with the original registration document

KYC Non-Individual Detail: This report will provide the details of Non-Individual KYC

registration data captured for a given period. This will help the distributors to compare the data

captured by them with the original registration document


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11.5 Deposit Slip

HDFC / ICICI / Kotak / Axis - Deposit Slip

12 Documents to be maintained, Daily dispatch process and Timelines

All the documents have to be data captured and scanned by the distributor on the same day. All the original documents received by the distributor have to be submitted to the mapped POS by EOD along with the run sheet. Where a transaction is data captured by the distributor and is electronically time-stamped in MFU system, the

distributor shall affix a RUBBER STAMP as “ELECTRONICALLY TIME-STAMPED TRANSACTION” on

the face of the transaction form to ensure that the POS does not physically time-stamp the transaction once again.

Annexure I : Documents need to be submitted Following is the list of documents related to KYC Registration (Individual and Non – Individual) :

1 Proof of Identity (POI): List of documents admissible as Proof of Identity:

i) PAN card with photograph. This is a mandatory requirement for all applicants except those who are specifically exempt from obtaining PAN (listed in Section 3).

ii) Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license.

iii) Identity card/ document with applicant’s Photo, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued by Banks.

2 Proof of Address (POA): List of documents admissible as Proof of Address

(*Documents having an expiry date should be valid on the date of submission)

i) Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance bill/Insurance Copy.

ii) Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old

iii) Bank Account Statement/Passbook - Not more than 3 months old.

Deposit Slip: This module will help the user to generate bank wise deposit slip for a given

period.


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iv) Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own accounts.

v) Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks / Scheduled Co-Operative Bank / Multinational Foreign Banks / Gazetted Officer/ Notary public / Elected representatives to the Legislative Assembly / Parliament / Documents issued by any Govt. or Statutory Authority.

vi) Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members.

vii) For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken.

viii) The proof of address in the name of the spouse may be accepted.

3 Exemptions/clarifications to PAN

(*Sufficient documentary evidence in support of such claims to be collected)

i) In case of transactions undertaken on behalf of Central Government and/or State Government and by officials appointed by Courts e.g. Official liquidator, Court receiver etc.

ii) Investors residing in the state of Sikkim.

iii) UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.

iv) SIP of Mutual Funds upto Rs. 50,000/- p.a.

v) In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance Companies registered with IRDA and Public Financial Institution as defined under section 4A of the Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide duly certified copies of such verified PAN details to the intermediary.


Distributor Manual


4 In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above

the POI & POA, as mentioned below

Sr. No.

Types of entity Documentary requirements

1 Corporate i) Copy of the balance sheets for the last 2 financial years (to be submitted every year)

ii) Copy of latest share holding pattern including list of all those holding control, either directly or indirectly, in the company in terms of SEBI takeover Regulations, duly certified by the company secretary / whole time director / MD (to be submitted every year)

iii) Photograph, POI, POA, PAN and DIN numbers of whole time directors/two directors in charge of day to day operations

iv) Photograph, POI, POA, PAN of individual promoters holding control – either directly or indirectly

v) Copies of the Memorandum and Articles of Association and certificate of incorporation

vi) Copy of the Board Resolution for investment in securities market vii) Authorised signatories list with specimen signatures

2 Partnership firm i) Copy of the balance sheets for the last 2 financial years (to be submitted every year)

ii) Certificate of registration (for registered partnership firms only) iii) Copy of partnership deed iv) Authorised signatories list with specimen signatures v) Photograph, POI, POA, PAN of Partners

3 Trust i) Copy of the balance sheets for the last 2 financial years (to be submitted every year)

ii) Certificate of registration (for registered trust only). Copy of Trust deed iii) List of trustees certified by managing trustees/CA iv) Photograph, POI, POA, PAN of Trustees

4 HUF i) PAN of HUF ii) Deed of declaration of HUF / List of coparceners iii) Bank pass-book/bank statement in the name of HUF iv) Photograph, POI, POA, PAN of Karta.

5 Unincorporated Association or a body of individuals

i) Proof of Existence/Constitution document ii) Resolution of the managing body & Power of Attorney granted to transact

business on its behalf iii) Authorized signatories list with specimen signatures

6 Banks/Institutional Investors

i) Copy of the constitution/registration or annual report/balance sheet for the last 2 financial years

ii) Authorized signatories list with specimen signatures

7 Foreign Institutional Investors (FII)

i) Copy of SEBI registration certificate ii) Authorized signatories list with specimen signatures

8 Army/Government Bodies

i) Self-certification on letterhead ii) Authorized signatories list with specimen signatures


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9 Registered Society i) Copy of Registration Certificate under Societies Registration Act ii) List of Managing Committee members iii) Committee resolution for persons authorised to act as authorised signatories

with specimen signatures iv) True copy of Society Rules and Bye Laws certified by the Chairman/Secretary

Annexure II : Documents need to be submitted Appended below is the list of documents required for CAN Registration (Individual and Non – Individual) : (A) INDIVIDUAL CAN

Individuals need to submit necessary documentary evidence as listed below (duly attested or certified true copies) for the information provided in the respective sections of the CAN Registration Form.

1. PAN proof 2. Proof of KYC 3. Proof of Date of Birth 4. Proof of Bank Account for Bank Mandates registered under the CAN 5. Proof of Depository Account for Depository accounts registered under the CAN 6. Proof of Guardian relationship (in case of Minor applicants)

(B) NON – INDIVIDUAL CAN

Non – Individuals need to submit necessary documentary evidence as listed below (duly attested or certified true copies) for the information provided in the respective sections of the CAN Registration Form.

1. PAN proof 2. Proof of KYC 3. Board Resolution 4. Authorized Signatory List 5. Proof of Bank Account for Bank Mandates registered under the CAN 6. Proof of Depository Account for Depository accounts registered under the CAN.

Important Aspects

i) Self-Attested copy of PAN card is mandatory for all clients

ii) Copies of all the documents submitted by the applicant should be self-attested and accompanied by originals for verification. In case the original of any document is not produced for verification, then the copies should be properly attested by entities authorized for attesting the documents, as per the list mentioned in the Annexure I as above.

iii) If any proof of identity or address is in a foreign language, then translation into English is required

iv) Name & address of the applicant mentioned on the KYC form, should match with the documentary proof submitted.


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v) If correspondence & permanent address are different, then proofs for both have to be submitted

vi) Sole proprietor must make the application in his individual name & capacity

vii) For non-residents and foreign nationals (allowed to trade subject to RBI and FEMA guidelines), copy of passport/ PIO Card/ OCI Card and overseas address proof is mandatory.

viii) For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their passport copy should be given

ix) In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous Discharge Certificate) is to be submitted.

x) For opening an account with Depository participant or Mutual Fund, photocopy of the School Leaving Certificate/Mark sheet issued by Higher Secondary Board/Passport of Minor/Birth Certificate must be provided

xi) Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted with prominent public functions in a foreign country, e.g., Heads of States or of Governments, senior politicians, senior Government/judicial/military officers, senior executives of state owned corporations, important political party officials, etc.
