KYC Compliance Process

1. KYC Compliance Process • Verification of Documents • Data Entry • Modification in Data Entry • Dispatch of Documents • Printing Acknowledgement Letter • Detail Change Module CDSL Ventures Ltd

2. Verification of Documents • Verification of KYC Application Form (KAF): • All mandatory fields are filled by the applicant • Colour photograph is pasted (not stapled) on the KAF • Applicant is not a minor • Verification of Proof documents: • PAN card copy is provided • Documents are either self-attested long with the originals or it is attested by registered authorities • Documents are provided on A4 sheet and one-sided copies. • PoS should stamp the documents with “Verified With Original” CDSL Ventures Ltd

3. Data Entry • After verification of KAF and other documents PoS should enter the data in the software. • Pos should check the acknowledgement letter for any possible mistakes while doing the data entry. • PoS should stamp and sign the Acknowledgement letter before handing it over to the client. CDSL Ventures Ltd

4. Go to the website https://www.cvlindia.com Click on Login for POS CDSL Ventures Ltd

5. Login to the software by proving user id & password CDSL Ventures Ltd

6. Home Page for KYC Compliance Software CDSL Ventures Ltd

7. Click on CVL_GET_REF_NO from the dropdown list CDSL Ventures Ltd

8. Click on New to generate new Workitem No. CDSL Ventures Ltd

9. Write the Workitem No. on top of the KYC Application Form (KAF) CDSL Ventures Ltd

10. 16501 Write the workitem no. here CDSL Ventures Ltd

11. Click on CVL_MIN_ALLOCATION from the dropdown list CDSL Ventures Ltd

12. Click on the workitem generated in CVL_GET_REF_NO queue CDSL Ventures Ltd

13. Data Entry of the KAF for REGULAR Applicant • After verification of KAF and other documents POS should enter the data in the software. • Get the Reference no. and then, from Min allocation select the reference no. • Select the Investor Type. • For the normal KYC till date all POS was entering only Investor type, Now after Investor Type they have to select Exempt Type as REGULAR. This is by default REGULAR only. After entering all the other details, Press Commit. • Following Slide shows the screen shots for Regular. CDSL Ventures Ltd

14. CDSL Ventures Ltd

15. SELECT INVESTOR TYPE CDSL Ventures Ltd

16. Select Exempt Type as REGULAR CDSL Ventures Ltd

17. CDSL Ventures Ltd

18. PRESS COMMIT CDSL Ventures Ltd

19. PRESS PRINT CDSL Ventures Ltd

20. KYC AcknowledgementLetter for Regular • Check whether Name, Address and PAN mentioned in the Acknowledgement letter are correct i.e. as provided in the KYC application form. • Stamp and sign the KYC acknowledgement letter. • Hand it over to the client across-the-counter. • KYC Acknowledgement letter having the PAN NO. • Also instruct the client to submit a copy of the acknowledgement letter for all their first time investment in any Mutual Fund. CDSL Ventures Ltd

21. PAN NO . PRESS OK AND TAKE PRINTOUT CDSL Ventures Ltd

22. Modification in data entry • POS can modify the data entry before clicking on DONE button. • After modification DONE button is disabled and COMMIT button is enabled. • POS should again click on the COMMIT button then take a print of the acknowledgement letter to enable the DONE button. • The earlier acknowledgement letter should be discarded and new one should be handed over to the client after putting POS stamp and signature. CDSL Ventures Ltd

23. PRESS DONE CDSL Ventures Ltd

24. Data Entry For the Exempt • After taking the Reference no. and then from Min allocation select the reference no. • Select the Investor Type. • Select Exempt Type as EXEMPT and Select Exempt Category. Screen shot are as follows CDSL Ventures Ltd

25. SELECT INVESTOR TYPE CDSL Ventures Ltd

26. FOR THE EXEMPT TYPE SELECT EXEMPT CDSL Ventures Ltd

27. SELECT EXEMPT CATAGORY CDSL Ventures Ltd

28. TEXT BOX FOR PAN NO. WILL BE DISABLE AUTOMATICALLY EXEMPT CODE WILL BE GENERATE CDSL Ventures Ltd

29. PRESS COMMIT CDSL Ventures Ltd

30. PRESS PRINT CDSL Ventures Ltd

31. KYC AcknowledgementLetter For Exempt • Check whether Name & Address mentioned in the Acknowledgement letter are correct i.e. as provided in the KYC application form. • KYC Acknowledgement letter for the Exempt have the Automatically generated EXEMPT Code. • Stamp and sign the KYC acknowledgement letter. • Note down the Exempt Code in Application form. • Hand it over to the client across-the-counter. • Also instruct the client to submit a copy of the acknowledgement letter for all their first time investment in any Mutual Fund. For Exempt case they have to write EXEMPT Code instead of PAN No. KYC Reference No. CDSL Ventures Ltd

32. NOTE DOWN THE AUTOMATED EXEMPT CODE GENERATED. PRESS OK AND TAKE PRINTOUT CDSL Ventures Ltd

33. Modification in data entry • POS can modify the data entry before clicking on DONE button. • After modification DONE button is disabled and COMMIT button is enabled. • POS should again click on the COMMIT button then take a print of the acknowledgement letter to enable the DONE button. • The earlier acknowledgement letter should be discarded and new one should be handed over to the client after putting POS stamp and signature. CDSL Ventures Ltd

34. PRESS DONE CDSL Ventures Ltd

35. Dispatch of Documents • Once the data entry for all the KYC application is complete, the POS should send the KYC application form along with all the mandatory documents to CDSL Ventures Limited. • POS should create the batch & print the batch report form the software and send the documents with the batch report. • POS should contact CVL appointed courier agency for dispatch of documents. • After the documents are dispatched, courier details (Courier Agency name and POD no.) should be entered into the KYC Courier details. • Document Should sent on the below Address: CDSL VENTURES LIMITED I-202, Deck Level, 2nd floor, Above Belapur Railway Station, Belapur, Navi Mumbai – 400 614. CDSL Ventures Ltd

36. Click on the BATCH button CDSL Ventures Ltd

37. Click on KYC BATCH CREATION CDSL Ventures Ltd

38. Click on CREATE BATCH CDSL Ventures Ltd

39. Batch is created per 100 records which the PoS should take a print of CDSL Ventures Ltd

40. Click on PRINT to print the batch report Click on Close CDSL Ventures Ltd

41. Click on KYC COURIER DETAILS CDSL Ventures Ltd

42. Enter the Courier Agency name and POD number Click on SUBMIT CDSL Ventures Ltd

43. Printing the Acknowledgement Letter • PoS can print the acknowledgement letter for any KYC done by the them at any time latter • Acknowledgement Letter can be printed for those PAN only for which KYC was done by the PoS • PoS should sign and stamp all such acknowledgement letters before handing it over to the client CDSL Ventures Ltd

44. Click on the PRINT button CDSL Ventures Ltd

45. Enter PAN and click on PRINT button CDSL Ventures Ltd

46. Click on OK once the print has been taken CDSL Ventures Ltd

47. Click on CVLDC_CHANGE_DETAIL_NO CDSL Ventures Ltd

48. KYC Detail Change • Any changes in the details of the client would be done form this module. • Changes can initiated by: • POS: • Only modifications would be allowed • Changes can be done for those cases which were earlier process by the same POS. • Changes can be done for those cases where verification at CVL is pending • No documents are required for such kind of modification as the new data is as per the original KAF. • Investor/ Client: • Modification can be done through any PoS. • Change request form along with proof documents would be needed for this type of modifications. • Client modification can be done for those cases where the CVL verification is complete. • POS should forward the documents for client modification to CVL with the separate generated batch report. CDSL Ventures Ltd

49. Click on NEW CDSL Ventures Ltd

50. Note down the workitem no. and mention it on top of the application form CDSL Ventures Ltd