2. Maintaining Customer Information

Oracle FLEXCUBE Investor Servicing provides the facility of maintaining information profiles for customers of your bank. The profile consists of personal as well as business information.

A customer may also wish to invest in the funds of the AMC. In such a case, you can create and maintain one or more investor accounts for the customer in the AMC FC-IS database.

This chapter deals with the maintenance of customer profiles and creation of investor accounts for your customers in the AMC FC-IS database.

This chapter contains the following sections:

2.1 Customer Maintenance Detail Screen

This section contains the following topics:

2.1.1 CIF Flow

FCUBS will send only segmented customers to FCIS. FCUBS will be the Customer master and the CIF information will flow from FCUBS to FCIS.

The following fields for which the Entity owner is CIF will not be modifiable at UH level:

Attributes

Entity Owner

CIF Number

CIF

Customer Category

CIF/UH

Investor Type

CIF

First/ Company Name

CIF

Last Name

CIF

Middle Name

CIF

Title

CIF

Minor

CIF

Guardian Name

CIF/UH

Relationship

CIF/UH

Sex

CIF

Father/ Spouse Name

CIF

DOB

CIF

Marital Status

CIF

Occupation

CIF

A/c Operation Type

UH

Country of Incorporation

CIF

Address Line 1

CIF/UH

Address line 2

CIF/UH

City

CIF/UH

Country

CIF/UH

ZIP Code

CIF/UH

E-mail

CIF/UH

Contact Person

UH

Int Dialling Code

CIF/UH

Telephone 1

CIF/UH

Int Dialling Code

CIF/UH

Telephone 2

CIF/UH

Int Dialling Code

CIF/UH

Cell Phone Number

CIF/UH

Int Dialling Code

CIF/UH

Fax Number

CIF/UH

Identification Type

CIF/UH

Identification Number

CIF/UH

Date of Issue

CIF/UH

Date of Expiry

CIF/UH

Place of Issue

CIF/UH

TAX ID

UH

US Indicia Available

UH attribute to be propagated back to CIF level in FCUBS

FATCA Status

CIF. Will be updated to Recalcitrant if Recalcitrant flag Is Yes at FCUBS CIF level

FATCA Classification

CIF

In case of Joint unit holder, the system will populate the following details on fetching CIF details and will not be modifiable.

Attributes

Entity Owner

Name

CIF

Date of Birth

CIF

Gender

CIF

PAN Number

CIF

Address Line 1

CIF

Address line 2

CIF

City

CIF

Country

CIF

ZIP Code

CIF

E-mail

CIF

Contact Person

CIF

US Indicia Available

UH attribute to be propagated back to CIF level in FCUBS

FATCA Status

CIF

FATCA Classification

CIF

CIF Creation and Modification

The details of only those CIF which are classified in FCUBS as Investment Customer will move to FCIS through online notifications (NOTIFY_CIF_CREATION). Any modifications to the CIF data during a day also will move through online notifications. At the end of day, FCUBS will give a batch hand off to FCIS, which will have details of all new CIF created and all CIF data which has been modified during the day. This data will be only for those CIF which has been flagged as Investment customer. The system will pass only primary CIF data to FCIS. Only FCIS specific information will be updated in FCIS.

You cannot create or modify CIF in FCIS. If INT_FCUBS= Y, then while saving the record while creating or modifying a CIF, the FCSI system will display an error message as ‘CIF creation/modification is not allowed’.

While creating a UH if a CIF is selected, then it will auto populate the attributes which are marked as CIF and CIF/ UH. You can edit only the attributes which are marked as CIF/ UH and UH, fill other mandatory fields and save. You cannot edit the fields which are marked as CIF.

Note

This validation should be checked when the UH is created through UI or any other way like file upload, gateway etc.

If you try to save the record without entering a valid CIF, then the system will display an error message. The system will not generate CIF, if CIF is not entered at UH level.

CIF Closure

For CIF closure, only if all UH under a CIF is closed then it will allow the CIF record status to be closed. This functionality will be available for both FCIS stand alone and integrated solution.

When all accounts under a CIF are closed and the record is authorised, FCIS will invoke a FCUBS service (FCUBSCustomerService) which will update FCUBS data store as ‘FCIS CIF available for closure’. If you want to resume your investments in FCIS then in FCIS the banker will manually reopen the customer which in turn will trigger a webservice that would update the FCUBS datastore as ‘Closure Allowed flag as No’. If all accounts under a CIF are not closed, then you cannot mark the status as ‘Closed’

If FCIS status is ‘Closed’ you will not be able to open any UH account under the CIF.

Note

Auto creation of CIF will work only in standalone solution. It will be turned off in the inte­grated solution. Bypass CIF will also be turned off.

FATCA Impact

FATCA status and classification will be CIF attribute. US indicia at UH level should be propagated back to FCUBS and update the FCUBS tracking table. In case US Indicia at UH level changes from Y to N or vice-versa then US indicia flag update will be via flat file upload before EOD. Any change in FATCA status and FATCA Classification in FCUBS will be communicated to FCIS via online notification (NOTIFY_FATCA_CLASS).

2.1.2 Invoking Customer Maintenance Detail Screen

When you authorize a CIF profile for a customer in the Customers screen, the following events take place:

This initial unit holder account may need to be altered subsequently. If it is created as an unauthorized account, you can edit it through the Unit Holder New Account Summary screen. If it is created as an authorized account, you can perform an information change through the Unit Holder Information Change menu option.

In either case, the Unit Holder record must be authorized after it is edited or changed through an info change, to take effect.

After the creation of the first unit holder account for the CIF profile, you can create as many unit holder accounts as necessary for the same CIF profile, through the UH New Account screen.

You can invoke the ‘Customer Maintenance Detail’ screen by typing ‘UTDCUST’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

Select 'New' from the Actions menu in the Application tool bar or click new icon to enter the details of the Customer Maintenance Screen.

Customer Maintenance Section

Customer No

Display Only

The customer number that you specified for the new CIF customer, in the New Customer No screen, is displayed here.

Customer Category

Mandatory

Specify the investor tax category corresponding to the CIF customer. Use the option list to make your choice.

Customer Type

Mandatory

Indicate whether the customer is an individual, corporate or bank customer by checking the appropriate radio button in this field.

Fee Category

Alphanumeric, Optional

From the list provided, select the fee category to be deemed applicable for the customer whose account you are creating.

Fee Sub Category

Alphanumeric, Optional

From the list provided, select the fee subcategory to be deemed applicable for the customer whose account you are creating.

Joint Account

Mandatory

Select ‘Yes’ to indicate that the customer is a joint account holder. If you select ‘Yes’, you must indicate whether the customer is a Primary or Secondary joint account holder.

Joint Holder Type

Mandatory

From the option list, select whether Primary or Secondary joint account holder.

Note

After authorization, the Identification Details (Identification Type, Identification Number and Place of Issue) of a Joint-Secondary customer alone can be modified in the Customer Information Screen.

Protected Investor Level

Optional

Select protected investor level from the drop-down list. The list displays the following values:

With Right to Access Classified Information, you can create CIF with Classified and Unclassified protection level.

With No Right to Access Classified Information, you can create CIF only with Unclassified protection level.

Note

If the CIF is created through FCUBS-FCIS integration, the system will default ‘Protected Investor Level’ depending upon the user mapped in the maintenance. If user mapped has Right to Access Classified Information then the system will default it to Classified else it will be defaulted to Unclassified.

Protected Investor Level field can be modified till record is authorized once. Once authorized, Protected Investor Level is not amendable.

2.1.3 Individual Dtls Tab

Click ‘Individual Dtls’ tab to enter the details.

Title

Mandatory

Select the title of the customer.

First Name

Alphanumeric, Mandatory

Specify the first name of the customer.

Middle Name and Last Name

Alphanumeric, Optional

Specify the middle and last names of the customer.

Minor

Optional

Check this box to indicate that the customer is a minor.

Guardian Name

Mandatory for minor customers

Specify the name of the guardian for the minor customer.

Marital Status

Optional

Specify the marital status of the customer.

Sex

Optional

Specify the sex of the customer.

Date of Birth (DD/MM/YYYY)

Date format, mandatory only for minor customers

Specify the date of birth of the customer.

Country of Birth

Alphanumeric, Optional

Select the country of birth from the adjoining option list.

Father/ Spouse Name

Optional

Enter the name of the customer's father or spouse.

Beneficiary

70 Character Maximum, Alphanumeric, Optional

Specify the name of the preferred beneficiary of the individual customer.

Relationship

70 Character Maximum, Alphanumeric, Optional

Specify the relationship between the beneficiary and the customer.

2.1.4 Corporate Dtls Tab

Click on the corporate Details Tab in the Customer Maintenance Detail screen to invoke the following screen:

This section is enabled only for 'Corporate' type of customer. The following are the fields in this section:

Corporate Details

Corporate Name

Mandatory

Specify the name of the corporation here.

National ID

Mandatory

Specify the National ID of the customer.

Incorporation Date

Mandatory

Specify the date on which the company was incorporated.

Incorporation Country

Mandatory

Specify the country of incorporation for the customer.

Entity Base Currency

Mandatory

Specify the base currency of operation for the customer.

Contact Name

Mandatory

Specify the name of the contact person for the corporation.

Capital

Mandatory

Enter the Capital (amount) of the corporation.

Net Worth

Mandatory

Specify the Net Worth of the corporation.

Corporate Type

Mandatory

Indicate the corporate type for the customer. The system displays the description.

Business Description

Optional

Specify additional description for the corporate here.

Signature Details

Sequence Number

Mandatory

Specify the order of sequence.

Director ID

Alphanumeric; Optional

Specify the director identification from the adjoining option list.

Director Name

Alphanumeric; Optional

Specify the name of the corresponding director.

Designation

Alphanumeric; Optional

Specify the designation.

Date of Birth

Date Format

Specify the date of birth.

Gender

Optional

Select the gender from the adjoining drop-down list.

ID Type

Alphanumeric; Optional

Select the identification type from the adjoining option list.

Address Line 1

Alphanumeric; Mandatory

Specify the contact address.

Address Line2

Alphanumeric; Optional

Specify the contact address.

City

Alphanumeric; Optional

Select the city from the adjoining option list.

State

Alphanumeric; Optional

Select the state from the adjoining option list.

Country

Alphanumeric; Optional

Select the country from the adjoining option list.

Zip Code

Optional

Specify the zip code.

Email

Alphanumeric; Optional

Specify the email ID.

Contact Person

Alphanumeric; Optional

Specify the contact person.

Bank

Alphanumeric; Optional

Select the bank from the adjoining option list.

Branch

Optional

Select the branch from the adjoining option list.

Account Type

Alphanumeric; Optional

Select the account type from the adjoining option list.

Account CCY

Alphanumeric; Optional

Select the currency of the account from the adjoining option list.

Account Number

Optional

Specify the account number.

Account Name

Alphanumeric; Optional

Specify the name in the account.

IBAN

Optional

Specify the IBAN number.

% of Holding

Optional

Specify the percentage of holding.

FATCA Classification

Display

The system displays the FATCA classification type.

US Indicia

Display

The system defaults ‘US Indicia Available’ as Yes if any of the below mentioned values are true:

FATCA Status

Display

The system displays the FATCA Status based on the FATCA maintenance.

2.1.5 Corr.Address Dtls Tab

Click ‘Corr.Address Dtls’ tab to enter the details.

 

Address Details Section

Address Line 1 & 2, City and Country

Alphanumeric, Mandatory

Enter the address details of the customer. You can select the city from the drop down list provided. The available options depend on the values defined at the params maintenance. If the city is not available in the list, you can specify the city in the field provided alongside.

Telephone

Numeric, Optional

Enter the telephone number of the customer.

Fax Number

Numeric, Optional

Enter the fax number of the customer.

Email

Optional

Enter the E-mail ID of the customer.

2.1.6 Permanent/Registration Address Tab

Click ‘Permanent/Registration Address’ tab to enter the details.

 

Address Line 1 & 2

Alphanumeric, Mandatory

Enter the address details of the customer. You can select the city from the drop down list provided. The available options depend on the values defined at the params maintenance. If the city is not available in the list, you can specify the city in the field provided alongside.

City

Alphanumeric, Mandatory

Specify the city details of the customer.

Country

Alphanumeric, Mandatory

Specify the country details of the customer.

2.1.7 Client Preferences Tab

Click ‘Client Preferences’ tab to enter the details.

 

Account Currency

Optional

From the option list, select the default account currency for the CIF customer.

Language

Mandatory

Specify the preferred language of the customer.

Description

Display

Displays the description in the field.

Allow ROA at CIF Level

Optional

Check this box to indicate that Rights of Accumulation must be made applicable to all unit holders that will have an account under this CIF customer record.

Resident Status

Optional

Specify whether the customer is a resident or a foreigner.

Nationality

Mandatory

From the option list, select the nationality of the customer.

Dual Nationality

Alphanumeric; Optional

Select the dual nationality from the adjoining option list.

Description

Display

Displays the description in the field.

Country of Domicile

Mandatory

Select the country of domicile of the customer.

Substantial Stay in US

Alphanumeric; Optional

Indicate your substantial stay in US from the adjoining drop-down list. the options available are:

Default Broker

Optional

From the option list, select the default broker for the CIF customer.

Broker Name

Enter the name of the broker.

2.1.8 Identification Dtls Tab

Click ‘Identification Dtls’ tab to enter the details.

 

Identification Type

Alphanumeric, Mandatory

From the list, select the type of identification that is being provided by the customer. The identification type is the mode in which the unit holder will furnish an identification document or proof, and could be a Personnel ID, License, Birth Certificate, etc. This is used for identifying the unit holder during all subsequent transactions.

Description

Display

Displays the description in the field.

Identification Number

15 Character Maximum, Alphanumeric, Mandatory

Specify the number or ID of the identification document or proof that is furnished by the unit holder.

Date of Issue

Date Format, Optional

Specify the date of issue of the identification document or proof that is furnished by the unit holder.

The date of issue that you specify here must not be later than the date of opening the account.

Date of Expiry

Date, Optional

Specify the date of expiry of the identification document or proof. It must be later than the date of issue and the application date.

Place of Issue

Mandatory

From the option list, select the place of issue of the identification type. Once authorized, this field cannot be modified.

FATCA Classification

Display

The system displays the FATCA classification type.

FATCA Status

Display

The system displays the FATCA Status based on the FATCA maintenance.

US Indicia Available

Display

The system defaults US Indicia Available as Yes or No depending on the following:

Description

Display

Displays the description in the field.

EIN

Display

The system displays the EIN details.

Tax Deducted at Source

Optional

Check this box to indicate that tax must be deducted at source for the customer. By default, this box is checked, indicating that tax is reckoned to be deducted at source. You can uncheck it if necessary.

If you check this box and indicate that tax must be deducted at source, you can specify the following information:

Tax ID

15 Character Maximum, Alphanumeric, Optional

Specify the tax identification number or tax ID for the customer.

Tax Circle

15 Character Maximum, Alphanumeric, Optional

Specify the tax circle to which the unit holder belongs.

Tax Category

Alphanumeric, Optional

Select the tax category under which the customer will be placed in the system.

Tax Certificate Effective Date

Date Format, Optional

Specify the date from which the tax certificate is effective.

Tax Certificate Expiry Date

Date Format, Optional

Specify the expiry date of the tax certificate.

Employer ID Number

Alphanumeric; Optional

Specify the employer ID number.

Country Code

Optional

Specify the country code of the telephone number.

Description

Display

Displays the description in the field.

Portfolio Manager ID

16 Character Maximum, Alphanumeric, Optional

Specify the portfolio manager’s ID here.

2.1.9 Alternate Language Dtls Tab

Click ‘Alternate Language Dtls’ tab to enter the details:

 

Individual Details Section

First Name

Alphanumeric, Optional

Specify the first name of the customer in the desired alternate language if the customer is an individual. If the customer is a corporate, then specify the corporate name.

Middle Name

Alphanumeric, Optional

Specify the middle name of the customer if the customer is an individual in the desired alternate language.

Last Name

Alphanumeric, Optional

Specify the last name of the customer if the customer is an individual in the desired alternate language.

Correspondence Address Section

Address Line 1 & 2, and City

Alphanumeric, Optional

Enter the correspondence address details of the customer in the alternate language.

Registration Address Section

Address Line 1 & 2, and City

Alphanumeric, Optional

Enter the permanent address details of the customer if the customer is an individual. In case of corporate customer, enter the registration address details in the alternate language.

2.2 Customer Maintenance Summary Screen

This section contains the following topics:

2.2.1 Retrieving CIF Profile in Customers Maintenance Summary Screen

You can retrieve a previously entered record in the Customer Maintenance Summary screen, as follows:

Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual record detail from the Customer Maintenance detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

Example

You can search the record for Identification Number by using the combination of % and alphanumeric value as follows:

 

2.2.2 Editing CIF Profile before Authorization

You can modify the details of customer maintenance parameters that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

2.2.3 Viewing CIF Profile before Authorization

To view a record that you have previously entered, you must retrieve the same in the Customer Maintenance Summary screen, as follows:

2.2.4 Deleting CIF Profile before Authorization

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

2.2.5 Authorizing CIF Profile for Customer

An unauthorized Customer Maintenance must be authorized in the system for it to be processed. To authorize a record:

In the Field Details in the lower grid portion, the changed values for each modification are displayed.

You can authorize any of the modified records, or all of them.

When you have marked the required modifications for authorization, click the OK button to effect the authorization. The Maintenance Authorization Details screen is closed, and you are returned to the Customers main screen.

2.2.6 Amending CIF Profile for Customer

After a Customer Maintenance is authorized, it can be modified using the Unlock operation from Action list. To make changes to a record after authorization:

2.2.7 Authorizing Amended CIF Profile for Customer

An amended Customer Maintenance record must be authorized for the amendment to be made effective in the system. The authorization of amended records can only be done from Fund Manager Module and Agency branch Module.

The process of authorization is subsequently the same as that for normal transactions.

The Customers screen consists of the following parts:

The Result section

A list of customer records retrieved by the most recent search operation is displayed in this section. To view the details of any record in this list, double click on the record, where a new screen will be opened with the details of the record.

The Button Row

The row of buttons on the right side of the screen is as follows:

The Advanced section

This section is a row in the middle of the screen, with the ‘Advanced Search’ button at the right -hand side of the screen. Click ‘Advanced Search’ button for advanced level of query where records can be retrieved based on specific fields.

The Reset section

This section is a row in the middle of the screen, with the Reset button at the right -hand side of the screen. Click ‘Reset’ button, so that the entire search criteria will be cleared for a new level of search

The Query section

This section is a row in the middle of the screen, with the Query button at the right -hand side of the screen. Click ‘Search’ button to retrieve a record for viewing, use this section.

The Refresh section

This section is a row in the middle of the screen, with the Refresh button at the right -hand side of the screen. Click ‘Advanced Search’ button, so that the search criteria will be refreshed based on existing criteria.

The view section

Any record that you select for viewing is displayed in the lowest portion of the screen, below the button row.

2.2.8 Saving CIF profile in Customers Screen

To set up a CIF customer and enable the creation of a mutual fund investor account in the Customers screen,

2.3 CIF Address Maintenance Screen

This section contains the following topic:

2.3.1 Invoking CID Address Maintenance Screen

You can maintain as many addresses as required for a given CIF; you are also allowed to specify the media for the address. This can be done through the ‘CIF Address Detail’ screen. You can invoke this screen by typing ‘UTDCADD’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Select 'New' from the Actions menu in the Application tool bar or click new icon to enter the details of the CIF Address screen.

CIF Address Maintenance

CIF Number

12 Character Maximum, Alphanumeric, Mandatory

Specify the CIF number of the unit holder.

Media

15 Character Maximum, Alphanumeric

Indicate the medium of communication you wish to avail, from the drop-down list. You could choose the Mail media. The List of values in drop down are parameterized in System Parameters under 'CIFMEDIA'.

Location

15 Character Maximum, Alphanumeric

Specify the location for correspondence with the unit holder.

Address1-2

Each line is 105 Character Maximum, Alphanumeric

Specify the postal address that is to be used for correspondence with the unit holder.

City

105 Character Maximum, Alphanumeric, Optional

Specify the name of the city of residence of the unit holder.

State

105 Character Maximum, Alphanumeric, Optional

Specify the state in which the city of residence of the unit holder is located.

ZipCode

10 Characters Maximum, Alphanumeric, Optional

Specify the zip code of the specified city of residence of the unit holder.

Country

Alphanumeric, Optional

Select the country in which the investor is domiciled, from the drop-down list.

Contact Person

70 Character Maximum, Alphanumeric, Optional

Specify the name of the contact person at the unit holder’s residence.

Telephone Number1-2

15 Character Maximum, Alphanumeric, Optional

Enter the contact telephone numbers of the unit holder.

Cell Phone Number

16 Characters Maximum; Numeric; Optional

Specify the cell phone number of the unit holder.

2.4 CIF Address Summary Screen

This section contains the following topics:

2.4.1 Retrieving CIF Address Record

You can retrieve a previously entered record in the CIF Address Summary screen, as follows:

Invoke the CIF Address Summary screen by typing ‘UTSCADD’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button. Specify any or all of the following details in the corresponding fields:

Click ‘Advanced Search’ button for advanced level of query where records can be retrieved based on specific fields. Click ‘Reset’ button, so that the entire search criteria will be cleared for a new level of search. Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen. Click ‘Refresh’ button, so that the search criteria will be refreshed based on existing criteria.

Note

You can also retrieve the individual record detail from the CIF Address detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list. To edit and amend a record a user has to click unlock button under Action menu.

You can also search the record by using combination of % and alphanumeric value.

Example

You can search the record for CIF Number by using the combination of % and alphanumeric value as follows:-

2.4.2 Editing CIF Address Record before Authorization

You can modify the details of CIF Address parameters that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

2.4.3 Viewing CIF Address Record before Authorization

To view a record that you have previously entered, you must retrieve the same in the CIF Address Summary screen, as follows:

2.4.4 Deleting CIF Address Record before Authorization

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

2.4.5 Authorizing CIF Address Record for Customer

An unauthorized CIF Address record must be authorized in the system for it to be processed. To authorize a record:

When the checker authorizes a transaction, details of validations, if any, that were overridden by the maker of the transaction during the Save operation, are displayed. If any of these overrides results in an error, the checker must reject the transaction.

2.4.6 Amending CIF Address Record for Customer

After a CIF Address is authorized, it can be modified using the Unlock operation from Action list. To make changes to a transaction after authorization:

2.4.7 Authorizing Amended CIF Address Record for Customer

An amended CIF Address record must be authorized for the amendment to be made effective in the system. The authorization of amended records can only be done from Fund Manager Module and Agency branch Module.

The process of authorization is subsequently the same as that for normal transactions.

2.5 CIF Address - Fund Maintenance Details

This section contains the following topic:

2.5.1 Invoking CIF Address - Fund Maintenance Details Screen

You can map the list of funds in which the unit holder has invested to the addresses that have been maintained for a given CIF. Provided the unit holder specifies the valid combination of the CIF Number, Media and Location as already maintained in the CIF Address Maintenance screen, you will allowed to select all or a list of funds for which this combination would be applicable. You can invoke the ‘CIF Address – Fund Maintenance Detail’ screen by typing ‘UTDCFNMP’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Select 'New' from the Actions menu in the Application tool bar or click new icon to enter the details of the CIF Address – Fund screen.

CIF Address - Details

CIF Number

12 Character Maximum, Alphanumeric, Mandatory

Select the CIF number of the unit holder for the adjoining list.

All enabled addresses of customer will be listed along with location and Media and maintained from FCC.

Media

Indicate the media of communication as maintained in the CIF Address Maintenance screen.

Location

15 Character Maximum, Alphanumeric

Specify the location for correspondence with the unit holder as maintained in the CIF Address Maintenance screen.

Address1-2

Each line is 105 Character Maximum, Alphanumeric

Specify the postal address that is to be used for correspondence with the unit holder.

City

105 Character Maximum, Alphanumeric, Optional

Specify the name of the city of residence of the unit holder.

State

105 Character Maximum, Alphanumeric, Optional

Specify the state in which the city of residence of the unit holder is located.

Zip Code

10 Characters Maximum, Alphanumeric, Optional

Specify the zip code of the specified city of residence of the unit holder.

Country

Alphanumeric, Optional

Select the country in which the investor is domiciled, from the drop-down list.

Contact Person

70 Character Maximum, Alphanumeric, Optional

Specify the name of the contact person at the unit holder’s residence.

Cell Phone Number

16 Characters Maximum; Numeric; Optional

Specify the cell phone number of the unit holder.

Telephone Number1-2

15 Character Maximum, Alphanumeric, Optional

Enter the contact telephone numbers of the unit holder.

CIF Address – Fund Mapping

You can select the Fund Ids for which you wish the specified address details to be applicable. Once you select the fund id, the system displays the fund name and the fund identification number.

2.6 CIF Address Fund Summary Screen

This section contains the following topics:

2.6.1 Retrieving CIF Address – Fund Record

You can retrieve a previously entered record in the CIF Address – Fund Summary screen, as follows:

Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual transaction detail from the CIF Address detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

Example

You can search the record for CIF Number by using the combination of % and alphanumeric value as follows:-

2.6.2 Editing CIF Address – Fund Record before Authorization

You can modify the details of CIF Address – Fund parameters that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

2.6.3 Viewing CIF Address – Fund Record before Authorization

To view a record that you have previously entered, you must retrieve the same in the CIF Address – Fund Summary screen, as follows:

2.6.4 Deleting CIF Address – Fund Record before Authorization

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

2.6.5 Authorizing CIF Address – Fund Record for Customer

An unauthorized CIF Address – Fund record must be authorized in the system for it to be processed. To authorize a record:

When the checker authorizes a transaction, details of validations, if any, that were overridden by the maker of the transaction during the Save operation, are displayed. If any of these overrides results in an error, the checker must reject the transaction.

2.6.6 Amending CIF Address – Fund Record for Customer

After a CIF Address – Fund is authorized, it can be modified using the Unlock operation from Action list. To make changes to a record after authorization:

2.6.7 Authorizing Amended CIF Address – Fund Record for Customer

An amended CIF Address – Fund record must be authorized for the amendment to be made effective in the system. The authorization of amended records can only be done from Fund Manager Module and Agency branch Module.

The process of authorization is subsequently the same as that for normal transactions.