2.6 Unit Holder Upload Format
This topic explains the information on Unit Holder Upload Format.
The upload file would contain various segment identification number in the first column to indicate the type of data that is present in that entire row. The possible segments that would be used in Unit Holder upload are given below for reference:
Segment ID - 00UH
This segment will be mandatory for incremental upload.
Table 2-50 Unit Holder Upload Format - 00UH
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | YES | - | 00UH |
| SEQUENCENUMBER | YES | - | Unique |
| PROCESSID | YES | - | Unique |
| BULKCLIENTCODE | YES | - | Unique |
| IMPORTFILENAME | YES | - | Unique |
| AMCID | YES | - | - |
| UPLOADMODE | NO | - | I |
| CIFNUMBER | NO | - | - |
| UNITHOLDERID | YES | - | - |
| REFERENCENUMBER | NO | - | - |
| ACCOUNTOPENINGDATE | NO | - | - |
| TITLE | NO | - | - |
| FIRSTNAME | NO | - | - |
| MIDDLENAME | NO | - | - |
| LASTNAME | NO | - | - |
| ACCOUNTOPERATIONTYPE | NO | - | - |
| FIRSTNOMINEE | NO | - | - |
| SECONDNOMINEE | NO | - | - |
| THIRDNOMINEE | NO | - | - |
| FATHER_SPOUSENAME | NO | - | - |
| INVESTORTYPE | NO | - | - |
| TAXDEDUCTEDATSOURCE | NO | - | - |
| TAXID | NO | - | - |
| TAXCIRCLE | NO | - | - |
| IDENTIFICATIONTYPE | NO | - | - |
| IDENTIFICATIONNUMBER | NO | - | - |
| IDENTIFICATIONISSUEDATE | NO | - | - |
| IDENTIFICATIONEXPIRYDATE | NO | - | - |
| RESIDENTSTATUS | NO | - | - |
| UHCATEGORY | NO | - | - |
| ACCOUNTSTMTFREQ | NO | - | - |
| YTDSTMTREQD | NO | - | - |
| DATEOFBIRTH | NO | - | - |
| GUARDIANNAME | NO | - | - |
| RELATIONSHIP | NO | - | - |
| BENEFICIARY | NO | - | - |
| SEX | NO | - | - |
| MARITALSTATUS | NO | - | - |
| OCCUPATION | NO | - | - |
| NATIONALITY | NO | - | - |
| COUNTRYOFDOMICILE | NO | - | - |
| CORPORATIONTYPE | NO | - | - |
| FIRSTAUTHORIZEDSIGNATORY | NO | - | - |
| SECONDAUTHORIZEDSIGNATORY | NO | - | - |
| THIRDAUTHORIZEDSIGNATORY | NO | - | - |
| CONTACTNAME | NO | - | - |
| MINNOOFCORPORATESIGNATORY | NO | - | - |
| SCHEMECROSSREFNO | NO | - | - |
| UHBASECURRENCY | NO | - | - |
| LANGUAGE | NO | - | - |
| REDEMPTIONMOP | NO | - | - |
| ACCOUNTSTMTCURRENCY | NO | - | - |
| EMAILID | NO | - | - |
| FIRSTJOINTUHNAME | NO | - | - |
| SECONDJOINTUHNAME | NO | - | - |
| THIRDJOINTUHNAME | NO | - | - |
| ALTADDRESSFROMDATE | NO | - | - |
| ALTADDRESSTODATE | NO | - | - |
| TELEPHONERED | NO | - | - |
| TELEPHONESWI | NO | - | - |
| WRITECHECKFORMMF | NO | - | - |
| FEDWIREACHPAYMENT | NO | - | - |
| IRSNOTIFICATION | NO | - | - |
| ROAINVESTOR | NO | - | - |
| ALLOWROAATCIFLEVEL | NO | - | - |
| UHACCOUNTTYPE | NO | - | - |
| RPOCODE | NO | - | - |
| REGISTRATIONTYPE | NO | - | - |
| REGISTRATIONNAME | NO | - | - |
| ACCOUNTOPENINGPURPOSE | NO | - | - |
| REMARKS | NO | - | - |
| PREFERREDMAILMODE | NO | - | - |
| NOTEPADAVAILABLE | NO | - | - |
| FEECATEGORY | NO | - | - |
| FEESUBCATEGORY | NO | - | - |
| AGENTCODE | NO | - | - |
| BRANCHCODE | NO | - | - |
| USERID | YES | - | Indicates the user ID who has entered the latest record |
| AUTH_STAT | YES | - | - |
| STOPACCOUNTREASON | NO | - | - |
| RELEASEDATE | NO | - | - |
| ALLSIGNATORIESREQDTOSIGN | NO | - | - |
| TAXEXEMPTED | NO | - | - |
| INDEXATIONONCGT | NO | - | - |
| CERTDELIVERYPREF | NO | - | - |
| TEMPLATEID | NO | - | - |
| EFFECTIVEDATE | NO | - | - |
| CELLPHONENUMBER | NO | - | - |
| PRIMARYCOUNTRYCODE | NO | - | - |
| ALTCELLPHONENUMBER | NO | - | - |
| ALTHOMEPHONENUMBER | NO | - | - |
| ALTOFFICEPHONENUMBER | NO | - | - |
| ALTEMAILID | NO | - | - |
| SECONDARYCOUNTRYCODE | NO | - | - |
| PLACEOFISSUE | NO | - | - |
| ALTCONTACTNAME | NO | - | - |
| ALTFAXNUMBER | NO | - | - |
| PREFERREDFUNDFORREDEMPTION | NO | - | - |
| GUARDIANPANGIRNO | NO | - | - |
| GUARDIANFORM6061 | NO | - | - |
| PRIMARYUHFORM6061 | NO | - | - |
| UNITHOLDERNRI | NO | - | - |
| EUSDOPTION | NO | - | - |
| TAXCERTIFICATEEXPDATE | NO | - | - |
| PLACEOFBIRTH | NO | - | - |
| COUNTRYOFBIRTH | NO | - | - |
| FATFORNONFATF | NO | - | - |
| CHASINGDATE | NO | - | - |
| ADDNCOMMENTS | NO | - | - |
| ALLKYCRECEIVED | NO | - | - |
| RETAINTRADEACK | NO | - | - |
| RETAINCONTRACTNOTES | NO | - | - |
| NOTREPORTKYCREQ | NO | - | - |
| UHBICCODE | NO | - | - |
| ALTLANGFIRSTNAME | NO | - | - |
| ALTLANGMIDDLENAME | NO | - | - |
| ALTLANGLASTNAME | NO | - | - |
| ALTLANGFIRSTAUTHSIGN | NO | - | - |
| ALTLANGSECONDAUTHSIGN | NO | - | - |
| ALTLANGTHIRDAUTHSIGN | NO | - | - |
| ALTLANGCONTACTPERSON | NO | - | - |
| ALTLANGCORADDRESSLINE1 | NO | - | - |
| ALTLANGCORADDRESSLINE2 | NO | - | - |
| ALTLANGCORADDRESSLINE3 | NO | - | - |
| ALTLANGCORADDRESSLINE4 | NO | - | - |
| ALTLANGALTADDRESSLINE1 | NO | - | - |
| ALTLANGALTADDRESSLINE2 | NO | - | - |
| ALTLANGALTADDRESSLINE3 | NO | - | - |
| ALTLANGALTADDRESSLINE4 | NO | - | - |
| DATEOFCONTRIBUTION | NO | - | - |
| TRANSFERDATE | NO | - | - |
| RETIREMENTAGE | NO | - | - |
| RETIREMENTDATE | NO | - | - |
| DATEOFDEATH | NO | - | - |
| DEATHCAUSE | NO | - | - |
| AREACODE | NO | - | - |
| DISPATCHDATE | NO | - | - |
| RETURNEDDATE | NO | - | - |
| PRIMARYUHMFIN | NO | - | - |
| GUARDIANMFIN | NO | - | - |
| RECOVERCGT | NO | - | - |
| PROCESSID1 | NO | - | - |
| INITIALS | NO | - | - |
| KYCPURCHASELIMIT | NO | - | - |
| KYCANNUALDEBITORDERLIMIT | NO | - | - |
| CAMPAIGNCODE | NO | - | - |
| REDEMPTIONPAYOUT | NO | - | - |
| DIVIDENDPAYOUT | NO | - | - |
| DUALNATIONALITY | NO | - | - |
| SUBSTANTIALSTAYINUS | NO | - | - |
| TAXCERTIFICATEEFFEDATE | NO | - | - |
| SECONDIDENTITYTYPE | NO | - | - |
| SECONDIDENTITYNUMBER | NO | - | - |
| SECONDISSUEDATE | NO | - | - |
| SECONDEXPIRYDATE | NO | - | - |
| SECONDPLACEOFISSUE | NO | - | - |
| TRAILCOMMPREF | NO | - | - |
| DUEDILIGENCELEVEL | NO | - | - |
| REVIEWEDBY | NO | - | - |
| LASTREVIEWEDDATE | NO | - | - |
| CHASERID | NO | - | - |
| CHASINGMODE | NO | - | - |
| NAMESCHECKOPTION | NO | - | - |
| NAMESCHECKREMARKS | NO | - | - |
| ACCOUNTSTATEMENT | NO | - | - |
| CONTRACTNOTES | NO | - | - |
| INVESTORRISKLEVEL | NO | - | - |
| UHSEGMENTID | NO | - | For GTA segmentID is mandatory |
Segment ID - 02BEN
Table 2-51 Unit Holder Upload Format - Segment ID - 02BEN
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | Y | - | 02BEN |
| PROCESSID | Y | - | Unique |
| SEQUENCENUMBER | Y | - | Unique |
| EXISTINGUHORCIF | Y | - | - |
| ADDRESSLINE1 | N | Y | - |
| ADDRESSLINE2 | N | Y | - |
| ADDRESSLINE3 | N | Y | - |
| ADDRESSLINE4 | N | Y | - |
| ZIPCODE | N | Y | - |
| COUNTRY | N | Y | - |
| N | Y | - | |
| CONTACTPERSON | N | Y | - |
| COUNTRYOFDOMICILE | N | Y | - |
| IBAN | N | Y | - |
| BENEFICIARYID | Y | - | If benefeciary id is existing in system, details in file will be used to modify the record. If benefeciary id is not available for UH, new benefeciary record will be created |
| BENEFICIARYTYPE | Y | - | - |
| BENEFICIARYNAME | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYDOB | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYRELATION | N | Y | - |
| BENEFICIARYGENDER | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYIDTYPE | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYIDNUMBER | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYAWARD | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYBANKCODE | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYBRANCHCODE | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYACCTYPE | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYACCNAME | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYACCCCY | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| ACCOUNTNUMBER | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
SegmentID - 03BNK
Table 2-52 Unit Holder Upload Format - 03BNK
| Column Name | Mandatory Fields in Upload File for Upload Mode I | Modifiable Fields in Incremental Mode | Remarks |
|---|---|---|---|
| SEGMENTID | YES | - | 03BNK |
| PROCESSID | YES | - | Unique |
| SEQUENCENUM- BER | YES | - | Unique |
| BANKCODE | YES | - | If bank/branch/ account type/ account num- ber/account ccy combination provided in file exists in sys- tem- other details will be updated.If does not exist, record will be inserted in sys- tem |
| BRANCHCODE | YES | - | - |
| ACCOUNTTYPE | YES | - | - |
| ACCOUNTNUMBER | YES | - | - |
| ACCOUNTNAME | YES | - | - |
| ACCOUNTCURRENCY | YES | - | - |
| DEFAULTDETAILS | YES | Y | Ifthis is marked as Yes- the old bank/branch/ account num- ber/account ccy combination will be marked as Default No. |
| DIRECTDEBITAPPLICABLE | No | Y | - |
| ACCOUNTCATEGORY | No | Y | - |
| INITIALS | No | Y | - |
| LASTNAME | No | Y | - |
| IDENTIFICATIONTYPE | No | Y | - |
| IDENTIFICATIONNUMBER | No | Y | - |
| STATUS | No | Y | - |
| IBAN | No | Y | - |
| REFERENCENUMBER | No | Y | - |
| TRANSACTIONTYPE | No | Y | - |
| FUNDID | No | Y | - |
| SWIFTFORMAT | No | Y | - |
| BANKCHARGED | No | Y | - |
| BENEFICIARY | No | Y | - |
| BENEFICIARYADD1 | No | Y | - |
| BENEFICIARYADD2 | No | Y | - |
| BENEFICIARYADD3 | No | Y | - |
| BENEFICIARYBICCODE | No | Y | - |
| BENEFICIARYACCTNO | No | Y | - |
| BENEFICIARYCODE | No | Y | - |
| BENEFICIARYINFO | No | Y | - |
| INTERMEDIARY | No | Y | - |
| INTERMEDIARYADD1 | No | Y | - |
| INTERMEDIARYADD2 | No | Y | - |
| INTERMEDIARYADD3 | No | Y | - |
| INTERMEDIARYBICCODE | No | Y | - |
| INTERMEDIARYACCTNO | No | Y | - |
| INTERMEDIARYCODE | No | Y | - |
| INTERMEDIARYINFO | No | Y | - |
| FURTHERCREDITNAME | No | Y | - |
| FURTHERCREDITACCTNO | No | Y | - |
| REFERENCE1 | No | Y | - |
| REFERENCE2 | No | Y | - |
| RELATIONSHIP | No | Y | - |
| BENEFICIARYIBAN | No | Y | - |
| INTERMEDIARYIBAN | No | Y | - |
SegmentID - 04INM
Table 2-53 Unit Holder Upload Format - 04INM
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | Y | - | 04INM |
| PROCESSID | Y | - | Unique |
| SEQUENCENUMBER | Y | - | Unique |
| ENTITYTYPE | Y | Existing intermediary in system will be replaced by one provided in file | |
| ENTITYID | Y | Y | - |
| SPLITPERCENT | N | Y | - |
| DEFAULTINTERMEDIARY | N | Y | - |
Segment ID - 07JNT
Table 2-54 Unit Holder Upload Format - 07JNT
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | Y | - | 07JNT |
| PROCESSID | Y | - | Unique |
| SEQUENCENUMBER | Y | - | Unique |
| EXISTINGUHORCIF | Y | - | |
| BENEFICIARYID | Y | - | If benefeciary id is existing in system, details in file will be used to modify the record. If benefeciary id is not available for UH, new Joint UH record will be created subject to existing validations |
| BENEFICIARYTYPE | Y | - | - |
| BENEFICIARYNAME | N | This field will not be modifiable if existing UH or CIF field is yes | |
| BENEFICIARYDOB | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYGENDER | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYPANNO | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYFORM60 | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| BENEFICIARYMFIN | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| COUNTRYOFDOMICILE | N | Y | This field will not be modifiable if existing UH or CIF field is yes |
| RECOVERCGT | N | Y | - |
| ADDRESSLINE1 | N | Y | - |
| ADDRESSLINE2 | N | Y | - |
| ADDRESSLINE3 | N | Y | - |
| ADDRESSLINE4 | N | Y | - |
| ZIPCODE | N | Y | - |
| COUNTRY | N | Y | - |
| N | Y | - | |
| CONTACTPERSON | N | Y | - |
| USINDICIAAVAILABLE | N | Y | - |
Segment ID - 10ADD
Table 2-55 Unit Holder Upload Format - 10ADD
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | Y | - | 10ADD |
| PROCESSID | Y | - | Unique |
| SEQUENCENUMBER | Y | - | Unique |
| ADDINFOLABEL | Y | - | - |
| FIELDVALUE | N | Y | - |
Segment ID - 15CON
Table 2-56 f
| Column Name | Mandatory fields in upload file for upload mode I | Modifiable fields in Incremental mode | Remarks |
|---|---|---|---|
| SEGMENTID | Y | - | 15CON |
| PROCESSID | Y | - | Unique |
| SEQUENCENUMBER | Y | - | Unique |
| UNITHOLDERID | N | - | - |
| REFERENCENUMBER | N | - | - |
| ADDRESSTYPE | Y | - | If address type present in file is available in system, system will be updated with remaining details present in file. If Address type present in file is not available in system, new address type will be added with details as available in file |
| ADDRESSLINE1 | N | Y | - |
| ADDRESSLINE2 | N | Y | - |
| ADDRESSLINE3 | N | Y | - |
| ADDRESSLINE4 | N | Y | - |
| ZIPCODE | N | Y | - |
| COUNTRY | N | Y | - |
| USSTATE | N | Y | - |
| TELEPHONE1 | N | Y | - |
| TELEPHONE2 | N | Y | - |
| CELLPHONENUMBER | N | Y | - |
| FAX | N | Y | - |
| N | Y | - | |
| CONTACTPERSON | N | Y | - |
| EFFECTIVEFROMDATE | N | Y | - |
| EFFECTIVETODATE | N | Y | - |
| BICCODE | N | Y | - |
| INTDIALLINGCODEPH1 | N | Y | - |
| INTDIALLINGCODEPH2 | N | Y | - |
| INTDIALLINGCODECELL | N | Y | - |
| INTDIALLINGCODEFAX | N | Y | - |
Parent topic: Appendix B - Upload File Formats B