2.2.9 KYC Details Tab

This topic provides the systematic instructions to maintain KYC details in the Unit Holder Maintenance Detail screen.

Depending on the type of country marked for the investor and the investor category, Unit Holder KYC list maintained for that type of country and investor category is displayed. If you have maintained a document list for a specific country, the system defaults the documents based on the country, country type and investor category combination.

You can check the documents received from the investor and link the KYC list to the unit holder being created.

1. On Unit Holder Maintenance Detail screen, click KYC Details tab.
   The KYC Details are displayed.

   Figure 2-10 Unit Holder Maintenance Detail_KYC Details Tab

   
   

   
   Description of "Figure 2-10 Unit Holder Maintenance Detail_KYC Details Tab"

   
   
2. Click Default KYC button to default the KYC details.
3. On the KYC Details tab, specify the fields.
   For more information on fields, refer to the field description table.

   Table 2-13 KYC Details - Field Description

   Field	Description
   KYC Details	The section displays the following fields.
   Chasing Date	Date Format; Optional Specify the Chasing Date. Chasing date can be backdated.
   Chased By	Alphanumeric; 255 Characters; Optional Specify the user ID if chasing date is maintained.
   Chased Method	Optional Select the chased method from the adjoining drop-down list. Following are the options available: EM for E-mail FA for FAX TL for Telephone
   Additional Comments	Alphanumeric; 255 Characters; Optional Specify additional comments, if any.
   All the Requested KYC Documentation has been received	Optional Select if all the requested KYC documentation has been received or not from the adjoining drop-down list. Following are the options available: Yes No
   KYC Purchase Limit	Numeric; 30 Characters; Optional Specify the KYC purchase limits.
   KYC Annual Debit Order Limit	Numeric; 30 Characters; Optional Specify KYC annual debit order limit details.
   Due Diligence Level	Optional Select due diligence level from the adjoining drop-down list. Following are the options available: Simplified Standard Enhanced
   Review By	Alphanumeric; 255 Characters; Optional Specify the details of the reviewer.
   Last Reviewed Date	Date Format; Optional Specify the Last Reviewed Date.
   Retain Trade Acknowledgements	Optional Check this box to retain trade acknowledgements.
   Retain Contract Notes	Optional Check this box to retain contract notes.
   Outstanding KYC requirements not to be reported on Trade Acknowledgments.	Optional Check this box if outstanding KYC requirements are not to be reported on trade acknowledgments.
   Names Check Search	The section displays the following fields.
   Options	Optional Select one of the options available for checking the names from the adjoining drop-down list. Following are the options available: No Match Yes Yes (PEP, SCC)
   Comments	Alphanumeric; 255 Characters; Optional Specify comments, if any. Note: Documents defaulted from KYC maintenance cannot be deleted. However, Additional documents added during UH creation can be deleted before checking the All the requested KYC documents has been received option.

4. Click the Chasing History button.
   The KYC Chasing History screen is displayed.

   Figure 2-11 Unit Holder Maintenance Detail_KYC Details Tab_Chasing History Button

   
   

   
   Description of "Figure 2-11 Unit Holder Maintenance Detail_KYC Details Tab_Chasing History Button"

   
   
5. The following details will be displayed:
   • Unit Holder ID
   • Chasing Date
   • Chased By - which will display the user ID
   • Chased Method such as E-mail, Fax and Phone
   • Comments

• Application Form Details
  This topic gives details on the application form for which Application Form mapping is done.