1.2.2 Unit Holder File Format

This topic provides information on the unit holder file format.

Serial Number: 1

Segment Identification Number: 00UH

Description: This segment is used for providing UnitHolder related Information.

Attributes: Mandatory

Table 1-3 Unit Holder File Format

Field Name (as expected in the file) Data type Length Attributes Characteristics/rules Values
SEGMENTID VARCHAR2 20 Mandatory - Segment ID. Value of Segment ID is 00UH
SEQUENCENUMBER Number 10 Mandatory - System generated sequence number of records in the file
PROCESSID String 50 Mandatory -

The Process ID, along with the system generated sequence number, identifies the uploaded record uniquely.

Each file must have a unique Process ID. This should be same for all records within a file.
BULKCLIENTCODE String 12 Mandatory - The Code of the Bulk client.
IMPORTFILENAME String 255 Mandatory - Name of the file being uploaded should be specified. Each file must have a unique name.
UPLOADMODE String 1 Mandatory - “N” for New unit holder uploads and ‘I’ for Incremental change.
AMCID String 12 Mandatory - The ID of the AMC/ Distributor for which the bulk client has maintained the defaults details.
CIFNUMBER String 20 Optional - CIF Number.
UNITHOLDERID String 12 Mandatory - Is blank for new record
REFERENCENUMBER String 12 Mandatory - Accepted from hand off file con- tents; or system generated reference number, according to the option selected in the Bulk Account Client Defaults for “unit holder import” or “both”
ACCOUNTOPENINGDATE DATE - Optional - If this is not found in the hand off file, the application date is deemed as the account opening date by default.
TITLE String 15 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file This should be one of the valid Title codes as maintained in system parameters.
FIRSTNAME String 100 Mandatory - Accepted from the user’s specification for the same in the hand off file contents
MIDDLENAME String 40 Optional - Accepted from the user’s specification for the same in the hand off file contents
LASTNAME String 40 Optional - Accepted from the user’s specification for the same in the hand off file contents
ACCOUNTOPERATIONTYPE String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values in the following list:
  • S - Single
  • E - Either Or Survivor
  • J - Joint
FIRSTNOMINEE String 60 - - Accepted from the user’s specification for the same in the hand off file contents – This information is man- datory for Account Operation type as J – Joint
SECONDNOMINEE String 60 - - Accepted from the user’s specification for the same in the hand off file contents
THIRDNOMINEE String 60 Optional - Accepted from the user’s specification for the same in the hand off file contents
FATHER_SPOUSENAME String 20 Optional - Accepted from the user’s specification for the same in the hand off file contents
INVESTORTYPE String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values from the following list:
  • I - Individual
  • C - Corporate - Mandatory
CONTACTADDRESSLINE1 String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
CONTACTADDRESSLINE2 String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
PRIMARYCITY String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
PRIMARYSTATE String 80 Optional - Accepted from the user’s specification for the same in the hand off file contents
PRIMARYUSSTATE Number 1 Optional - Should be left blank
ZIPCODE String 10 Optional - Hand off file contents
SECONDARYADDRESSLINE1 String 105 Optional - Address Line 1
SECONDARYADDRESSLINE2 String 105 Optional - Address Line 2
SECONDARYCITY String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
SECONDARYSTATE String 80 Optional - Accepted from the user’s specification for the same in the hand off file contents
SECONDARYUSSTATE Number 1 Optional - -
SECONDARYZIPCODE String 10 Optional - Accepted from the user’s specification for the same in the hand off file contents
SWIFTADDRESSLINE1 String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
SWIFTADDRESSLINE2 String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
SWIFTADDRESSLINE3 String 105 Optional - Accepted from the user’s specification for the same in the hand off file contents
SWIFTADDRESSLINE4 String 80 Optional - Address Line 4
SWIFTCOUNTRYCODE String 3 Optional - Country Code
BICCODE String 16 Optional - BIC Code
HOMETELEPHONENUMBER String 60 Optional - Accepted from the user’s specification for the same in the hand off file contents
OFFICETELEPHONENUMBER String 60 Optional - Accepted from the user’s specification for the same in the hand off file contents
FAXNUMBER String 120 Optional - Accepted from the user’s specification for the same in the hand off file contents
TAXDEDUCTEDATSOURCE Number 1 Optional - Could be either true (1) or false (0)
TAXID String 50 Optional - Accepted from the user’s specification for the same in the hand off file contents
TAXCIRCLE String 15 Optional - Accepted from the user’s specification for the same in the hand off file contents
IDENTIFICATIONTYPE String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values maintained in Params maintenance for Identification Type
IDENTIFICATIONNUMBER String 50 Mandatory - Accepted from the user’s specification for the same in the hand off file contents
IDENTIFICATIONISSUEDATE DATE - Optional - Accepted from the user’s specification for the same in the hand off file contents
IDENTIFICATIONEXPIRYDATE DATE - Optional - Accepted from the user’s specification for the same in the hand off file contents
RESIDENTSTATUS String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values from the following list:
  • R - Resident.
  • F - Foreign
UHCATEGORY String 2 Mandatory - Could be any of the valid values from the Category list maintained
ACCOUNTSTMTFREQ String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values in the following list from Frequency Table:
  • D - Daily
  • W- Weekly
  • F - Fortnightly
  • M - Monthly
  • Q - Quarterly
  • H - Half Yearly
  • Y - Yearly
YTDSTMTREQD Number 1 Optional - Accepted from the user’s specification for the same in the hand off file contents. By default, it is deemed to be 'No'
DATEOFBIRTH DATE - Optional - Accepted from the user’s specification for the same in the hand off file contents
GUARDIANNAME String 70 Optional - Accepted from the user’s specification for the same in the hand off file contents
RELATIONSHIP String 70 Optional - Accepted from the user’s specification for the same in the hand off file contents
BENEFICIARY String 70 Optional - Accepted from the user’s specification for the same in the hand off file contents
SEX String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either of the following Values:
  • M (Male)
  • F (Femle
MARITALSTATUS String 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either of the following Values:ul
  • S (Single)
  • M (Married)
The default status is taken to be Single.
OCCUPATION String 3 Mandatory Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values maintained in Occupation Maintenance
NATIONALITY String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Accepted from the user’s specification for the same in the hand off file contents
COUNTRYOFDOMICILE String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the values maintained in Country Maintenance
CORPORATIONTYPE String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be any of the valid values maintained in Corporation Maintenance. This information can be specified only for corporate investors (Investor Type – C)
FIRSTAUTHORIZEDSIGNATORY String 70 Optional - This information can be specified only for corporate investors (Investor Type – C)
SECONDAUTHORIZEDSIGNATORY String 70 Optional - This information can be specified only for corporate investors (Investor Type – C)
THIRDAUTHORIZEDSIGNATORY String 70 Optional - This information can be specified only for corporate investors (Investor Type – C)
CONTACTNAME String 70 Optional - Accepted from the user’s specification for the same in the hand off file contents
MINNOOFCORPORATESIGNATORY Number - Optional - Accepted from the user’s specification for the same in the hand off file contents
SCHEMECROSSREFNO - 60 Optional - Scheme/Cross Reference Number
UHBASECURRENCY String 3 Optional - Could be any of the valid currencies maintained in Currency Maintenance. If this information is not given in the import file, then the default unit holder base currency specified in the Bulk Client Defaults Maintenance for the bulk client will be used.
LANGUAGE String 12 Optional - Could be any of the languages defined in the system. If this information is not given in the import file, then the Default Language Value mentioned in the Bulk Client Defaults Maintenance for the bulk client will be used.
REDEMPTIONMOP String 1 Optional - Could be either of the following Values:
  • Q - Cheque
  • T - Tranfer
If this information is not given in the import file, then the Default Redemption Mode of Payment specified in the Bulk Client Defaults Maintenance for the bulk client will be used.
ACCOUNTSTMTCURRENCY String 3 Optional - Could be any of the valid currencies maintained in Currency Maintenance. If this information is not given in the import file, then the Default Account Statement Currency mentioned in the Bulk Client Defaults Maintenance for the bulk client will be used.
EMAILID String 255 Optional - Accepted from the user’s specification for the same in the hand off file contents
FIRSTJOINTUHNAME String 60 Optional - The primary unit holder name in case of joint accounts.
SECONDJOINTUHNAME String 60 Optional - The secondary unit holder name in case of joint accounts.
THIRDJOINTUHNAME String 60 Optional - The third unit holder name in case of joint accounts.
ALTADDRESSFROMDATE DATE - Optional - Alternate Address From date
ALTADDRESSTODATE DATE - Optional - Alternate Address To date
TELEPHONERED Number 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either 0 (false) or 1 (true) to indicate whether redemption transactions can be accepted through telephone for the unit holder or not. If null, it will be picked up from the bulk client defaults table.
TELEPHONESWI Number 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either 0 (false) or 1 (true) to indicate whether redemption transactions can be accepted through telephone for the unit holder or not. If null, it will be picked up from the bulk client defaults table.
WRITECHECKFORMMF Number 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either 0 (False) or 1 (True). If not supplied, will be taken from the bulk client defaults table.
FEDWIREACHPAYMENT Number 1 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either 0 (False) or 1 (True). If not supplied, will be taken from the bulk client defaults table.
IRSNOTIFICATION String 10 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Could be either 0 (False) or 1 (True). If not supplied, will be taken from the bulk client defaults table.
ROAINVESTOR Number 1 Optional - Could be either 0 (False) or 1 (True). This should be read only when 'ROA Option at Investor’ in AMC policies table is true.
ALLOWROAATCIFLEVEL Number 1 Optional - Could be either 0 (False) or 1 (True). If an investor is an ROA investor, then this option will be set based on the value of the 'Allow ROA LOI at CIF level' in the AMC policies table
UHACCOUNTTYPE String 2 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid unit holder account type as available in the Params maintenance
RPOCODE String 10 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid code as maintained in the Params table for the Param code RPOESCHCODE. If not supplied, will be picked up from the bulk client defaults table.
REGISTRATIONTYPE String 2 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid code as maintained in the Params table for the Param code UHREGISTRTIONTYPE. If not supplied, will be taken from the bulk client defaults table.
REGISTRATIONNAME String 50 Optional - If registration type ='SN'(Street name), only then this value is to be read.
ACCOUNTOPENINGPURPOSE String 30 Optional - Account Opening Purpose
REMARKS String 255 Optional - Remarks
PREFERREDMAILMODE String 2 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid code as read from the Params table for the Param code PREFERRED MAILMODE. If not supplied, will be taken from the bulk client defaults table.
NOTEPADAVAILABLE Number 1 Optional - Could be either 0 (False) or 1 (True). If not supplied, default will be 1 (True)
FEECATEGORY String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid category for the type of investor (individual or cor- porate). If not sup- plied, will be taken from the bulk client defaults table based on the investor category
FEESUBCATEGORY String 6 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid sub category for the category. If not supplied will be taken from the bulk client defaults table based on the investor category
AGENTCODE Number 12 Mandatory - Agent Code
BRANCHCODE Number 12 Mandatory - Branch
USERID VARCHAR2 320 Mandatory - Indicates the user ID who has entered the latest record.
AUTH_STAT VARCHAR2 1 Optional - Auth Status
AUTHTYPE String 1 Mandatory - Could be either of the following Values:
  • U - Unauthorized
  • A - Authorized
STOPACCOUNTREASON String 255 Optional - Must be left blank
RELEASEDATE DATE - Optional - Must be left blank
ALLSIGNATORIESREQDTOSIGN Number 1 Optional - Must be left blank
TAXEXEMPTED Number 1 Optional - Either 0 or 1 to indicate if tax is exempted for this Unit holder
INDEXATIONONCGT String 1 Optional - Must be left blank
CERTDELIVERYPREF String 1 Optional - Could be any of the values from the following list to indicate the preferred certificate delivery option:'A','C','F','P','R'
TEMPLATEID String 6 - Value defaulted as maintained in Bulk client defaults in the absence of information in the file Template ID
EFFECTIVEDATE DATE - Optional - Effective Date
CELLPHONENUMBER String 16 Optional - Cell Phone NUMBER
PRIMARYCOUNTRYCODE String 3 Optional - Primary Country Code
ALTCELLPHONENUMBER String 16 Optional - Alternate Cell phone Number
ALTHOMEPHONENUMBER String 15 Optional - Alternate Home phone Number
ALTOFFICEPHONNUMBER String 15 Optional - Alternate Office phone Number
ALTEMAILID String 60 Optional - Alternate Email ID
SECONDARYCOUNTRYCODE String 3 Optional - Secondary Country Code
PLACEOFISSUE String 3 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Place of Issue
ALTCONTACTNAME String 70 Optional - Alternate Contact Name
ALTFAXNUMBER String 15 Optional - Alternate Fax Number
PREFERREDFUNDFORREDEMPTION String 6 Optional Value defaulted as maintained in Bulk client defaults in the absence of information in the file Should be a valid fund ID which would be used for redeeming the trailer commission to pay the intermediary
GUARDIANPANGIRNO String 15 Optional - If the unit holder is a minor then the PAN (tax ID) details of the Guardian
GUARDIANFORM6061 Number 1 Optional - Must be left blank
PRIMARYUHFORM6061 Number 1 Optional - Must be left blank
UNITHOLDERNRI Number 1 Optional - Indicate if the Unit holder is a Non resident
EUSDOPTION String 1 Optional Applicable only for EUSD Countries

Value defaulted from defaults Maintenance in the absence of information in the file
  • W - Withholding Tax
  • E - Exchange of Information
  • T - Tax Certificate
TAXCERTIFICATEEXPDATE Date - Optional If the EUSD Option is ‘T’ then tax certificate expiry date is manda- tory Tax certificate expiry date
PLACEOFBIRTH String 80 Optional If the EUSD Option is ‘T’ then tax certificate expiry date is manda- tory Unit Holder’s Place of birth
COUNTRYOFBIRTH String 3 Optional If the EUSD Option is ‘T’ then tax certificate expiry date is manda- tory Unit Holder’s Country of birth. It should be the country code of the country
FATFORNONFATF String 1 Optional -
  • F - FATF country
  • N - Non-FATF
CHASINGDATE Date - Optional - In case the KYC list is incomplete for a unit holder and the document has been requested, the date on which the document chasing action must be initiated.
ADDNCOMMENTS String 255 Optional - Any additional narrative, or descriptive text, if any, concerning the document and the chasing date
ALLKYCRECIEVED Number 1 Optional - Can have a value of 0 or 1.

1 - All the requested documents have been received from the unit holder.
RETAINTRADEACK Number 1 Optional - 0 or 1

1 to indicate that trade acknowledgements for the unitholder has to be retained.
RETAINCONTRACTNOTES Number 1 Optional - 0 or 1

1 implies that contract notes in respect of the unit holder should be retained.
NOTREPORTKYCREQ Number 1 Optional - 0 or 1

Value 1 to indicate that any KYC documents yet to be submitted must not be reported in trade acknowledgements
UHBICCODE String 6 Optional - Unit holder’s swift BIC Code
ALTLANGFIRSTNAME String 100 Optional Should not exist in the absence of First Name First Name specified in alternate language.
ALTLANGMIDDLENAME String 40 Optional Should not exist in the absence of Middle Name Middle Name specified in alternate language
ALTLANGLASTNAME VARCHAR2 40 Optional - Alternate Language LastName
ALTLANGFIRSTAUTHSIGN String 70 Optional Should not exist in the absence of First authorized signatory First authorized signatory specified in alternate language
ALTLANGSECONDAUTHSIGN String 70 Optional Should not exist in the absence of Second authorized signatory Second authorized signatory specified in alternate language
ALTLANGTHIRDAUTHSIGN String 70 Optional Should not exist in the absence of Third authorized signatory Third authorized signatory specified in alternate language
ALTLANGCONTACTPERSON String 70 Optional Should not exist in the absence of Contact person Contact person specified in alternate language
ALTLANGCORADDRESSLINE1 String 80 Optional Should not exist in the absence of Correspondence address line 1 Correspondence address line 1 specified in alternate language
ALTLANGCORADDRESSLINE2 String 80 Optional Should not exist in the absence of Correspondence address line 2 Correspondence address line 2 specified in alternate language
ALTLANGCORADDRESSLINE3 String 80 Optional Should not exist in the absence of Correspondence address line 3 Correspondence address line 3 specified in alternate language
ALTLANGCORADDRESSLINE4 String 80 Optional Should not exist in the absence of Correspondence address line 4 Correspondence address line 4 specified in alternate language
ALTLANGALTADDRESSLINE1 String 80 Optional Should not exist in the absence of address line1 Address line 1 specified in alternate language
ALTLANGALTADDRESSLINE2 String 80 Optional Should not exist in the absence of address line2 Address line 2 specified in alternate language
ALTLANGALTADDRESSLINE3 String 80 Optional Should not exist in the absence of address line 3 Address line 3 specified in alternate language
ALTLANGALTADDRESSLINE4 String 80 Optional Should not exist in the absence of address line 4 Address line 4 specified in alternate language
DATEOFCONTRIBUTION Date - Optional - Date Member became Contributory
TRANSFERDATE Date - Optional - Date Member details were transferred
RETIREMENTAGE Number 5,2 Optional - Employee Retirement Age
RETIREMENTDATE Date - Optional - Employee Retirement Date
DATEOFDEATH Date - Optional - Date of Death
DEATHCAUSE String - Optional - Cause of Death
DISPATCHDATE Date - Optional - Dispatch Date
RETURNEDDATE Date - Optional - Returned Date
PRIMARYUHMFIN VARCHAR2 15 Optional Applicable only if unitholder is major Primary MFIN of the Primary Unitholder
GUARDIANMFIN VARCHAR2 15 Optional Applicable only if unitholder is minor Mutual fund identification number of the Guardian
RECOVERCGT NUMBER 1 Optional - For Calculating Capital Gain Tax
CAMPAIGNCODE Strings 6 Optional - Used to capture the CAMPAIGN- CODE
PROCESSID1 VARCHAR2 60 Optional - Process ID
INITIALS VARCHAR2 30 Optional - Initials
KYCPURCHASELIMIT NUMBER 30 Optional - KYC Purchase Limit
KY ANNUALDEBITORDERLIMIT NUMBER 30 Optional - KYC Annual Debit Order Limit
CAMPAIGNCODE VARCHAR2 6 Optional - Campaign Code
REDEMPTIONPAYOUT VARCHAR2 1 Optional - Redemption Payout
DIVIDENDPAYOUT VARCHAR2 1 Optional - Dividend Payout
PRIMARYINDITELCODE1 VARCHAR2 10 Optional - Int. Dialing Code 1
PRIMARYINDITELCODE2 VARCHAR2 10 Optional - Int. Dialing Code 2
PRIMARYINDIPHONECODE VARCHAR2 10 Optional - Primary Phone Code
PRIMARYINDIFAXCODE VARCHAR2 10 Optional - Primary Fax code
SECONDARYINDITELCODE1 VARCHAR2 10 Optional - Int. Dialing Code 1
SECONDARYINDITELCODE2 VARCHAR2 10 Optional - Int. Dialing Code 2
SECONDARYINDIFAXCODE VARCHAR2 10 Optional - Secondary Phone Code
DUALNATIONALITY VARCHAR2 3 Optional - Dual Nationality
SUBSTANTIALSTAYINUS NUMBER 1 Optional - Substantial Stay in US
TAXCERTIFICATEEFFEDATE DATE 10 Optional - Tax Effective Certificate Date
COUNTRYOFINCORPORATION VARCHAR2 3 Optional - Country Of Incorporation
SECONDIDENTITYTYPE VARCHAR2 12 Optional - Identification Type
SECONDIDENTITYNUMBER VARCHAR2 50 Optional - Identification NUMBER
SECONDISSUEDATE DATE 10 Optional - Second Issue Date
SECONDEXPIRYDATE DATE 10 Optional - Second Expiry Date
SECONDPLACEOFISSUE DATE 10 Optional - Second Place Issue
DUEDILIGENCELEVEL VARCHAR2 2 Optional - Due Diligence Level
REVIEWEDBY VARCHAR2 255 Optional - Reviewed By
LASTREVIEWEDDATE DATE 10 Optional - Last Reviewed date
CHASERID VARCHAR2 255 Optional - Chaser ID
CHASINGMODE VARCHAR2 2 Optional - Chasing Mode
NAMESCHECKOPTION VARCHAR2 2 Optional - Names Check Option
NAMESCHECKREMARKS VARCHAR2 255 Optional - Names Check Remarks
ACCOUNTSTATEMENT VARCHAR2 1 Optional - Account Statement
CONTRACTNOTES VARCHAR2 1 Optional - Contract notes
INVESTORRISKLEVEL VARCHAR2 1 Optional - Investor risk level
HEALTHSTATUS VARCHAR2 1 Optional - Health status
UHSEGMENTID VARCHAR2 12 - - For GTA segment ID is mandatory

Parent topic: Unit Holder File Format