KYC Compliance Process

 Verification of Documents
 Data Entry
 Modification in Data Entry
 Dispatch of Documents
 Printing Acknowledgement Letter
 Detail Change Module

CDSL Ventures Ltd

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

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

Go to the website https://www.cvlindia.com

Click on Login for POS

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Login to the software by
proving user id & password

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Home Page for KYC Compliance Software

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Click on
CVL_GET_REF_NO from
the dropdown list

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Click on New to
generate new
Workitem No.

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Write the Workitem No.
on top of the KYC
Application Form (KAF)

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 16501

Write the workitem no. here

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 Click on
CVL_MIN_ALLOCATION
from the dropdown list

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Click on the workitem
generated in
CVL_GET_REF_NO queue

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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

CDSL Ventures Ltd
 SELECT
INVESTOR TYPE

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 Select Exempt
Type as REGULAR

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CDSL Ventures Ltd
 PRESS
COMMIT

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 PRESS
PRINT

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 KYC Acknowledgement Letter 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

 PAN NO .

PRESS OK AND
TAKE
PRINTOUT

CDSL Ventures Ltd

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.

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 PRESS
DONE

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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

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 SELECT
INVESTOR TYPE

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FOR THE EXEMPT TYPE
SELECT EXEMPT

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 SELECT
EXEMPT CATAGORY

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 TEXT BOX FOR
PAN NO. WILL BE
DISABLE

AUTOMATICALLY
EXEMPT CODE WILL BE
GENERATE

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 PRESS
COMMIT

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 PRESS
PRINT

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 KYC Acknowledgement Letter 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

 NOTE DOWN THE
AUTOMATED EXEMPT
CODE GENERATED.

PRESS OK AND
TAKE PRINTOUT

CDSL Ventures Ltd

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

 PRESS
DONE

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 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

 Click on the
BATCH button

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Click on
KYC BATCH CREATION

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Click on CREATE BATCH

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Batch is created per 100 records which the
PoS should take a print of

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Click on PRINT to print Click on
the batch report Close

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Click on
KYC COURIER DETAILS

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 Enter the Courier
Click on Agency name and
SUBMIT POD number

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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

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 Click on the PRINT button

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Enter PAN and click on PRINT button

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Click on OK once the print
has been taken

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 Click on
CVLDC_CHANGE_DETAIL_NO

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 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

Click on NEW

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 Note down the workitem no.
and mention it on top of the
application form

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 Click on
CVLDC_CHANGE_DETAILS

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Click on the
workitem created

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Enter PAN OR EXEMPT
Code and click on FETCH

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Select the appropriate option for the type of change
• ERROR CORRECTION – For changes by the
POS; no documents required for the changes.
• CHANGE DETAILS – Changes initiated by the
investor; application form along with the proof
document required.
• SIGNATURE CHANGE – For Change in
signature; only the documents needs to be
forwarded to CVL. CDSL Ventures Ltd
 • Enter the new
value in the
appropriate field
• Enter the change
reason
• Click on PROCESS
• Click on COMMIT
• Click on PRINT to
take a print of the
change ackn.
Letter

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 Click on DONE to
complete the process.
Before clicking on DONE.

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CHANGE
DETAIL

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CLICK THE CHECK
BOX TO CHANGE
FROM
EXEMPT TO
REGULAR

ENTER THE PAN NO

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GIVE THE
CHANGE
REASON &
CLICK THE
PROCESS

COMMIT

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 PRINT

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 OK

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 DONE

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 Click on KYC
CHANGE DETAIL
BATCH CREATION

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Click on CREATE BATCH

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Batch is created per 100 records which the
PoS should take a print

Click on PRINT to print

the batch report

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 Click on KYC Change
Detail Courier Details

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 Enter the Courier
Agency name and
POD number

Click on
Submit

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Dispatch of Change Detail Documents
 Similar to the KYC documents forward the detail change
documents to CVL.
 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