Distributor Manual

ARN DISTRIBUTOR MANUAL
2014
MF Utilities India Private Limited
(A manual for distributors signing up with MFUI)
Created by
Sudit K. Parekh & Co.
Chartered Accountants
Notice: This document is meant, solely for training purposes, to give an overview of MF Utilities System (“MFU
System”). This document is, STRICTLY CONFIDENTIAL, solely for the intended / authorized recipient. The contents
of this document, including but not limited to text, images and process flow charts are proprietary material of MF
Utilities India Private Limited (“MFUI”) and the same shall not be copied, reproduced, transmitted via e-mail or
otherwise, shared physically or electronically, displayed, distributed or altered, in whole or in part, or in any manner
whatsoever. Further no person has been authorized to make any representations or to furnish any information with
respect to MFU System or MFUI on the basis of information contained herein. Failure to comply with the directives
herein, shall entitle MFUI to take legal action against non-compliant and unauthorized recipients of this document.
Distributor Manual
Document Title Distributor Manual
Policy No. MFU/D/12/2014-15 Applicability All categories of distributors
First Issue Date Review Period Next Review Date Effective from Version No.
- - - - -
Particulars Name Designation Date Signature

Prepared By
Reviewed By
Approved By
Document Revision or Amendment Records

Version No. Section Details of Revision Old Reference Approver
Abbreviations used in the Distributor Manual
Abbreviation Full Form Abbreviation Full Form Abbreviation Full Form
AMFI Association of Mutual ARN AMFI Registration CAN Common Account

Funds in India Number Number
CMS Cash Management CDSL Central Depository DIN Director Identification
Service Services Limited Number
DP Depository Participant EUIN Employee Unique FIIs Foreign Institutional
Account Number Identification Number Investors
FVCIs Foreign Venture Capital ITRN Individual Transaction KYC Know Your Customer
Investor Reference Number
GORN Group Order Reference MFUI MF Utilities India MFU MF Utility (The
Number Private Ltd (The System)
Company)
KRA KYC Registration NSDL National Securities OCI Card Overseas Citizenship
Agency Depository Limited of India Card
MICR Code Magnetic Ink Character PAN Permanent Account PEKRN PAN Exempt KYC
Recognition Code Number Reference Number
POS Point of Service POI Proof of Identity RM Code Relationship Manager
Code
POA Power of Attorney STP Systematic Transfer SWP Systematic
Plan Withdrawal Plan
SIP Systematic Investment UID Unique Identification URL Uniform Resource
Plan Locator
VCFs Venture Capital Fund
2 This document is strictly CONFIDENTIAL and is proprietary to MF Utilities India Private Limited (MFUI). Usage of this
manual in any manner without regard to the “Notice” on the cover page, is STRICTLY PROIBITED.
Distributor Manual
List of Indicators / Buttons used in the system
Indicators / Buttons Description
Browse/view the information
Submit the information
Reset the information

Save the information
Submit the information to POS
Go to previous window
Calendar
Validate the information
Search the details
Reset the information
Check box (tick)
Radio button
This icon is to view the warning message, before proceeding with confirmation
Confirm the request
Cancel the request

Home page
Reports
Log on info
Notification
Change Password
Log-out
Modify the order
Approve the order
Reject the order
View next order
Go to Approval Book
Online Help
Distributor Manual
Contents
1. Objective ..................................................................................................................................................................... 6
2. Technical Support Section .......................................................................................................................................... 6
3. Sign up Process ........................................................................................................................................................... 6
3.1 Distributor signing-up form ................................................................................................................................. 6
3.2 Documents to be submitted for sign-up ............................................................................................................. 6
3.3 Distributor Terms and Conditions ....................................................................................................................... 6
3.4 Categories of Empanelment ................................................................................................................................ 7
3.5 Distributor back office master set up process..................................................................................................... 7
3.6 Allocation of MFU System - User ID .................................................................................................................... 8
3.7 Creation of Branch, User IDs and Assigning of Roles & Menus ........................................................................... 8
3.8 General ................................................................................................................................................................ 9
3.9 Distributor Maintenance ................................................................................................................................... 12
3.10 User Management ............................................................................................................................................. 17
4. User Navigation Flow................................................................................................................................................ 20
4.1 General .............................................................................................................................................................. 21
4.2 Registration ....................................................................................................................................................... 23
4.3 CAN Transaction ................................................................................................................................................ 24
4.4 Folio Transaction ............................................................................................................................................... 25
4.5 Transaction Books ............................................................................................................................................. 25
4.6 NC Transaction................................................................................................................................................... 26
4.7 Scan.................................................................................................................................................................... 26
4.8 Deposit Slip ........................................................................................................................................................ 27
4.9 Dash Board ........................................................................................................................................................ 28
5. Scan ........................................................................................................................................................................... 29
5.1 Scan Transaction ................................................................................................................................................ 29
5.2 Transaction Scan Book....................................................................................................................................... 30
5.3 Scan Registration ............................................................................................................................................... 31
5.4 Registration Scan Book ...................................................................................................................................... 33
6. Transactions .............................................................................................................................................................. 34
6.1 KYC Registration (incidental to CAN creation)................................................................................................... 35
6.2 CAN Registration................................................................................................................................................ 41
Distributor Manual
6.3 CAN Transaction ................................................................................................................................................ 46
6.4 Folio Transactions .............................................................................................................................................. 56
7. Submission of physical documents .......................................................................................................................... 66
7.1 Flow of Physical documents from Distributors to POS – applicable to Option II .............................................. 66
8. Transaction books..................................................................................................................................................... 67
8.1 Normal Order Book ........................................................................................................................................... 67
8.2 Systematic Order Book ...................................................................................................................................... 69
8.3 Order Approval Book ......................................................................................................................................... 70
9. Non Commercial Transactions (NC Transactions) ................................................................................................... 72
9.1 POA Registration/Change .................................................................................................................................. 72
9.2 Depository Account Addition / Deletion ........................................................................................................... 74
9.3 Address Change ................................................................................................................................................. 77
9.4 Bank Mandate Addition/Deletion ..................................................................................................................... 79
10. Deposit Slip ............................................................................................................................................................... 83
10.1 Slip Maintenance ............................................................................................................................................... 83
10.2 Slip Book ............................................................................................................................................................ 84
11 Report Generation .................................................................................................................................................... 85
11.1 Transaction ........................................................................................................................................................ 86
11.2 Banking .............................................................................................................................................................. 89
11.3 Distributor ......................................................................................................................................................... 90
11.4 Registration ....................................................................................................................................................... 90
11.5 Deposit Slip ........................................................................................................................................................ 92
12 Documents to be maintained, Daily dispatch process and Timelines .................................................................... 92
Annexure I : Documents need to be submitted ............................................................................................................ 92
Annexure II : Documents need to be submitted ........................................................................................................... 95
Distributor Manual
1. Objective
This distributor manual is developed to assist the distributors who sign-up with MF Utilities India Private Limited
(‘MFUI’). The manual helps the distributor users to understand the processes/procedures to be followed to
perform the activities envisaged from them like creation and maintenance of master data pertaining to the
distributor (including addition of branches and users), day-to-day operations like data-capturing of
“transactions”, banking activities, document maintenance etc. and checkpoints to be taken care while carrying
out the activities.
2. Technical Support Section
Reading and understanding the manual will help the distributor users to perform their day-to-day activities
smoothly. For any exceptions encountered / clarifications required while operating MFU system, please feel free
to contact the Client Services Team at MF Utilities India Private Limited on +91 22 39526363 or Toll Free
No._____________ or e-mail us your query at distributorconnect@mfuindia.com.
3. Sign up Process
• Submission of Sign-up form and mandatory documents to MFUI

1
• Verification of Sign-up form and mandatory documents submitted by distributor at MFUI and
2 approving the Sign-up
• Creation of User ID and sharing the same with the distributor

3
3.1 Distributor signing-up form

The form to be used by the Distributors for signing-up with MFUI is attached herewith.
Distributor signing up
form
3.2 Documents to be submitted for sign-up

As defined in the sign-up form.
3.3 Distributor Terms and Conditions

By signing and submitting this form to MFUI, the Distributor agrees to the Terms and Conditions annexed to the
Distributor sign-up form, related to the Service and any other conditions referred thereto in the Terms and
Conditions.
Distributor Manual
3.4 Categories of Empanelment
3.4.1 Functions and Time Stamp features for Distributor Categories
Distributor Functions available Time Stamp Applicability

Category
A1 Basic Access (Information, Downloads and Physical Submission of Documents to POS
feeds, etc.)
A2 Basic Access, Transaction Data Entry and Image Scan + Data Entry + Electronic “Submit to POS”
Scanning.
3.4.2 Facility of scanning rights for various category of distributors
Every Distributor, as per

their registration with Category A
MFU, will be assigned a
category. Distributor will
have the scanning rights as
A1 - Basic Access
per the category of their
registration.
A2 - Basic Access, Data

Entry and Scanning.
3.5 Distributor back office master set up process

3.5.1 Back office master setups flow for Distributors choosing Option II – Scan & Transaction
facility
Adding
Mapping of
Using the individual
MFU will Mapping of branches to
Administrat users and
assign Map Branches to Map the MFU
Login Add or ID, add Add mapping
Administrat branch Point of branch to Collection
ID Branch various Users them to
or ID for to POS Service in the Bank Bank
level of their
Distributors location branches in
branches respective
the location
branch
3.5.2 Type of Distributor’s Branches
If distributor has more than one office, he can maintain a hierarchy within his branches in the system.
The system has the facility for assigning below levels to various offices.
Distributor Manual
National
Regional
Branch
3.6 Allocation of MFU System - User ID

MFUI will scrutinize the Sign-up form submitted by the Distributor and post successful scrutiny, will register the
Distributor in MFU and provide appropriate “User ID” to the Distributor based on the option chosen. For
Distributors who have chosen “Option II” i.e. scan & transaction facility, MFU will provide an Administrator
User ID, using which the Distributor will be able to create branch, add Users and assign roles & menus for Users
etc. For Distributors who have chosen “Option I” i.e. Access to Information/Downloads etc., MFU will provide a
User ID for accessing the system. This user will not have the rights to perform the activities of an Administrator
user as in Option II.
3.7 Creation of Branch, User IDs and Assigning of Roles & Menus
Step 1: Distributors having the Administrator User ID can login to the MFU System using the ID provided by
MFUI
Step 2: Upon login, the Administrator User is displayed with a screen where he will be able to see the Logged-in
User Name along with User ID / Code, Entity Name, Icons pertaining to various options available to the user.
The User shall be displayed with a Navigation menu showing the following options that are mapped in MFU to
the Administrator role:
Distributor Manual
S.No. Tab Name Description

1 General This menu helps the Administrator User to monitor and manage User access to
the system.
2 Distributor This menu helps the Administrator User to create and maintain branches and
Maintenance their mapping to the nearest POS branch & the nearest and available MFUI
Collection Bank branches. All additions/changes will be activated only if
approved by another Administrator User.
3 User Management This menu helps the Administrator User in User Maintenance and allocation of
Menu & facilities to Users. All additions/changes will be activated only if
approved by another Administrator User.
Step 3: The user can navigate through the menu displayed. Following is the detailed list of menu for reference:
3.8 General
This menu provides the following options:-

1 Change Password This menu will enable the Administrator user to change his existing password.
2 Reset Password This menu will enable the Administrator User to reset the password of another
user belonging to the Distributor in case that user has forgotten his existing
password and is unable to reset the same on his own with the provisions
available to him.
If the User ID is known, enter the same and click on submit button, else to
search the User ID, click on “Search” and the following screen will be
displayed:
Distributor Manual
If the User Name is known, mention the same and click on search button
which will display the list of users matching the User Name, else click on
“Search” and the following screen will be displayed with the entire list of users
under the Distributor:
The user can use the “NEXT” or “PREVIOUS” button on the right hand bottom
of the screen till the appropriate User ID is displayed.
After selecting the particular ID for resetting password, following screen will be
displayed:
Once the Administrator user clicks the submit button, user password will be
reset and following screen will be displayed with the message showing “Reset
password has been done successfully. New password has been sent to your
registered e-mail id.”
3 Logon Monitor This menu will enable the Administrator user to monitor the details of users
who are currently logged-in to the system.
The entity name is by default displayed as the logged-in user’s entity name.
“Logon As” is by default set to “User”.
The Name of the Entity, details of Total Users, Active Users and Logged Users
under the entity will be displayed. Logged users will be the users who are
currently logged into the system. To view the list of logged users, the
Administrator user can click on the number which appears under Logged
Users.
To view all the users who have logged-in during the day, click on the Entity
Name which will display the logon audit screen as below that shows the details
Distributor Manual
of users who have logged-on for the day:
Administrator User can have the date wise view (From Date and To Date) or of
a particular user code.
To specifically view the login details of a user, enter the User Code and click on
submit button which will display the login details of that specific user. Else to
search the User code , click on “Search” adjacent to the User Code and the
system will display the search criteria as below:
4 Logon Audit To directly view the details of users who have logged-on for a specific period,
the Administrator can use this menu:
Click on the submit button will display the entire list with Log On and Log Off
Time Stamp and Source IP as follows:
Administrator User can have the date wise view (From Date and To Date) or of
a particular user code.
To specifically view the login details of a user, enter the User Code and click on
submit button which will display the login details of that specific user. Else to
search the User code , click on “Search” adjacent to the User Code and the
system will display the search criteria as below:
Distributor Manual
3.9 Distributor Maintenance
This menu provides the following options:

1 Branch I – Distributor Branch Creation Procedure:
Maintenance
This menu will enable the user to add, view, update, delete, suspend, and
activate the branch. By default the system will display the branches which are
in “Approved” state and are categorized as “National” branches.
Options for Branch Level (Drop down list) are – National, Region and Branch.
Options for Status (Drop down list) are – Approved, Pending & Rejected.
To view the details of a particular branch, choose the branch level and enter the
branch code in the space provided and the relevant status. Else choose the
branch level and the relevant status and click on “Browse” button and the
following screen is displayed:
To view the details of branches which have been mapped to the “Head Office”
or a specific “Regional Office”, enter the branch code of the HO or the Regional
Office in the space provided, else click on the “Search” button which will display
the following screen:
Distributor Manual
To create a new branch/region, click on the Add button, fill in all the details and
submit the same:
For approving or rejecting the new branch created, Select the appropriate
Branch Level and Status as “Pending”. Click on the Browse button and the
following screen will be displayed.
Click on the “View” icon shown against the record and the following screen will
be displayed:
Verify the details captured by the Administrator User and Click on the
“Approve” or “Reject” button as desired and the following screens will be
displayed:
Clicking on the “Ok” button will approve/reject the new branch/region creation
and by clicking on Cancel button will return back to original screen.
Distributor Manual
To see whether the branch/region creation is approved/rejected, select the
appropriate Branch Level and status as “Approved” or “Rejected”.
The following screen will be displayed:
Options available:
1. View – To view details of the branch.

2. Update – To update details of the branch.
3. Delete – To delete the entry of the branch.
4. Suspend – To suspend the branch.
5. Activate – To activate the branch.
6. Reject Reason.
7. Collection Bank Branch View
For making any updates, click on the Update option, and the following screen
will be displayed :
Make necessary changes and click on the update button and the following
screen is displayed.
All changes to a master record needs an approval from another Administrator

User and the process is similar to approving a new branch creation.
Distributor Manual
II – MFU Collection Bank Branch Mapping

Procedure:
Each Distributor branch must be mapped to MFU Collection Bank Branch as
Primary, Secondary and mode of deposit as Transfer, CMS. MFU Collection
Bank and its branches are available in the system. Distributor branch has to
bank physical instruments (Cheques / Demand Drafts / Pay Orders / Banker
Cheques) only through mapped bank branch.
This menu will enable the user to add, view, update, delete MFU Collection
Bank branch.
Step I : Click on the icon, which appear on your screen. Upon clicking
on “Branch Maintenance”, system will display the below screen:
To map the collection Bank to the particular branch, user has to click the
“Collection Bank Branch view” button. Upon clicking on the same, system will
display the below screen.
User has to click the “Add” button to map the “Primary” and “Secondary” Bank
Branch under the “Transfer” and “CMS” mode to the particular branch.
User has to select the “Primary” and “Secondary” Bank Branch through the
Distributor Manual
search function as per their branch requirement and click the “Add” button to
save the details. If required user can also map multiple MFU Collection Bank
using the same procedure.
2 Distributor-POS Each Distributor branch must be mapped to a POS branch that will authorize
Mapping the transactions captured by the Distributor branch. The Distributor branch will
submit all physical documents to the mapped POS branch as per the agreed
timelines. A distributor branch will not be allowed to enter transactions if it
does not have a POS branch mapped to it.
This menu will enable the user to add, browse (view), update, delete, suspend,
and activate the POS - Branch mapping. By default all the Distributor – POS
Branch mapping as existing in the system in “approved” state is displayed upon
accessing this menu:
To establish a new mapping click on Add button and the following screen will
be displayed:
Choose the appropriate Branch ID, POS Branch ID and the Alternate POS branch
ID required to be mapped by using the “Search” option click on submit button
after selecting the appropriate records for mapping.
For approving or rejecting the new mapping created, Select the Status as
“Pending”. Click on the Browse button and the following screen will be
displayed.
Click on the “Approve” or “Reject” icon and the following screens are displayed:
Confirm approval or rejection by clicking OK. Else click Cancel will return back to
original screen.
Distributor Manual
3.10 User Management

This menu provides the following options:

1 User Maintenance This menu will enable to add, view, update, activate, and suspend a particular
user.
 Options for User Type (Drop down list) are – All and Employees.
 Options for Role (Drop down list) are – Back Office, Front Office, Help Desk
and Sys Admin.
 Options for Status (Drop down list) are – Approved, Pending and Rejected.
Upon clicking the Add button the following screen will be displayed:
After adding the user details, click on save button.
Another Administrator user will login to the system for Approval and browse
the list of records pending for approval. From the list of records displayed, click
on “View” button will display the following screen:
Click on “Approve” button to approve or “Reject” button to reject.

2 Menu Maintenance Every user gets access to a pre-defined list of modules/menus based on the
role assigned to him. Through this screen, some specific menus may be
enabled or disabled for a specific user if need be.
Distributor Manual
If the User ID is known, then enter the same and click on submit button, else
to search the User code , click on “Search” and the following screen will be
displayed:
Select the required User code and Click on the Get Menu button and the
following screen will be displayed:
Enable or Disable a specific menu to the User ID. Once the rights and
permissions are defined, click on the Update Menu button to save the
changes.
3 User Facility Every user gets access to pre-defined list of facilities based on the role
Maintenance assigned to him. Through this screen, some specific facilities may be enabled
or disabled for a specific user if need be.
If the User Code is known, then enter the same and click on submit button,
else to search the User code , click on “Search” and the following screen will be
displayed:
Distributor Manual
Select the required User Code and click on the Submit button and the
following screen will be displayed:
Enable or Disable the facilities as required. Once Facilities are defined, click on
the Update button to save the changes.
Distributor Manual
4. User Navigation Flow
The following details explain the features that are available to a branch user under the Distributor. The Branch
user shall be able to login to the MFU System and perform his day to day activities. The following steps define
the flow for a branch user login.
Step 1: Branch User can login to the MFU System with the help of login credentials provided to him.
Step 2: Upon logging into the system, the branch user will be displayed with the User Name, Entity Name and
Icons pertaining to various options (as described later) available for the user. He shall be displayed with the
various Menu items which have been mapped to his role and/or specific to his User ID. A dashboard will be
displayed summarizing the “Registrations” and “Transactions” that are created and are awaiting approval at
various levels.
Step 3: The user can navigate through the menu depending upon the action he wants to perform. Following are
the detailed list of menus available:
Distributor Manual
4.1 General
This Menu facilitates the user to lodge a complaint/feedback as well as view the status of the same. Upon
clicking the Menu, the user will be able to view further sub-menus as detailed below:
Upon clicking the menu, user will be able to view the below screen for lodging the complaint or feedback.
The user will be have to specify the type as complaint/feedback/Query (as per dropdown available) and
choose category under which the complaint falls, the details specific to the complaint like the CAN,
Reference #, Reference Date, Fund/AMC Name, Folio Number and assign it to the entity (as available in
the dropdown menu) to whom he wishes to address the complaint / feedback to. The response by the
assigned entity user can be viewed by selecting the period as required (1/30/60/90 days or 6 months or 1
year), type (Complaint/Feedback/Query) and status (All/Open/In-progress/Closed) and click on the
Browse button as given above which will show the status as below:
The Entity users who are assigned with the “Helpdesk” role will be able to respond to the complaints
lodged against their respective entities or acknowledge the feedback. Upon login to the MFU system the
helpdesk user is displayed with the following screen by default:
Distributor Manual
To view the status of Feedback, the user will be required to change the type as “Feedback” and the
following screen is displayed:
To view the complaints or feedback under different statuses for different periods, the User has to select
the appropriate Type, appropriate Status and specify the period for which the details are required and
click on the submit button and the following screen will appear:
The following options are displayed against each of the complaint/feedback displayed based on the
above selection:
Sr. No. Options Description

1. View Image This option enables the user to view the scanned pages of the Complaint /
Feedback as follows:
2. Reply This option enables the user to reply to the Complaint / Feedback as follows:
Distributor Manual
Options for Status (dropdown list) are – Open, In Progress and Closed.
User has to select the status, enter the response in the text column and click on
the submit button.
3. Re-Assign This option enables the user to re-assign the Complaint / Feedback as follows:
Options for To Whom (dropdown list) are – AMC, RTA, DST and POS.
User has to select the Entity Type, Entity Name and click on the Re Assign
button. Thereafter Complaint / Feedback will be assigned to the selected Entity
4. Expand This option enables the user to see the history of the complaint as below:
5. Collapse This option enables the user to collapse the screen from displaying the history of
the complaint.
4.2 Registration
This Menu facilitates the user to data capture the KYC and CAN Registrations. Upon clicking the Menu,
the user will be able to view further sub-menus as detailed below:
Distributor Manual
1 KYC Tracker This menu will enable the user to view all the KYC Registration data
captured by the Distributor users along with their current status.
2 KYC Individual This menu will enable the user to data capture the KYC Registrations
received from individual investors along with the requests for CAN
creation.
3 KYC Non-Individual This menu will enable the user to data capture the KYC Registrations
received from Non-Individual investors along with the requests for
CAN creation.
4 CAN Tracker This menu will enable the user to view all the CAN Registrations data
captured by the Distributor users along with their current status.
5 CAN Individual This menu will enable the user to data capture the CAN Registrations
received from Individual Investors.
6 CAN Non-Individual This menu will enable the user to data capture the CAN Registrations
received from Non-Individual Investors.
4.3 CAN Transaction

This Menu facilitates the user to data capture the “Transactions” received from Investors mentioning the
CAN. Upon clicking the Menu, the user will be able to view further sub-menus as detailed below:

1 Purchase This menu facilitates the user to data capture a CAN based Purchase
Transaction of the investor. The payment for the purchase can be
through Cheques / Demand Drafts / Pay-Orders / Banker’s Cheques or
through electronic modes like RTGS / NEFT / Transfer Instruction.
Where cheques are issued for investments, the user should ensure
that only CTS cheques are accepted and entered into the system while
rejecting the non-CTS cheques. Sample images of CTS cheques are as
follows :
2 Redeem This menu facilitates the user to data capture a CAN based
Redemption Transaction of the investor.
3 Switch This menu facilitates the user to data capture a CAN based Switch
Transaction of the investor.
Distributor Manual
4 SIP This menu facilitates the user to data capture a CAN based SIP
Registration of the investor.
5 STP This menu facilitates the user to data capture a CAN based STP
6 SWP This menu facilitates the user to data capture a CAN based SWP
4.4 Folio Transaction

This Menu facilitates the user to data capture the folio-based “Transactions” received from Investors. The
transactions of investors who are not having a CAN, but intend to submit a transaction using an existing
folio can be accepted, provided the transaction is for a single AMC. Folio based transactions cannot be
submitted in a single form across AMCs.
Upon clicking the Menu, the user will be able to view further sub-menus as detailed below:

1 Purchase This menu facilitates the user to data capture a Folio based Purchase
Request of the investor.
2 Redeem This menu facilitates the user to data capture a Folio based
Redemption Request of the investor.
3 Switch This menu facilitates the user to data capture a Folio based Switch
Request of the investor.
4 SIP This menu facilitates the user to data capture a Folio based SIP
5 STP This menu facilitates the user to data capture a Folio STP Registration
of the investor.
6 SWP This menu facilitates the user to data capture a Folio based SWP
4.5 Transaction Books

This menu facilitates the user to view the details of Regular and Systematic Requests data captured by
the user along with their current status. Upon clicking the Menu, the user will be able to view further
sub-menus as detailed below:

1 Normal Order Book This menu will enable the user to view the Regular Requests like
Distributor Manual
Purchases, Redemptions and Switches with their associated details like
CAN, Folio, Reference Numbers, Branch, Scheme, Payment details etc.
and also their current status.
2 Systematic Order This menu will enable the user to view the Systematic Registrations
Book like SIP, STP and SWP with their associated details like CAN, Folio,
Reference Numbers, Branch, Scheme, Payment details etc. and also
their current status.
3 Order Approval Not applicable to Distributors.
4.6 NC Transaction
This menu facilitates the user to data capture the Non- Commercial Transaction “Requests” received
from Investors. Upon clicking the Menu, the user will be able to view further sub-menus as detailed
below:

1 POA This menu will enable the user to data capture the “Power of
Attorney” Registration requests received for a CAN from the Investor.
2 DP This menu will enable the user to data capture the “Depository
Account” details for a CAN received from the Investor.
3 Address This menu will enable the user to data capture (if KYC done on MFU)
the request for “Address Change” received from the investor.
4 Bank Mandate This menu will enable the user to data capture the “Bank Mandate
Change” request received for a CAN from the Investor.
5 Contact Details This menu will enable the user to data capture the “Contact Details”
request received for a CAN from the Investor (eg. Telephone No.,
Mobile No., Email etc.)
6 Other Details This menu will enable the user to data capture the “Other Details”
request received for a CAN from the Investor (eg. Gross Income, Net
Worth, Occupation etc.)
4.7 Scan
This menu facilitates scanning of all documents received from the Investor. Upon clicking the Menu, the
user will be able to view further sub-menus as detailed below:

1 Scan Transaction This menu will enable the user to scan & upload all the documents
related to Requests received from investor
2 Transaction Scan Book This menu gives the list of all the documents that have been
scanned and uploaded related to the Requests along with the
Distributor Manual
option to View, Re-Scan, detect marker, Data Capture and Delete
3 Scan Registration This menu will enable the user to scan & upload all the documents
related to KYC & CAN registrations received from investors.
4 Registration Scan Book This menu gives the list of all the registration related documents
that have been scanned and uploaded along with the option to
View, Re-Scan, detect marker, Data Capture and delete
4.8 Deposit Slip

This menu facilitates generation of deposit slips for the physical payment instruments received from
Investors for Subscription Requests. Upon clicking the Menu, the user will be able to view further sub-
menus as detailed below:

1 Slip Maintenance This menu will enable the user to view the list of physical instruments
eligible to be deposited and generate deposit slip for the same.
2 Slip Book This menu will display the user with the list of the deposit slips
generated through “Slip Maintenance” menu for the chosen period
along with the deposit slip status as well as allow the user to view,
cancel, print and scan the deposit slip details.
Distributor Manual
4.9 Dash Board
The dashboard provides the logged-in user with the current status of “Registrations” and “Transactions”
captured by the Distributor Entity users that are pending approval by the next level user within the entity or
the mapped POS. The display shows the Registrations and Transactions under two columns i.e. MY BRANCH
and MY LEVEL. The numbers displayed under MY BRANCH are those which are captured within the User
associated branch whereas the numbers displayed under MY LEVEL are those which are captured at a level of
the branch to which the user is associated to. To explain it further, if the user is attached to a branch which is
defined as a “BRANCH” during creation, then the display will only show the records pertaining to that branch.
Whereas if the user is attached to a branch which is defined as a “REGION” during creation, then the display
will show the records pertaining to his branch as well as other branches which are mapped to his branch
under the region.
Distributor Manual
5. Scan
This function will enable the user to scan the registration and transaction documents that have been received by
them and upload to the MFU system. There are separate menus for scanning Registration documents and
transaction documents. Scanning has to be done in the sequence of documents starting from the Registration or
Transaction Request Form followed by the supporting documents attached like PAN card, address proof,
company resolution, MOA, etc. In cases where the Transaction Requests are received along with the Registration
Form, then the scanning of documents for Registration and Transaction Request has to be done separately.
Registration or the Transaction Request Form should be as per the MFU standards. The scanning of the
Registration/Transaction and attached documents should be with the standard dpi of 200.
5.1 Scan Transaction
The following are the drop-down menus available in the screen displayed upon clicking the “Scan
Transaction” menu:
Sr. No. Information Description
1 Pages Number of pages scanned
2 Form Type It is type of request form to be scanned
3 Control Type It can be scan & upload and edit
*Deskew option is provided to align or rotate a scanned image to a proper position and size.
To scan a new transaction, select the appropriate transaction type and click on the scan button and the following
screen will appear to select the device / scanner attached / installed:
Distributor Manual
Once you select the device, click on OK button will scan the documents and then display the following screen:
The scanned image is currently displayed to the user on his screen without being stored anywhere and the same
has to be uploaded to MFU server by clicking the “Upload to server” button, which will display the following
screen:
The user has to input either the Application No or CAN / Folio No as the specific reference to the scanned
document so as to retrieve the scanned image from the scan book. The user may also mention any additional
remarks for their reference.
5.2 Transaction Scan Book

All transactions documents which are scanned through the “Scan Transaction” module are available for display
under the “Transaction Scan Book” menu. The following are the details displayed when this menu is chosen:

1 Image Reference Number System Generated Reference Number after the scan image
has been successfully uploaded into MFU system.
2 Application No. Application number
3 Txn Type It can be purchase, redeem, Switch, SIP, STP, SWP
(Transaction Type)
4 Order Type It can be CAN based or folio based
5 CAN It is common account number
Distributor Manual
The scanned images can be viewed in all or by providing specific filters. From the displayed list of scanned
records, the user will be able to View, Re-scan, Detect Marker, Data Capture or Delete the record
5.3 Scan Registration

The following are the drop-down menus available in the screen displayed upon clicking the “Scan Registration”
menu:

1 Pages Number of pages scanned
2 Form Type It is type of registration form to be scanned
3 Control Type It can be scan & upload and edit
*Deskew option is provided to align or rotate a scanned image to a proper position and size.
To scan a new “Registration” document, select the appropriate Registration type and click on the scan button and
the following screen will appear to select the device / scanner.
Distributor Manual
Once you select the device, click on OK button which will scan the documents show the following screen.
The scanned image is currently available in the local system and the same has to be uploaded to MFU server by
clicking the “Upload to server” button, which will display the following screen:
The user has to input an Image Reference No. to identify the Scanned Image for retrieval through “Registration
Scan Book”.
Distributor Manual
5.4 Registration Scan Book
All Registration documents which are scanned through the “Scan Registration” module are available for display
under the “Registration Scan Book” menu. The following are the details displayed when this menu is chosen:

1 Image Reference No. Reference number of the image which the User Inputs
2 Form Type It is type of form to be scanned
3 CAN Common account number
The scanned images can be viewed in all or by providing specific filters. From the displayed list of scanned
records, the user will be able to View, Re-scan, Data Capture or Delete the record.
Distributor Manual
6. Transactions
The following flow chart explains the type of registrations and transactions that can be handled by the distributor
through MFU System.
Distributor
Registration Transactions
KYC registration
CAN registration
incidental to CAN
Financial Non Financial
Update and send

like change of address
CAN based Folio based and bank mandate etc.
transaction transaction
Receive and forward

like warrant
revalidation etc.
Regular Systematic
Transactions Registrations
Purchase Systematic
Investment Plan
Redemption Systematic
Withdrawal Plan
Switch Systematic
Transfer Plan
Note : Distributor can accept and data capture the requests under his ARN only.
Distributor Manual
6.1 KYC Registration (incidental to CAN creation)
This menu enables the distributors to data capture the KYC Registration Details of Investors who have submitted
a CAN Registration Form to create a Common Account Number (’CAN’) and are non-KYC compliant. The Investors
applying for CAN should be either already KYC compliant or should have applied for KYC Registration outside MFU
or should have submitted a KYC Registration Form along with the CAN Registration Form. Investors who are
already KYC compliant can submit the KYC acknowledgement along with the CAN Registration Form basis which
MFU system will check the KYC status of the Investor with the KRA using the PAN/PEKRN.
Independent KYC registrations will not be performed by MFU. Only KYC Registrations submitted along with a
CAN Registration Form will be allowed through MFU.
The distributor needs to capture following information in MFU system to complete the KYC registration process.
For ease of use, the required data inputs and the related sections are explained separately.
KYC Registration for Individuals

Permanent Account The applicant’s PAN as mentioned on the KYC Registration form for
1
Number (PAN)* Individuals
2 Name of Applicant* The applicant’s name as mentioned on the KYC form
3 Father's/Spouse's Name* The applicant’s father’s or spouse name as mentioned on the KYC form
4 Nationality* The applicants nationality as mentioned on the KYC form
5 UID (Aadhar) The applicant’s UID number (if provided) as mentioned on the KYC form
The applicant’s proof of identity that has been submitted along with the
6 Proof of Identity KYC form (Self attested photocopy of passport, driving license, voter’s
ID card etc.)
7 Gender* The applicant’s gender as mentioned on the KYC form
8 Marital Status* The applicant’s marital status as mentioned on the KYC form
9 Residential Status* The applicant’s residential status as mentioned on the KYC form
10 PAN Exempt The applicant’s PAN exempt status as mentioned in the KYC form
The exemption category which is applicable to the applicant as
11 PAN Exempt Category
mentioned in the KYC form
Automatically filled in by the system depending upon the PAN ID field.
12 PAN Copy
Will be “YES” if PAN is provided, else “NO”
13 Remarks Any additional remarks that the user may want to mention
*Mandatory fields
Distributor Manual
KYC Details to be updated
The Internal Reference Number generated upon saving the above details should be written on the KYC
registration form on the TOP RIGHT for future reference/retrieval purposes.
Distributor Manual
KYC Registration for Non-Individual Investors

1 PAN * The entity’s PAN as mentioned on the KYC form
Date of The date on incorporation of the entity as mentioned on the KYC
2
Incorporation* form
3 Name of Applicant* The entity’s name as appearing on the KYC form
Place of The place where the entity was incorporated as mentioned on the
4
Incorporation* KYC form
5 Entity Reg.No.* The registration number of entity as mentioned on the KYC form
The date on which the entity started functioning as mentioned on
Commencement
6 KYC form. For public limited companies it will be as per
Date*
certification of incorporation.
7 PAN Copy* Auto-populated as “YES”
The category under which the entity falls in the list as provided in
8 Entity Status*
the Entity Status menu
9 Entity Status Desc. If Entity status is other than the list of items displayed in the
Distributor Manual
dropdown, it has to be selected as “Others” and the details as
mentioned in the form by the Entity have to be captured here.
Registration for KYC Non Individual: Entity will submit the required documents to the distributor
(For list of documents Refer Annexure I). Distributor needs to update the requisite information as
per the above screen which in turn will be submitted to KRA.
The Internal Reference Number generated upon saving the above details should be written on the KYC
registration form on the TOP RIGHT for future reference/retrieval purposes.

1 PAN * The entity’s PAN as mentioned on the KYC form
2 Name of Applicant* The entity’s name as appearing on the PAN
3 DIN/UID* Director identification number/unique identification number
4 Relationship* The relationship of promoter with the investor
5 Political connection* Political connection of promoter
Distributor Manual
KYC Tracker
This window will enable the distributor to view all the KYC Registration Records created by the Distributor Users
and current status of the records.
The distributor can view the registration status, the list of documents submitted by the applicant and the last
date and time, when the respective record was modified.
Distributor Manual
The distributor can view all the KYC applications under his branch or
1 Branch Level
under his level
2 Category The distributor can view/search for KYC the applications category wise
The distributor can view/search for KYC applications based on their the
3 Registration Status
registration status
The distributor can view/search for KYC applications by their KYC
4 KYC Registration No.
registration number
The distributor can view/search for KYC applications by their PAN/PAN
5 PAN/PEKRN
Exempted KYC Registration Number (PEKRN).
For registrations pending approval, under detailed view, the details of the registration can be viewed. If a
scanned image is already available for the record, the same can be viewed by clicking the button as displayed in
the below screen:
Distributor Manual
6.2 CAN Registration
Individual CAN Registration

The applicant’s mode of holding as mentioned on the CAN form
1 Holding Type
(Single, Joint, Anyone or Survivor)
The Investor category as mentioned on the CAN form (Individual,
2 Investor Category
Minor or Sole-proprietor)
3 Residential Status The applicant’s residential status as mentioned on the CAN form
The applicants details as mentioned on the CAN form (Primary /
Account Holder
4 Secondary / Third holder details along with, PAN/PEKRN, name and
Details
the date of birth of the applicant)
CAN Registration for Individual: Individual will submit the required documents to the
distributor (For list of documents Refer Annexure II). Distributor has to update the requisite
information as defined above which in turn will be submitted to POS.
The UCRN generated upon capturing the CAN data should be written on the CAN registration form in the space
provided for future reference/retrieval purposes.
Distributor Manual
CAN Details to be updated (for Individual)
Distributor Manual
Non Individual CAN Registration
CAN Details to be updated (for Non individual)
Distributor Manual
Click here to save

check list
Click here to save

other detail
Click here to save

common detail
CAN Registration for Non Individual: Entity (Non Individuals) will submit the required documents to
the distributor (For list of documents Refer Annexure II). Distributor needs to update the requisite
information as defined as per above screen and it will be submitted to POS. Details Screen will
remain same as CAN registration for individual.
The UCRN generated upon capturing the CAN data should be written on the CAN registration form in the space
provided for future reference/retrieval purposes.
Distributor Manual
CAN Tracker
This window will enable the user to view all the applicants that have registered for CAN ID creation.
The user can view the registration status, the list of documents submitted by the applicant and the last time
when the applicant’s data was modified. User can save or modify the details entered till submission to POS.

1 Branch Level The distributor can view all the CAN applications branch wise
1. My Branch – Here user can view requests pertaining to his
branch only.
2. My Level – Here user can view requests pertaining to their
mapped branch.
2 Category The distributor can view/search for the CAN applications category
wise
3 The distributor can view/ search for CAN applications based on
Registration Status
their the registration status
4 CAN The distributor can view/ search for CAN applications by their CAN
5 PAN/PEKRN The distributor can view/ search for CAN applications by their
PAN/PEKRN
CAN Tracker: It will display all CAN registrations created through the distributor users with their
relevant status.
Distributor Manual
6.3 CAN Transaction
The details as mentioned in the transaction form will be captured in the respective fields required
under each transaction type. The GORN generated upon capturing the CAN transaction should be written on
the CAN Transaction form in the space provided for future reference/retrieval purposes.
Purchase

CAN Details
1 CAN* The CAN of the applicant
2 Application No. The application form number
If the applicant has ticked that he is a first time investor investing
3 New Investor
in mutual funds, the checkbox needs to be checked else left blank
ARN Details (AMFI Regn. Details)
The ARN Code of the main distributor. This will be auto-populated
1 ARN Code*
with the ARN code of the entity to which the user belongs to.
The name of the ARN Holder as available in the master will be
2 ARN Name
displayed here.
3 Sub Brk. ARN Code The ARN code of the Sub-broker/Agent
The name of the ARN holder (Sub-broker/Agent) as available in the
4 Sub Brk. ARN Name
master will be displayed here upon click of the ‘Validate’ button
The Sub Broker’s code (other than the ARN code) if mentioned on
5 Sub Brk. Code
the form
6 Branch / RM Code The branch/RM code as mentioned on the form
The Employee unique identification number code belonging to the
7 EUIN Code sales personnel who had advised the investment under the ARN of
the main distributor or the Sub broker/agent’s.
If Investor has not provided EUIN in the application form, unit
8 EUIN Declaration holder needs to sign a declaration to that effect which will be
captured by ticking this check box.
Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a
valid code linked to the respective ARN codes and auto-populate a suitable remark in the
transaction.
Payment Details
1 Payment Type* The mode of payment
The payment reference number (Instrument No./Online Reference
2 Payment Ref.No.*
No.)
3 Payment Date* The date of payment
4 Amount * Payment amount as per the payment instruction
5 Source Account Number* The account number from where the payment is made.
6 Account Type* Type of account (Savings, Current, etc.)
The MICR code of the branch where the source account is
7 MICR Code*
maintained
8 Bank Name The name of the bank where the account is maintained
9 Bank Branch The name of the branch where the source account is maintained
To be checked if the payment is from a third party and necessary
10 Third Party Declaration
declaration is attached to the payment
Will be displayed only when the Third Party declaration check box
is ticked and the relevant category under which the third party
11 Third Party Entity
entity falls in the list as provided in the third party entity menu
should be chosen
Where the payment mode is DD/PO/BC a declaration should be
12 DD/PO/BC Declaration submitted by the investor based on which this check box will be
checked.
Where the source account number cannot be identified from the
13 Proof for Source Debit A/c payment instrument, the investor has to provide a proof to
support that the payment is from an account belonging to him. In
Distributor Manual
such instances, this check box will be checked
From this link,

investor can
switch to folio
specific
transaction
(Refer Point
No. 6.4 for
folio
transactions)
Transaction Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for investment
2 Folio No./ITRN The folio number under which the investment is sought to be done
The name of the scheme in which investor wants to invest should be input.
The system will filter the schemes matching the input criteria for display and
3 Scheme*
selection. Where the scheme is not displayed based on input, the same can be
selected through the search option.
The option of “Payout” or “Reinvestment” of dividends under the Scheme as
4 Dividend Option*
requested by the investor
5 Amount* The amount chosen to be invested for the respective scheme by the investor.
The above fields will be repeated for each transaction block and the user shall capture the investment
details as many times as available in the form
6 Total Order Amount The sum of the amount invested in respective form.
The Total of all the investments and the payment amount should match except in case of payments
through DD / PO / BC where the difference can be attributed to the commission charges deducted
which should be within the DD charges limits set in the system.
Depository Account Details

If the investor has requested for credit of Units into his depository account this
1 Allot units in Demat
check box needs to be checked
Distributor Manual
2 Depository The depository name i.e. NSDL or CDSL as mentioned on the request form
3 Client ID Beneficiary’s Depository account number i.e. DPID & Client ID
Remarks
Any information/instruction that the user may want to communicate to the RTA
1 Remarks to RTA
related to the specific transaction
Any additional information/instruction that the user may want to communicate for
2 Internal remarks
their internal use.
Redeem

CAN Details
1 CAN* The applicant’s CAN as mentioned on the request form.
Transaction Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for redemption
The folio number of the AMC as mentioned on the request form or the transaction
2 Folio No./ ITRN* reference number of the positive transaction against which this redemption has to
be considered
3 Scheme* The name of the scheme from which the investor wants to redeem
4 Redeem Option* The option to redeem units / amounts i.e. by Units or Amount or All units.
5 Payout Details If bank account details are mentioned in the redemption form then user has to
Distributor Manual
tick on the check box i.e. “Payout Details” shown below to enter the bank details.
(the bank account number where redemption proceeds are required to be
credited)
Remarks
Any information/instruction that the user may want to communicate to the RTA related to
1 Remarks to RTA
the specific transaction
Any additional information/instruction that the user may want to communicate for their
2 Internal remarks
internal use.
Switch

CAN Details
The ARN Code of the main distributor. This will be auto-populated with the
1 ARN Code*
ARN code of the entity to which the user belongs to.
2 ARN Name The name of the ARN Holder as available in the master will be displayed here.
4 The name of the ARN holder (Sub-broker/Agent) as available in the master will
Sub Brk. ARN Name
be displayed here upon click of the ‘Validate’ button
5 Sub Brk. Code The Sub Broker’s code (other than the ARN code) if mentioned on the form
7 EUIN Code The Employee unique identification number code belonging to the sales
Distributor Manual
personnel who had advised the investment under the ARN of the main
distributor or the Sub broker/agent’s.
8 If Investor has not provided EUIN in the application form, unit holder needs to
EUIN Declaration sign a declaration to that effect which will be captured by ticking this check
box.
Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a valid
code linked to the respective ARN codes and auto-populate a suitable remark in the transaction.
Transaction Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for switching.
The folio number of the AMC as mentioned on the request form or the
2 Folio No./ITRN* transaction reference number of the positive transaction against which this
switch has to be considered
Switch Out The name of the scheme from which the investor wants to switch out units from.
3
Scheme*
4 Switch In Scheme* The name of the scheme to which the investor want to switch units into.
The option of “Payout” or “Reinvestment” of dividends under the Target Scheme
5 Dividend Option*
as requested by the investor
6 Switch By* Switch options available are in terms of all Units/Specific Amount/Specific Units.
Distributor Manual
Systematic Investment Plan (SIP)

CAN Details
1 CAN* The CAN of the applicant
3 If the applicant has ticked that he is a first time investor investing in mutual
New Investor
funds, the checkbox needs to be checked else left blank
1 The ARN Code of the main distributor. This will be auto-populated with the ARN
ARN Code*
code of the entity to which the user belongs to.
2 ARN Name The name of the ARN Holder as available in the master will be displayed here.
4 The name of the ARN holder (Sub-broker/Agent) as available in the master will be
Sub Brk. ARN Name
displayed here upon click of the ‘Validate’ button
7 The Employee unique identification number code belonging to the sales
EUIN Code personnel who had advised the investment under the ARN of the main distributor
or the Sub broker/agent’s.
8 If Investor has not provided EUIN in the application form, unit holder needs to
EUIN Declaration
sign a declaration to that effect which will be captured by ticking this check box.
Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a valid code
linked to the respective ARN codes and auto-populate a suitable remark in the transaction.
Payment Details for 1st instalment, if current dated only
2 Payment Ref.No.* The payment reference number (Instrument No./Online Reference No.)
The account number from where the payment is made.
5 Source Account Number*
7 MICR Code* The MICR code of the branch where the source account is maintained
To be checked if the payment is from a third party and necessary declaration is
attached to the payment
Will be displayed only when the Third Party declaration check box is ticked and
11 Third Party Entity the relevant category under which the third party entity falls in the list as
provided in the third party entity menu should be chosen
Where the payment mode is DD/PO/BC a declaration should be submitted by the
12 DD/PO/BC Declaration
investor based on which this check box will be checked.
Where the source account number cannot be identified from the payment
Proof for Source Debit instrument, the investor has to provide a proof to support that the payment is
13
A/c from an account belonging to him. In such instances, this check box will be
checked
Distributor Manual
Transaction Details
The name of the fund/ Asset Management Company where investor
1 Fund (AMC) Name*
wants to invest.
2 Folio No./ITRN The folio number of the AMC as mentioned on the request form
3 Scheme* The name of the scheme in which investor wants to invest
4 Dividend Option* requested by the investor
5 Frequency* The Frequency in which the investor wants the SIP to be processed
The date on which the investor wants the SIP to be processed within
6 Installment Date/Day*
the above specified frequency
7 Start Date* SIP request starting date
8 End Date SIP request ending date
The above fields will be repeated for each transaction block and the user shall capture the investment details as
many times as available in the form
10 Total Order Amount
wants to invest.
The Total of all the investments and the payment amount should match except in case of payments through DD
/ PO / BC where the difference can be attributed to the commission charges deducted which should be within
the DD charges limits set in the system.
Distributor Manual
SIP Mandate Registration Details
Regn. Bank The account number from where the payment is made.
2
Account Number*
4 MICR Code* The MICR code of the bank having account
5 Bank Name The name of the bank having the account
6 Bank Branch The Branch of the account
Proof of cheque / standing instructions.

7 Proof Received

Remarks
1 Remarks to RTA
Any additional information/instruction that the user may want to communicate
2 Internal remarks
for their internal use.
Systematic Transfer Plan (STP)
Sr. Information Description

No.
CAN Details
The ARN Code of the main distributor. This will be auto-populated
1 ARN Code*
with the ARN code of the entity to which the user belongs to.
2 The name of the ARN Holder as available in the master will be
ARN Name
displayed here.
4 Sub Brk. ARN Name The name of the ARN holder (Sub-broker/Agent) as available in the
Distributor Manual
master will be displayed here upon click of the ‘Validate’ button
The Sub Broker’s code (other than the ARN code) if mentioned on the
5 Sub Brk. Code
form
7 The Employee unique identification number code belonging to the
EUIN Code sales personnel who had advised the investment under the ARN of
the main distributor or the Sub broker/agent’s.
8 If Investor has not provided EUIN in the application form, unit holder
EUIN Declaration needs to sign a declaration to that effect which will be captured by
ticking this check box.
Transaction Details
The name of the fund/ Asset Management Company where
1 Fund (AMC) Name*
investor intends to transfer the units.
The folio number of the AMC as mentioned on the request
2 Folio No./ ITRN* form or the transaction reference number of the positive transaction
against which this STP has to be considered
3 STP Out Scheme* The name of the scheme the investor wants the STP-Out
STP In Scheme* The name of the scheme the investor wants the STP-In
The option of “Payout” or “Reinvestment” of dividends under the
4 Dividend Option*
Scheme as requested by the investor
5 STP Option* It can be fixed or variable as chosen by the investor
Amount (transfer amount) to be invested with the scheme by
6 Amount**
the Investor in case of Fixed Option
7 Frequency* Periodicity of STP Instalment
8 Installment Date/Day* Date/day of STP instalment
9 Start Date* STP request starting date
10 End Date STP request ending date
Distributor Manual
Remarks
Any information/instruction that the user may want to communicate to
1 Remarks to RTA
the RTA related to the specific transaction
Any additional information/instruction that the user may want to
2 Internal remarks
communicate for their internal use.
Systematic Withdrawal Plan (SWP)

No.
CAN Details
1 CAN* The applicant’s CAN as mentioned on the request form
Transaction Details
The name of the fund/ Asset Management Company chosen for
1 Fund (AMC) Name*
withdrawal
2 Folio No./ ITRN transaction reference number of the positive transaction against which this SWP
has to be considered
The name of the scheme under which the investor wants to enroll the
3 Scheme*
SWP request
4 Withdrawal Option* The option chosen by the investor i.e. Fixed or Variable
5 Amount** The amount chosen for withdrawal in case of Fixed option
6 Frequency* Periodicity of SWP instalment
7 Installment Date/Day* Date/day of SWP instalment
8 Start Date* Request starting date
9 End Date Request ending date
Distributor Manual
Remarks
1 Remarks to RTA
2 Internal remarks
6.4 Folio Transactions
The details as mentioned in the transaction form will be captured in the respective fields required
under each transaction type The GORN generated upon capturing the transaction should be written on
the Transaction form in the space provided for future reference/retrieval purposes.
Folio Purchase
S. No. Information Description

Folio Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for investing.
2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form
Application Details
1 ARN Code*
2 The name of the ARN Holder as available in the master will be displayed
ARN Name
here.
4 The name of the ARN holder (Sub-broker/Agent) as available in the master
Sub Brk. ARN Name
will be displayed here upon click of the ‘Validate’ button
EUIN Code personnel who had advised the investment under the ARN of the main
8 If Investor has not provided EUIN in the application form, unit holder needs
EUIN Declaration to sign a declaration to that effect which will be captured by ticking this
check box.
code linked to the respective ARN codes and auto-populate a suitable remark in the transaction
Payment Details
Distributor Manual
Regn. Bank Account The account number from where the payment is made.
5
Number*
10 To be checked if the payment is from a third party and necessary declaration
Third Party Declaration
is attached to the payment
Will be displayed only when the Third Party declaration check box is ticked
11 Third Party Entity and the relevant category under which the third party entity falls in the list
as provided in the third party entity menu should be chosen
Where the payment mode is DD/PO/BC a declaration should be submitted
by the investor based on which this check box will be checked.
instrument, the investor has to provide a proof to support that the payment
13 Proof for Source Debit A/c
is from an account belonging to him. In such instances, this check box will be
checked
Transaction Details
The name of the scheme in which investor wants to invest should be input. The
system will filter the schemes matching the input criteria for display and
1 Scheme*
selection. Where the scheme is not displayed based on input, the same can be
selected through the search option.
2 Dividend Option*
The above fields will be repeated for each transaction block and the user shall capture the investment
details as many times as available in the form
4 Total Order Amount The Total of all the investment amounts in the respective form.
The Total of all the investments and the payment amount should match except in case of payments
through DD / PO / BC where the difference can be attributed to the commission charges deducted which
should be within the DD charges limits set in the system.
Distributor Manual

Remarks
1 Remarks to RTA
2 Internal remarks
Folio Redemption

Folio Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for redemption
2 Folio No./ ITRN* transaction reference number of the positive transaction against which this
redemption has to be considered
Application Details
Transaction Details
3 Scheme* The name of the scheme from which the investor wants to redeem
Distributor Manual
4 Redeem Option* The option to redeem units / amounts i.e. by Units or Amount or All units.
If bank account details are mentioned in the redemption form then user has to
tick on the check box i.e. “Payout Details” shown below to enter the bank
5 Payout Details
details. (the bank account number where redemption proceeds are required to
be credited)
Remarks
1 Remarks to RTA
2 Internal remarks
Folio Switch

Folio Details
1 Fund (AMC) Name* The name of the fund/ Asset Management Company chosen for switching.
2 Folio No./ ITRN* transaction reference number of the positive transaction against which
this switch has to be considered
Application Details
The ARN Code of the main distributor. This will be auto-populated with
1 ARN Code*
the ARN code of the entity to which the user belongs to.
ARN Name
here.
Sub Brk. ARN Name
Distributor Manual
5 Sub Brk. Code
form
EUIN Declaration needs to sign a declaration to that effect which will be captured by ticking
this check box.
Upon clicking the “Validate” button the system shall verify whether the EUIN code mentioned is a
valid code linked to the respective ARN codes and auto-populate a suitable remark in the transaction.
Transaction Details
The name of the scheme from which the investor wants to switch out
1 Switch Out Scheme*
units from.
2 Switch In Scheme* The name of the scheme to which the investor want to switch units into.
The option of “Payout” or “Reinvestment” of dividends under the Target
3 Dividend Options*
Scheme as requested by the investor
4 Switch options available are in terms of all Units/Specific Amount/Specific
Switch By*
Units.

Distributor Manual
Remarks
1 Remarks to RTA
2 Internal remarks
Folio Systematic Investment Plan

Folio Details
1 Fund (AMC) Name*
wants to invest.
2 Folio No./ ITRN* The folio number of the AMC as mentioned on the request form
Application Details
1 ARN Code*
ARN Name
here.
Sub Brk. ARN Name
8 If Investor has not provided EUIN in the application form, unit holder needs
EUIN Declaration to sign a declaration to that effect which will be captured by ticking this
check box.
Payment Details for current dated 1st instalment
5 Source Account Number* The account number from where the payment is made.
Distributor Manual
To be checked if the payment is from a third party and necessary declaration
is attached to the payment
Will be displayed only when the Third Party declaration check box is ticked
11 Third Party Entity and the relevant category under which the third party entity falls in the list
as provided in the third party entity menu should be chosen
Where the payment mode is DD/PO/BC a declaration should be submitted
by the investor based on which this check box will be checked.
instrument, the investor has to provide a proof to support that the payment
13 Proof for Source Debit A/c
is from an account belonging to him. In such instances, this check box will be
checked
Transaction Details
1 Scheme* The name of the scheme in which investor wants to invest
2 Dividend option*
3 Frequency* The Frequency in which the investor wants the SIP to be processed
The date on which the investor wants the SIP to be processed within
4 Installment Date/Day*
the above specified frequency
5 Amount* The amount chosen to be invested for the respective scheme by the investor
The above fields will be repeated for each transaction block and the user shall capture the investment details
as many times as available in the form
6 Start Date* SIP request ending date
7 End Date SIP request starting date
8 Total Order Amount The Total of all the investment amounts in the respective form.
The Total of all the investments and the payment amount should match except in case of payments through
DD / PO / BC where the difference can be attributed to the commission charges deducted which should be
within the DD charges limits set in the system.
Distributor Manual
S. No. Information Description

SIP Mandate Registration Details
2
Regn. Bank The account number to be debited for SIP instalment payments.
Account Number*
4 MICR Code* The MICR code of the bank having account
5 Bank Name The name of the bank having the account
6 Bank Branch The Branch of the account
7 Proof Received Proof of cheque / standing instructions.
Allot units in If the investor has requested for credit of Units into his depository account this check box
1
Demat needs to be checked
Remarks
Any information/instruction that the user may want to communicate to the RTA related
1 Remarks to RTA
to the specific transaction
Any additional information/instruction that the user may want to communicate for their
2 Internal remarks
internal use.
Folio Systematic Transfer Plan

Folio Details
The name of the fund/ Asset Management Company where
1 Fund (AMC) Name*
investor intends to transfer the units.
The folio number of the AMC as mentioned on the request form or
2 Folio No./ ITRN* the transaction reference number of the positive transaction against
which this STP has to be considered
Application Details
1 The ARN Code of the main distributor. This will be auto-populated with the
ARN Code*
ARN Name
here.
Distributor Manual
Sub Brk. ARN Name
5 Sub Brk. Code
form
EUIN Declaration needs to sign a declaration to that effect which will be captured by ticking
this check box.
Transaction Details
1 STP Out Scheme* The name of the scheme the investor wants the STP-Out
2 STP In Scheme* The name of the scheme the investor wants the STP-In
The option of “Payout” or “Reinvestment” of dividends under the Scheme
3 Dividend option*
as requested by the investor
5 STP Option* It can be fixed or variable as chosen by the investor
Amount (transfer amount) to be invested with the scheme by the
6 Amount**
Investor in case of Fixed Option
7 Frequency* Periodicity of STP Instalment
8 Installment Date/Day* Date/day of STP instalment
9 Start Date* STP request starting date
10 End Date STP request ending date
Remarks
Any information/instruction that the user may want to communicate to the
1 Remarks to RTA
RTA related to the specific transaction
2 Internal remarks
Distributor Manual
Folio Systematic Withdrawal Plan

Folio Details
The name of the fund/ Asset Management Company chosen for
1 Fund (AMC) Name*
withdrawal
The folio number of the AMC as mentioned on the request form or
2 Folio No.* the transaction reference number of the positive transaction against
which this SWP has to be considered
Application Details
Transaction Details
The name of the scheme under which the investor wants to enroll
1 Scheme*
the SWP request
2 Withdrawal Option* The option chosen by the investor i.e. Fixed or Variable
3 Amount* The amount chosen for withdrawal in case of Fixed option
4 Frequency* Periodicity of SWP instalment
5 Installment Date/Day* Date/day of SWP instalment
6 Start Date* Request starting date
7 End Date Request ending date
Remarks
Any information/instruction that the user may want to communicate to
1 Remarks to RTA
the RTA related to the specific transaction
2 Internal remarks
Distributor Manual
7. Submission of physical documents
7.1 Flow of Physical documents from Distributors to POS – applicable to Option II
Investor will submit CAN/KYC registration and

transaction forms along with the required documents
to the distributor who will scan and data capture the
same in MFU system
Distributor may provide across the counter

acknowledgment to the investor. Distributor's
acknowledgement is only a temporary one and not a
confirmed acknowledgment and is not legally binding on
the AMC/MFU.
There will be a Batch creation module available to the

Distributor, on selecting the option the system will give a
listing of documents. The Distributor has to tick against each
document which he is submitting to the mapped POS, MFU
system will generate the Batch number along with the list,
which the distributor has to submit to the mapped POS.
Sends the original physical documents to the mapped POS

along with the run sheet
Mapped POS branch acknowledges the receipt of physical

documents and forward it to the POS HO (if any) with run
sheet
Distributor Manual
8. Transaction books
This menu will enable the user to view all the requests and their details, branch wise, scheme wise, referencing
them by their CAN or Folio number. This will also enable the user to view the status of the payment and see the
transaction’s timestamp.
8.1 Normal Order Book

Sr. No. Filters Description
1 Branch Level To view requests at branch level or the user level
2 Start Date Start date will be the date from which order book is to be viewed
3 End Date End date will be the date till the order book is to be viewed
Advanced Filters for which the orders have to be viewed Default filter will be “ALL”
1 Txn Type( Transaction Type)
2 Fund (AMC) Name
3 Scheme Category
4 Scheme Sub Category
5 Scheme Name A specific scheme name can be typed or selected through the Search
option
6 CAN A specific CAN to be mentioned or selected through the Search option
7 Folio No.
8 Group Order No.
9 Order Status
10 Payment mode
11 Payment Status
12 Timestamp Sorting This option lists all the request according to the date and time in
ascending or descending order
Distributor Manual
Distributor Manual
1. Export pdf file of

order details
2. Take print out of
order details
8.2 Systematic Order Book

Sr. No Filters Description
1 Txn Type
( Transaction Type)
2 Fund (AMC) Name
3 Scheme Category
5 Scheme Name A specific scheme name can be typed or selected through the Search
option
7 Folio No.
8 Group Order No.
9 Order Status
10 Payment mode
11 Payment Status
12 Timestamp sorting This option lists all the request according to the date and time in
ascending or descending order
Distributor Manual
8.3 Order Approval Book

This facility will only be available to Distributors who have chosen to perform the maker and checker levels for
the Registrations and Transactions being data captured by them.
Sr. No. Filters Description

1 Transaction Type
2 Fund (AMC) Name
3 Scheme Category
5 Scheme Name A specific scheme name can be typed or selected through the Search option
7 Folio No.
8 Group Order No.
9 Order Status
10 Payment mode
11 Payment Status
12 Timestamp sorting This option lists all the request according to the date and time in ascending
or descending order
Distributor Manual
Distributor Manual
9. Non Commercial Transactions (NC Transactions)

Distributors may receive Non-Commercial transactions from the Investors and scan and capture the same as part
of MFU system under their login. Currently, MFU system provides for the NCT types like Address Change, Bank
Mandate (Addition / Deletion), Depository Account (Addition / Deletion) and Power of Attorney (Registration /
Change). Post scan and data capture of the NCTs, the requests from the investors have to be submitted to the
mapped POS in the similar fashion followed for the Registrations & Commercial Transactions. The NCT requests
scanned and data captured by the distributors will be scrutinized / verified by MFUI back office users before
effecting the changes. The NCT Reference Number generated upon capturing the NCT data should be written on
the TOP RIGHT of the NCT request for future reference/retrieval purposes.
9.1 POA Registration/Change

An investor may give a request for POA Registration or Change pertaining to the given CAN. The Applicant has to
provide a duly signed request (as per the mode of holding) with the necessary POA documents duly notarized for
the Registration / Change.

1 CAN The applicant’s CAN
2 Start Date The start date of request
3 End Date The end date of request
4 Status The status of request
Upon clicking the menu, the following screen is displayed:-

CAN & POA Details
2 POA Option POA Marking or POS Revoking
3 PAN/PEKRN POA’s PAN/PEKRN
4 DOB/ Date of Incorporation Individual – DOB / Non Individual – Date of Incorporation
POA Details
1 In Favour of POA’ s Name as registered with KRA
2 KYC Status POA’s KYC status as per KRA
3 Address POA’s Address as registered with KRA
Remarks
1 Internal Remark Any additional information/instruction that the user may want to
communicate for their internal use
Distributor Manual
Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the
user to data caputre the details as listed above. Under POA Option there is a dropdown with options i.e. POA
Marking (Registration) or POA Revoking (Cancelation).
After entering the required infromation user can click on “Submit” button, the following screen will be displayed.
After clicking on the “OK” button, the following screen will be displayed.
1. Detailed View – To view / submit details of the POA transaction.

2. Cancel – To cancel the transaction.
3. Scan – Facilitates to scanning of all documents received from the Investor.
4. View – To view scanned documents.
5. Submit To MFU – To submit the Scan image to MFU Server.
Scan: Under the options available, the user has to scan the request documents and upload to MFU Server.
Submit to MFU: After the user uploads the scan image, the user can click on the icon “Submit to MFU”
Detailed Views: Click on the “Detailed View” icon and the following screen will be displayed:
Distributor Manual
Upon clicking on submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the
record will be submitted to MFU.
Cancel: If the user clicks on the “Cancel” button, the following screen will be displayed. This option is provided
to the user to delete the request.
Confirm cancelled by clicking “Yes”. Else click “No” to go back to the main screen.
9.2 Depository Account Addition / Deletion

An investor may give a request to Add / Delete his Depository Details pertaining to the given CAN. The Applicant
has to provide a duly signed request (as per the mode of holding) with the required proof of documents for doing
the changes.

Distributor Manual

CAN Details
1 CAN Investor’s CAN
2 DP Event Provision of Addition and deletion option
DP Details
1 Depository ID Depository Account Details and Proof of Document/s
2 DP Client ID
3 DP Account Proof
Remarks
Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the user
to data caputre the details listed above, under DP Event there is a dropdown with options i.e. Add or Delete.
Distributor Manual

3. Scan – Facilitates to scanning of all documents received from the Investor..
Scan: Under the options available above the user has to scan the request documents and upload to MFU Server.
Detailed Views: Click on the “Detailed View” icon and the following screens are displayed:
Upon clicking on submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the
Distributor Manual
9.3 Address Change

An investor may give a request to change his address for a PAN / PEKRN provided he has a CAN available with
MFU. The Applicant has to provide a duly signed request with the required proof of documents for doing the
changes. The distributor can capture the address change request in the MFU system. MFU will facilitate sending
the change request to the KRA and upon confirmation from the KRA about the successful updation of the change,
MFU system will update the change under the CAN and inform the RTAs also.

1 PAN/PEKRN The applicant’s PAN/PEKRN

No.
PAN/PEKRN. Details
1 PAN/PEKRN. Applicants PAN / PEKRN
Address for Correspondence
1 Address Line 1* Applicants Address details as mentioned in the request
2 Address Line 2
3 Address Line 3
4 PIN Code*
5 Country*
6 State*
7 City*
8 Address Proof* Appropriate proof of documents submitted along with the request as
supporting document
Permanent / Overseas Address
1 Address Line 1* Applicants Address details as mentioned in the request
2 Address Line 2
3 Address Line 3
4 PIN Code*
5 Country*
6 State*
Distributor Manual
7 City*
8 Address Proof* Appropriate proof of documents submitted along with the request as
supporting document
Remark
Upon clicking on the “Add” button the following screen will be dislpayed as given below and will provide the user
to data caputre the address details.

3. Scan – Facilitates to scanning of all documents received from the Investor..
Distributor Manual
Upon clicking on Submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the
9.4 Bank Mandate Addition/Deletion

An investor may give a request to Add / Change / Delete his Bank Mandate pertaining to the given CAN. The
Applicant has to provide a duly signed request (as per the mode of holding) with the required proof of documents
for doing the changes.
Distributor Manual

CAN Details
1 CAN Applicants CAN Number
Add Bank
1 Account Number Bank Account Details
2 Account Type
3 MICR code
4 IFSC Code
5 Bank Name
6 Branch Name
7 Default Account By clicking on the option the previous default bank will be overwritten
with the current default bank.
8 Proof Type Appropriate proof of documents submitted along with the request as
supporting document
9 Dividend Payout Electronic / Physical
10 Redemption Payout Electronic / Physical
Change Default Bank Mandate
1 Account Number
2 Account Type
3 MICR code
4 IFSC Code
5 Bank Name
6 Branch Name
7 Default Account Assigning multiple default account is not permissible. Hence, user has
to unselect the existing account from default selection before
selecting the current one.
8 Proof Type Appropriate proof of documents submitted along with the request as
supporting document
9 Dividend Payout Electronic / Physical
10 Redemption Payout Electronic / Physical
Delete Bank
1 Account Number Deleting the default bank is not permissible till one of bank account is
2 Account Type assigned as default
Distributor Manual
3 MICR code
4 IFSC Code
5 Bank Name
6 Branch Name
Remark
Distributor Manual
2. Cancel – To cancel the transaction
3. Scan – Facilitates to scanning of all documents received from the Investor.
Upon clicking on Submit to MFU the below screen will be displayed. Once the user clicks on the “OK” button the
Distributor Manual
10. Deposit Slip

10.1 Slip Maintenance

1 Start Date* The date from which the inflow transactions have to be considered for
inclusion in the deposit slip
2 End Date* The date till which the inflow transactions have to be considered for
inclusion in the deposit slip
3 Scheme Category The scheme category (Equity, Debt, Cash, Interest and Invest) for which the
deposit slip has to be generated. More than one category can be selected at
a time
4 Amount Range The amount range as per pre-defined slab for which the deposit slip has to
be generated.
5 Deposit Mode The deposit mode as allocated by the system i.e. Transfer or CMS for which
the deposit slip has to be generated
6 Collection Bank and Branch The name of the mapped collection bank and branch for which the deposit
slip has to be generated
7 Bank Account Number The CMS code for under the collection bank and branch for which the
deposit slip has to be generated
Distributor Manual
10.2 Slip Book

1 Start Date* The date from which the deposit slips generated have to be
considered for display
2 End Date* The date till which the deposit slips generated to be considered for
display
3 Deposit Mode The deposit mode under which the deposit slip was generated
4 CMS Code The CMS code under which the deposit slip was generated
Distributor Manual
11 Report Generation
This function will enable the user to generate and view all the reports for analysis and keep a record of the
transactions
Transactions
 Processed - This report will generate transactions routed through MFU that are updated
post RTA processing with current status (including rejections)
 High value - This reports provides transaction report based on transaction value for the
given period.
 Unprocessed - This report will generate transactions capture in MFU showing the
current status of the transaction/s.
 SIP Registration Report - This reports displays the List of SIP Registrations done through
MFU during the period where the mandate has to be sent for Bank validation through
the Aggregator.
 SIP mandate reg. Status - This reports displays the List of SIP Registrations done through
MFU where the Mandate verification success/failure is pending for update from the
aggregator.
 Scan control report: This report will display the details for transactions attached with
scan image or transactions without scan image.
 Daily transaction summary - This reports displays the Summary of Daily MFU
transactions entity wise, Scheme wise, transaction type wise and scheme category wise.
 Transaction check - This report will provides transaction checklist for the given period.
Banking
 Deposit Acceptance Report: This report displays the List of MFU routed Inflow
transactions, with their deposit slip acceptance/rejection status at the Bank level.
 Credit Status Report: This report displays credit status of instruments for the
transactions routed through MFU.
 Pending DS Generation Report - This report displays the list of MFU routed inflow
transactions, where deposit slip is pending for generation at the Entity end.
 Delayed Deposit Report: This report displays the list of MFU routed inflow transaction -
where there is a T+1 delay or more days in cheque deposit at the Entity end
Distributor
 Broker Transaction Report – This report displays the list of transactions captured thru
the Broker during a day or for a specified period.
Billing
 Total Transaction Processed - This report displays the Summary of Entity wise /Total
Transaction processed count for cross verifications of Bills raised by the Entity.
Registration
 KYC Individual Summary – This report will provide the details of Individual KYC
registration done for a given period.
 CAN Individual Summary - This report will provide the details of Individual CAN
 CAN Non-Individual Summary - This report will provide the details of Non-individual
CAN registration done for a given period.
 KYC Non-Individual Summary - This report will provide the details of Non-Individual KYC
Deposit Slip
 This report will provide the user to generate bank wise deposit slip for a given period.
Distributor Manual
11.1 Transaction
Processed Transaction Report
Processed Transaction Report: This report will list the transactions routed through MFU and are updated
post RTA processing with their current status (including rejections). This will help the distributor to know
whether the transactions are processed or rejected by the RTA
High Value Transaction Report
High Value Transaction Report:. This report will list the transactions for and above a certain value as defined by
the User for the given period. This report will help the distributor to prioritize and pay attention towards the large
value transactions
Distributor Manual
Un-processed Transaction Report
Unprocessed Transaction Report: This report will generate transactions captured in MFU showing the current
status of the transaction/s which are pending approval by the mapped POS. The distributor may follow-up with
the mapped POS if required to expedite the approval
SIP Registration Report
SIP Registration Report: This report will generate list of SIP Registrations done through MFU during the period for
which the mandate has to be sent for Bank validation through the Aggregator. This report will help the distributor
to ensure the requisite mandate for SIP registration is available
SIP Mandate Registration Status
SIP Mandate Registration Status: This report will generate list of SIP Registrations done through MFU and the
Mandates submitted to the aggregator for verification with the investor’s banker along with the verification
status as success/failure. This will help the distributor to know whether the investor’s mandate registration has
been successful or not
Distributor Manual
Scan Control Report
Scan Control Report: This report will display the details for transactions attached with scan image or transactions
without scan image. This will help the distributors identify the records where documents are yet to be scanned
Daily Transaction Summary
Daily transaction Report: This reports displays the Summary of Daily MFU transactions entity wise, Scheme wise,
transaction type wise and scheme category wise. This will help distributors keep track of the number of
registrations and transactions routed by them through MFU system
Transaction Check List
Transaction Checklist: This report will provide transaction checklist for the given period. This will help
distributors to verify the data captured by them with the transaction document
Distributor Manual
11.2 Banking
Deposit Acceptance Report
Deposit Acceptance Report: This report displays the List of MFU routed Inflow transactions, along with their
deposit slip acceptance/rejection status at the Bank level. This will help distributors to know whether the
cheques sent by them for banking are accepted / rejected by the banker
Credit Status Report
Credit Status Report: This report displays credit status of instruments for the transactions routed through
MFU. This will help the distributors to know whether instruments provided by their customers are cleared or
not
Pending DS Generation Report
Pending DS (Deposit Slip) Generation Report: This report displays the list of MFU routed inflow transactions,
where deposit slip is pending for generation at the Entity end. This will help distributors at the HO or regional
level to monitor whether there are any cheques lying un-deposited at their branches
Distributor Manual
Delayed Deposit Report
Delayed Deposit Report: This option will generate the delayed deposit report in respect of no. of days delay
in deposit of physical payment instrument to the bank by the user for specific period as required. This will
help the distributors to monitor if there has been any delay in depositing the cheques by their branches
11.3 Distributor
Broker Transaction Report
Broker transaction Report: This report displays the list of transactions captured thru the Broker during a day
or for a specified period
11.4 Registration
KYC Individual – Registration Detail
KYC Individual – Registration Detail: This report will provide the details of Individual KYC
registration data captured for a given period. This will help the distributors to compare the
data captured by them with the original registration document
Distributor Manual
CAN Individual Detail
CAN Individual Detail: This report will provide the details of Individual CAN registration data
captured for a given period. This will help the distributors to compare the data captured by
them with the original registration document
CAN Non-Individual Detail
CAN Non-Individual Detail: This report will provide the details of Non-Individual CAN
registration data captured for a given period. This will help the distributors to compare the
data captured by them with the original registration document
KYC Non-Individual Detail
KYC Non-Individual Detail: This report will provide the details of Non-Individual KYC
registration data captured for a given period. This will help the distributors to compare the data
captured by them with the original registration document
Distributor Manual
11.5 Deposit Slip
HDFC / ICICI / Kotak / Axis - Deposit Slip
Deposit Slip: This module will help the user to generate bank wise deposit slip for a given
period.
12 Documents to be maintained, Daily dispatch process and Timelines
All the documents have to be data captured and scanned by the distributor on the same day. All the original
documents received by the distributor have to be submitted to the mapped POS by EOD along with the run sheet.
Where a transaction is data captured by the distributor and is electronically time-stamped in MFU system, the
distributor shall affix a RUBBER STAMP as “ELECTRONICALLY TIME-STAMPED TRANSACTION” on
the face of the transaction form to ensure that the POS does not physically time-stamp the transaction once
again.
Annexure I : Documents need to be submitted

Following is the list of documents related to KYC Registration (Individual and Non – Individual) :
1 Proof of Identity (POI): List of documents admissible as Proof of Identity:

i) PAN card with photograph. This is a mandatory requirement for all applicants except those who are
specifically exempt from obtaining PAN (listed in Section 3).
ii) Unique Identification Number (UID) (Aadhaar)/Passport/Voter ID card/Driving license.
iii) Identity card/ document with applicant’s Photo, issued by any of the following: Central/State
Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings,
Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities, Professional
Bodies such as ICAI, ICWAI, ICSI, Bar Council etc., to their Members; and Credit cards/Debit cards issued
by Banks.
Proof of Address (POA): List of documents admissible as Proof of Address

2
(*Documents having an expiry date should be valid on the date of submission)
i) Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving
License/Flat Maintenance bill/Insurance Copy.
ii) Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill - Not more than 3 months old
iii) Bank Account Statement/Passbook - Not more than 3 months old.
Distributor Manual
iv) Self-declaration by High Court and Supreme Court judges, giving the new address in respect of their own
accounts.
v) Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks /
Scheduled Co-Operative Bank / Multinational Foreign Banks / Gazetted Officer/ Notary public / Elected
representatives to the Legislative Assembly / Parliament / Documents issued by any Govt. or Statutory
Authority.
vi) Identity card/document with address, issued by any of the following: Central/State Government and its
Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial
Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as
ICAI, ICWAI, ICSI, Bar Council etc., to their Members.
vii) For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly
notarized and/or apostiled or consularised) that gives the registered address should be taken.
viii) The proof of address in the name of the spouse may be accepted.
Exemptions/clarifications to PAN
3
(*Sufficient documentary evidence in support of such claims to be collected)
i) In case of transactions undertaken on behalf of Central Government and/or State Government and by
officials appointed by Courts e.g. Official liquidator, Court receiver etc.
ii) Investors residing in the state of Sikkim.
iii) UN entities/multilateral agencies exempt from paying taxes/filing tax returns in India.
iv) SIP of Mutual Funds upto Rs. 50,000/- p.a.
v) In case of institutional clients, namely, FIIs, MFs, VCFs, FVCIs, Scheduled Commercial Banks, Multilateral
and Bilateral Development Financial Institutions, State Industrial Development Corporations, Insurance
Companies registered with IRDA and Public Financial Institution as defined under section 4A of the
Companies Act, 1956, Custodians shall verify the PAN card details with the original PAN card and provide
duly certified copies of such verified PAN details to the intermediary.
Distributor Manual
In case of Non-Individuals, additional documents to be obtained from non-individuals, over & above
4
the POI & POA, as mentioned below
Sr.
Types of entity Documentary requirements
No.
1 Corporate i) Copy of the balance sheets for the last 2 financial years (to be submitted
every year)
ii) Copy of latest share holding pattern including list of all those holding control,
either directly or indirectly, in the company in terms of SEBI takeover
Regulations, duly certified by the company secretary / whole time director /
MD (to be submitted every year)
iii) Photograph, POI, POA, PAN and DIN numbers of whole time directors/two
directors in charge of day to day operations
iv) Photograph, POI, POA, PAN of individual promoters holding control – either
directly or indirectly
v) Copies of the Memorandum and Articles of Association and certificate of
incorporation
vi) Copy of the Board Resolution for investment in securities market
vii) Authorised signatories list with specimen signatures
2 Partnership firm i) Copy of the balance sheets for the last 2 financial years (to be submitted
every year)
ii) Certificate of registration (for registered partnership firms only)
iii) Copy of partnership deed
iv) Authorised signatories list with specimen signatures
v) Photograph, POI, POA, PAN of Partners
3 Trust i) Copy of the balance sheets for the last 2 financial years (to be submitted
every year)
ii) Certificate of registration (for registered trust only). Copy of Trust deed
iii) List of trustees certified by managing trustees/CA
iv) Photograph, POI, POA, PAN of Trustees
4 HUF i) PAN of HUF

ii) Deed of declaration of HUF / List of coparceners
iii) Bank pass-book/bank statement in the name of HUF
iv) Photograph, POI, POA, PAN of Karta.
5 Unincorporated i) Proof of Existence/Constitution document

Association or a ii) Resolution of the managing body & Power of Attorney granted to transact
body of individuals business on its behalf
iii) Authorized signatories list with specimen signatures
Banks/Institutional i) Copy of the constitution/registration or annual report/balance sheet for the

6 Investors last 2 financial years
ii) Authorized signatories list with specimen signatures
7 Foreign i) Copy of SEBI registration certificate
Institutional ii) Authorized signatories list with specimen signatures
Investors (FII)
8 Army/Government i) Self-certification on letterhead
Bodies ii) Authorized signatories list with specimen signatures
Distributor Manual
9 Registered Society i) Copy of Registration Certificate under Societies Registration Act
ii) List of Managing Committee members
iii) Committee resolution for persons authorised to act as authorised signatories
with specimen signatures
iv) True copy of Society Rules and Bye Laws certified by the Chairman/Secretary
Annexure II : Documents need to be submitted
Appended below is the list of documents required for CAN Registration (Individual and Non – Individual) :
(A) INDIVIDUAL CAN
Individuals need to submit necessary documentary evidence as listed below (duly attested or certified true
copies) for the information provided in the respective sections of the CAN Registration Form.
1. PAN proof
2. Proof of KYC
3. Proof of Date of Birth
4. Proof of Bank Account for Bank Mandates registered under the CAN
5. Proof of Depository Account for Depository accounts registered under the CAN
6. Proof of Guardian relationship (in case of Minor applicants)
(B) NON – INDIVIDUAL CAN
Non – Individuals need to submit necessary documentary evidence as listed below (duly attested or certified
true copies) for the information provided in the respective sections of the CAN Registration Form.
1. PAN proof
2. Proof of KYC
3. Board Resolution
4. Authorized Signatory List
5. Proof of Bank Account for Bank Mandates registered under the CAN
6. Proof of Depository Account for Depository accounts registered under the CAN.
Important Aspects
i) Self-Attested copy of PAN card is mandatory for all clients
ii) Copies of all the documents submitted by the applicant should be self-attested and
accompanied by originals for verification. In case the original of any document is not produced
for verification, then the copies should be properly attested by entities authorized for attesting
the documents, as per the list mentioned in the Annexure I as above.
iii) If any proof of identity or address is in a foreign language, then translation into English is
required
iv) Name & address of the applicant mentioned on the KYC form, should match with the
documentary proof submitted.
Distributor Manual
v) If correspondence & permanent address are different, then proofs for both have to be
submitted
vi) Sole proprietor must make the application in his individual name & capacity
vii) For non-residents and foreign nationals (allowed to trade subject to RBI and FEMA guidelines),
copy of passport/ PIO Card/ OCI Card and overseas address proof is mandatory.
viii) For foreign entities, CIN is optional; and in the absence of DIN no. for the directors, their
passport copy should be given
ix) In case of Merchant Navy NRI’s, Mariner’s declaration or certified copy of CDC (Continuous
Discharge Certificate) is to be submitted.
x) For opening an account with Depository participant or Mutual Fund, photocopy of the School
Leaving Certificate/Mark sheet issued by Higher Secondary
Board/Passport of Minor/Birth Certificate must be provided
xi) Politically Exposed Persons (PEP) are defined as individuals who are or have been entrusted
with prominent public functions in a foreign country, e.g., Heads of States or of Governments,
senior politicians, senior Government/judicial/military officers, senior executives of state
owned corporations, important political party officials, etc.

Distributor Manual

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Distributor Manual

Uploaded by

Copyright:

Available Formats

ARN DISTRIBUTOR MANUAL

MF Utilities India Private Limited

(A manual for distributors signing up with MFUI)

Particulars Name Designation Date Signature

Document Revision or Amendment Records

Abbreviations used in the Distributor Manual

Abbreviation Full Form Abbreviation Full Form Abbreviation Full Form

AMFI Association of Mutual ARN AMFI Registration CAN Common Account

Browse/view the information

Submit the information

Reset the information

Submit the information to POS

Search the details

Reset the information

Check box (tick)

Cancel the request

Modify the order

Approve the order

Reject the order

View next order

2. Technical Support Section

• Submission of Sign-up form and mandatory documents to MFUI

• Creation of User ID and sharing the same with the distributor

3.1 Distributor signing-up form

3.2 Documents to be submitted for sign-up

3.3 Distributor Terms and Conditions

3.4.1 Functions and Time Stamp features for Distributor Categories

Distributor Functions available Time Stamp Applicability

3.4.2 Facility of scanning rights for various category of distributors

Every Distributor, as per

A2 - Basic Access, Data

3.5 Distributor back office master set up process

3.5.2 Type of Distributor’s Branches

3.6 Allocation of MFU System - User ID

S.No. Tab Name Description

S.No. Tab Name Description

3.9 Distributor Maintenance

This menu provides the following options:

S.No. Tab Name Description

The following screen will be displayed:

1. View – To view details of the branch.

All changes to a master record needs an approval from another Administrator

II – MFU Collection Bank Branch Mapping

3.10 User Management

S.No. Tab Name Description

After adding the user details, click on save button.

Click on “Approve” button to approve or “Reject” button to reject.

Sr. No. Options Description

4.3 CAN Transaction

S.No. Tab Name Description

4.4 Folio Transaction

S.No. Tab Name Description

4.5 Transaction Books

S.No. Tab Name Description

S.No. Tab Name Description

S.No. Tab Name Description

4.8 Deposit Slip

S.No. Tab Name Description

5.1 Scan Transaction

5.2 Transaction Scan Book

Sr. No. Information Description

5.3 Scan Registration

Sr. No. Information Description

5.4 Registration Scan Book