Transcript Digital Record Management - HyperSoft Technologies Limited

Digital Record Management
(HyperKYC)
By
KYC for Financial Institutions
• A Financial Institution or Stock Broker has many
lines of service’s that it offers to its clients like
share trading, portfolio management, commodities
trading etc. for which various type of agreements
are created.
• Additionally the contracts of clients among other
documents need to be stored. These forms have to
stored and retained by the Broker as they are
subjected to audits by SEBI, CDSL, NSDL, etc
and auditors.
Digital Record Management for KYC
• HyperKYC not only records KYC data but also facilitate
to print/extract ,upload UCC data to exchange.
• Any branch located at any remote place in the country
can submit broker-client agreement form through
HyperKYC on the same day to Head Office.
• These forms include personal details, photograph,
signature and a client – broker agreement.
Features
 The system can be used in two modes:
• Scan and upload KYC documents and attachments
• Enter all the details of the KYC, then scan and upload the actual
documents- here the complete details of the KYC are entered
and information is verified for completeness of information.
This entry of the KYC has been found to be very useful in
verifying that all data is entered and prevents adverse remarks
during inspections.
• The software is web-enabled and the data can be entered /
scanned at remote branches and retrieved at the HO / anywhere
else based on the authority of the user.
SCAN MODULE
Click on Scan and Upload
Image Capture Flow
• Collect all the application forms once they have been approved
and a customer ID had been assigned to that client. The
application forms along with supporting documents are scanned
and saved in type of agreement wise e.g. DP, KYC , Area wise
shared folder in the DMS server with customer ID as the unique
identifier character as the file name.
• 2. Each application form, agreement and the supporting
documents will be considered as a single document and will be
stored as a multi page tiff image with a unique file name and single
index template.
• 3. These files will be scanned in HyperKYC with Customer ID,
Customer Name and Location. Additional indexing can be done
by means of integration, whereby the Brokers/DP ’s back end
system is integrated with HyperKYC to auto populate the fields in
the DMS.
Scanned Document
Application form with
all the other documents
received
Transferred to Shared
Folders
HyperKYC
DMS
Database
Enter/ Scan
Index to
HyperKYC
File Saved
With
Specific Name
Image Editor Window
Search Option to view Client details
Click on Client code to view uploaded Document
Files in PDF Format
Delete
Registration form, and Photograph
is uploaded
ADMIN MODULE
Admin Login (HO):
• After log in to admin, the admin users have rights to create, update, deactivate and activate
branch user admin and branch users. And also HO can add and delete bank master, DP
master, and State master.
User Login HO:
• Admin user can enter, extract and see all those records (client registration forms) entered by
different branch offices and users. He can have full rights to accept and reject those records
(client registration forms) at any time.
Branch Admin Login:
• Branch admin login can create new users, modify user, deactivate, and activate for his
branch and see all records entered by branch admin as well as branch admin users of
particular branch.
Branch User Login:
• After login as a particular branch user, user can enter records (Client registration forms) and
navigate to incomplete forms, completed forms, rejected forms, remarked forms, print
forms, add digital signature, digitally signed forms, scan and upload, view scanned pages,
HO modification status, and HO modifications.
User Login (for particular branch):
• After login as a particular branch user, user can enter records (Client registration forms) and
navigate to incomplete forms, completed forms, rejected forms, remarked forms, print
forms, add digital signature, digitally signed forms, scan and upload, view scanned pages,
HO modification status, and HO modifications.
HO Admin Login
Admin Login
Enter
User name & Password ‘HO’
Select Branch Office
Users
List
Admin Users List
Create User
Select
Branch Office Admin
Branch Office
Admin
Modify User
Login to HO Admin User
Features of Ho Admin Login
1) Option :Modify User:
•
This option is used to modify the head office, branch office admin user’s
permissions. The following drop down list box contains Head office and
branch office admin. Once you select any of the option either Head office and
branch office admin displays the selected
2) Option: De-activate Users:
•
In deactivate users feature you are going to deactivate Head office or branch
office, to do deactivate click on the Deactivate button, before doing de-activate
- select user type whether Head office users or Branch office users admin.
•
If you select any one of the user type, it is going to display all Head Office or
Branch Office list that are related to selected user type. Once I have selected
branch office – all branches are displayed. If I selected Head Office – all head
office lists are displayed.
3)Option : In-activate Users List:
•
In order to activate the deactivated users, select In-activate users list option.
After clicking on to Inactivate users list the following screen will be appeared.
From the following screen, select user type either Head office or Branch office
to view list of head offices or branch offices
Click on ‘ADD NEW BANK’
Bank
Master
DP MASTER
To Add New DP
State
Master
Option : Bank Master:
• To add new and existing banks use this option “Add New Bank”. Here Bank
name, Branch name, City, MICR number, IFSC Code and branch address
fields are available. This bank information can be available at Client
registration form on second page.
• Here you can Search / Edit / Delete Bank information by using Bank MICR
Number.
Option : DP Master:
• To add new DP and existing DP use this option “Add New DP”. Here DP
ID, DP Name, DP Address, Depository type fields are available. This DP
information can be available on Client registration form in KYC Application.
• Here also we can Search/ Edit/ Delete DP Master by using DP ID.
Option : STATE Master:
• To add new State and existing State use this option “State List”. Here State
details field is available. This state information can be available on Client
registration form in KYC Application. We can Edit/ Delete STATE Master.
HO User Login

Trading Client
In order to enter new client registration form for individual or non-individual
Trading Client
 In order to enter new client registration form for individual or non-individual. Trading
client registration form consists of 7 pages. Go through Page1 to page7. In page1
select offline client / online client and individual / non individual, fill the entire
information.
Each page consists of following details
 Page 1 : Client details
 Page 2 : Bank details
 Page 3 : Financial Details
 Page 4 : Brokerage Details
 Page 5 : Depository Account Details
 Page 6 : File Upload Details
 Page 7 : View Entire Details
 Page 7 displays the entire details of particular client. You can see and print forms
/report of that particular client by clicking on the view report button. You can see all
uploaded documents by clicking on the View scanned Pages button. If the yellow color
text is displayed then the client details are pending.
PAGE 7
Showing
Pending Details
• If you login with Head office and you are going to create branch user admin
then select User management and various permissions. Select User
management if and only if you are going to create sub users in your branch
office. After selecting permissions you need to click on the create button.
• After clicking on the create button your branch office user admin will be
created successfully. After that sign out the application and login with newly
created user name and password. By this username and password you can
select Login type. You can login either with User Login or Admin Login. If
you need to create new Sub – Users under your branch login with (Login
Type) Admin Login.
• Enter newly created user name and password to create sub – users in branch
office.
• Admin user can enter, extract and see all those records (client registration
forms) entered by different branch offices and users.
• Here we can Create, Modify, Deactivate and Inactivate users.
FUNCTIONAL REQUIREMENT
Hardware
• A regular server class machine is recommended to run the server
application with appropriate storage and backup device.
• Minimum Configuration: Pentium IV – 2.8 Ghz or higher
processor speed with 1 GB or more RAM, minimum 1 GB free
hard disc space on drive or partition where the server application
will be installed including 10MB of space required for empty
database. The database size will progressively increase with input
of metadata. The disk storage can be considered based on the
total volume of images to be archived.
Operating System
• Windows server/ Windows 2003 /Windows 2008
Tech. Support:
The software will be supported by our customer support
cell with the following methods.
• 1. Support over telephone, internet chat, messenger,
desktop sharing, etc.
• 2. More detailed support over E-Mail, wherein client
send us specific query along with attachments for reply.
• 3. Regular Updates and additions on the software from
our Support Cell.
Additional AMC for subsequent years will be @ 20% of
software cost. AMC support will be all online or
telephonic.
Contact HyperSoft
Hypersoft Technologies Ltd
28 Goyal Society, Moti Valley
Tirmulgherry
Secunderabad 500015
• Phone :040-27744754
• Phone: 040-27744413
• E-mail : [email protected]
• Web: www.hypersoftindia.net