NSE INVEST Process Note

Getting Started:

UAT URL - https://nseinvestuat.nseindia.com/

Prod URL - https://www.nseinvest.com/

Members registered with NSE can login using the Member Id, Login Id, Password and Captcha.
In the event of Forgot Password, Members can utilise Forgot Password feature on Login screen.

How to create Client/Client Master:

It is recommended that Members should validate the KYC of the client before creating the UCC.

Members can create UCC from the below path: -

Path: Utilities > Bulk Upload

File Type: Client Master Common (MFI AND MFD) New

Members can refer this screen to create a client or Client Master in the system. Both .csv and .txt file
allowed with pipe (|) separated values. Member can refer sample files provided on screen for their
reference.

After uploading file, Member can see how many records processed successfully and how many are
failed. Member can also download the file pertaining to the failed records.

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Client registration

Menu: Masters > Client Registration

Member can use this report to view the list of clients registered on the platform.

Key details in the UCC are verified by the Exchange i.e. KYC status, Demat Account and Bank Account
In case, there is a failure in bank validation, then the member needs to upload the Bank proof of the
client and if in case there is a failure in Demat validation, the CML copy is required.

Settlement of Orders will be affected in case of failure in all the above cases. Members are advised to
provide the email id and mobile no registered with the RTAs while creating the UCC.

Client KYC Status Report

Menu: Reports> Client KYC Status Report

Member can view the status of KYC of their clients in this report.

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Cancelled Cheque Upload
Menu: Utilities > Client Cancel Cheque Upload

If bank verification fails, member must upload cancelled cheque or any bank proof image in .png,
.jpg, .jpeg with max. size of 2MB through their login. Once cancelled cheque copy is uploaded, the
same will be validated by NSE Ops team and if appropriate, the respective bank account will be
activated for transactions.

Additional Bank Details Upload

Menu: Utilities > Bulk Upload

File Type: Client Bank Upload

Member can upload additional/delete bank details against a Client/UCC. Both .csv and .txt file
allowed with pipe (|) separated values. Kindly import file without header. Member can refer sample
file provided on screen for their reference.

Once uploaded, Member can view and export the details of the banks added and the status of the
bank in the client registration report (Masters> Client registration).

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FATCA:

For an Individual client, Member needs to share the FATCA data to the exchange through bulk
upload.

Path: Utilities>> Bulk Upload>>FATCA Individual/ FATCA COMMON

For non-individual clients, along with FATCA data upload, the FATCA Image – UBO/NPO as applicable
is required

Member can upload the FATCA/UBO Declaration image in their Login

Path: Utilities>> FATCA Image Upload

FATCA Report

Member can view and export the list of clients whose FATCA is uploaded and the RTA status of the
same.

Path: Reports >> FATCA Report

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Both Digital and Physical onboarding of the client is available on the NSE Invest platform. Digital
onboarding is kept default.

Once the Non-demat Client is created by the Member and FATCA details are entered, Email/SMS
shall be triggered to the registered Email/Mobile no. in Client Master for authentication to all the
holders in the UCC.

Note: The UCC authentication link is valid for 5 days.

In digital onboarding, the client will have to authenticate the UCC with an OTP which he/she receives
on the registered email and mobile no. In physical onboarding, the Member must take the clients
signature on the Account Opening Form (AOF) and upload the same on the NSE Invest platform.

For non-individual clients, upload of AOF is mandatory along with the list of documents required by
the RTAs.

Client will have to open the link and verify the details mentioned in the UCC and authenticate the
same by One Time Password (OTP) triggered to the registered Email/Mobile No. in the UCC. Once the
client completes authentication, eLogs of authentication shall be captured.

The UCC authentication mail/SMS (eLog) is sent to all the holders in the UCC. It is mandatory for all
the holders in the UCC to authenticate.

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This eLog generated will supersede AOF document and Member will not be required to upload the
AOF document for the Client Master. Once the eLog authentication process is completed by all the
holders in Client Master, Member will be allowed to place order in non-Demat mode provided all
other validations are fulfilled by the Client. For Demat mode customer, uploading AOF and FATCA will
be required only if they wish to transact in non-demat mode. Also, UCC authentication email will not
be sent in such cases.

In case Client has not received the eLog mail, an option has been provided in member login to resend
the authentication link to the client for authentication.

Path: Reports >> Non Demat Client Authorization Report>> Resend

Note: UCC authentication email will trigger only after the successful upload of FATCA File.

Account Opening Form (AOF) Download:

Member needs to upload the AOF of the clients who do not have access to their mails and mobile no
to authenticate the client master data through eLog. Member can download the prefilled AOF and
take the signature of the client on the same and upload it on NSE Platform.

Path: Utilities>> AOF Download

AOF Image Upload:

Path: Utilities>> AOF Image Upload.

Image Upload Convention: Only .tiff, .tif, .jpeg and .pdf files are allowed with a size limit of 3MB.

In case of non-individuals, AOF to be uploaded with the documents required for that category as a
single file.

AOF Image Upload report

Member can check the status of the AOF uploaded in the report available.

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Path: Reports>>AOF Image Upload report

Member can start placing transactions post the client completes the onboarding process.

Please refer to the grid below for requirements of client onboarding.

UCC Client
Client Type Creation FATCA AOF Authorization
Demat ✓ ⮾* ⮾* ⮾
Individual Non Demat ✓ ✓ ✓** ✓**

Demat ✓ ⮾* ⮾* ⮾
Non-Individual Non Demat ✓ ✓ ✓ ⮾***

* For Demat mode customer, uploading AOF and FATCA will be required only if they wish to transact
in non-demat mode.
** Either AOF or Client Authorization (eLog) will be required
***Non-Individual clients do not receive the UCC Authorization links. Uploading of AOF with the
documents applicable is mandatory for non-individuals.

Non Demat Client Authorization Report

Member can view the authorization status of the client in this report. He can resend the Client
authorization link if the client says that he hasn’t received the same.

Path: Reports>>Non Demat Client Authorization report.

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 Transactions

How to place Fresh Purchase transaction

Path: Utilities > Bulk Upload

File Type: Order Entry

Member can place Purchase orders in the system. Both .csv and .txt file allowed with pipe (|)
separated values. Member can refer sample files provided on screen for their reference.

For Purchase:

After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

After uploading order file successfully for transactions, investor/s will receive an Email on their
registered mail ID and sms on their registered mobile no for authorisation. The authorization mail/
sms goes to all the holders in the UCC/Client Master.

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Investor needs to click on the “View & Authorize link” and then select the orders he wants to
authenticate. He then will have to select the mode of authorization.

Investor needs to select the authorization mode and generate the OTP for authorization. Investor
can use resend OTP option if the OTP was not received earlier.

In case of multiple holders in the UCC, the first holder can authorize and make the payment for the
purchase order. The order will go for processing only if all holders authorize the same.

First holder needs to select the orders for which he wants to make the payment and select the
payment mode.

Post successful payment, purchase order confirmation page comes on screen.

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Post successful payment by the client, he gets a confirmation mail and SMS for the same.

How to enter Additional Purchase transaction

Path: Utilities > Bulk Upload

File Type: Order Entry

Member can place Additional Purchase orders in the system. Both .csv and .txt file allowed with pipe
(|) separated values. Member can refer sample files provided on screen for their reference.

Note: In case of Additional purchase folio number is a mandatory field.

For additional purchase

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After uploading file, Member can view how many records are processed successfully and failed.
Member can also download the error records for failed records.

After uploading order file successfully for additional purchase transaction, investor (only first holder
in UCC) will receive an Email on his registered mail ID and sms on his registered mobile no for
authorization.

Investor (First Holder) needs to click on the “View & Authorize link” and then select the orders to
authenticate. Investor must select the mode of authorization.

Investor needs to select the authorization mode and generate the OTP for authorization. Investor
can resend the OTP if the same was not received earlier.

Post the authorization of order, the investor can make the payment for the purchase order. Investor
needs to select the orders for which he wants to make the payment and select the payment mode.

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Investor will be able to make payment only from the verified/valid bank account.

Post successful payment by the client, he gets a confirmation message on the screen where he
completed the authorization. Investor also receives mail and SMS for the Transaction authorization
confirmation.

How to enter Redemption transaction

Path: Utilities > Bulk Upload

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File Type: Order Entry

Member can place Redemption orders in the system. Both .csv and .txt file allowed with pipe (|)
separated values. Member can refer sample files provided on screen for their reference. The folio no
in which the redemption needs to be mentioned mandatorily.
For Redemption

After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

After uploading order file successfully for redemption transaction, investor (First Holder in UCC) will
receive an Email on his registered mail ID and sms on his registered mobile no for authorization.
Investor needs to select the orders he wants to authorize and select the mode of authorization.

Investor needs to generate the OTP and authorize the redemption. On successful authorization, the
investor gets the confirmation of the order on screen.

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The investor also gets the confirmation of the order on his mail and sms.

View Orders

Member Desk> Menu> View Orders

Member can view all orders present in system from this Menu. Also, Member can cancel orders from
this menu. Orders can be any order like Purchase, Redemption, Switch, SIP, XSIP, SWP, STP.

Also, Member can filter order from this screen as per AMC, Scheme Name, Scheme Code, Client
Code, Order IDs.

Member also has an option to resend the email to investor in case the investor has not received it.

Mandate Registration

Menu: XSIP > Mandate > Mandate Bulk Upload

Note: In Nach Mandate, the limit is up to 1 Cr. Per transaction and for Emandate limit is Min 10 lakh
to Max. 1 Cr (differ as per Bank, or as prescribed by NPCI from time to time)

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Mandate Registration (ACH Mandate)
Enter Mandate type= X For ACH mandate

Member can place Mandate Registration request in the system. Both .txt and .csv file allowed with
pipe (|) separated values. Kindly import file without header. Member can refer sample files provided
on screen for their reference.

After registering ACH Mandate / E-Mandate, Investor will receive email communication where all
details about registered Mandate will be mentioned.

The Investor will get the prefilled ACH Mandate form in the mail that he receives.

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NACH pre- filled Mandate Download

Member desk>Menu>XSIP>Mandate>NACH PRE-Filled ACH Download

After registering Mandate Member can download the prefilled Mandate form of the registered
mandate. He can then ask the customer to check the data on the mandate form and sign the same.
Member can upload that form in Member desk.

Note: The signature of the client should be as per Bank Records and in case of Joint holding it
should be in the same pattern as per Bank records.

Upload Scan Mandate –

Member desk>Menu>XSIP>Mandate> Upload Scan mandate

After downloading ACH Mandate form, Member needs to upload that form to Scan Mandate. In this
menu, Member can upload file as well as can check uploaded mandate files. Member can refer the
below screen to upload the mandate form files, after uploading that entry will get removed from the
record.

Post upload of signed mandate form, details are sent to the Service Provider. Service Provider will
check all details and provide unique UMRN no against the registered mandate. Post which Member
is eligible for registering XSIP for that client.

Mandate Registration (Emandate)

Menu: XSIP > Mandate > Mandate Bulk Upload

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Member can place Mandate Registration request in the system. Both .txt and .csv file allowed with
pipe (|) separated values. Kindly import file without header. Member can refer sample files provided
on screen for their reference.

Enter Mandate type= E For Emandate

After registering E Mandate by uploading file successfully, investor will receive email
communication where investor must confirm and authorise E-mandate by using Options like Aadhar
card, Net Banking, Debit Card.

Mandate Reports
Menu: XSIP> Mandate> Mandate Detailed Report

This report displays the current mandate status.

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How to register XSIP transaction
Menu: XSIP > XSIP Bulk Upload

File Type: XSIP Registration

Member can register XSIP orders in the system. Both .txt and .csv file allowed with pipe (|)
separated values. Kindly import file without header. Member can refer sample files provided on
screen for their reference.

Path: XSIP>>Bulk Upload – XSIP Registration

After uploading XSIP order file successfully investor will receive email communication for
authorisation of placed XSIP order.

If investor fails to authorise using link from email communication, the link will expire after 48 hours,
and the XSIP registration will be cancelled.

Here investor must authorise XSIP registration by clicking on View & Authorise link present in the
mail communication.

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After clicking on link, client will be redirected to page where he can authorise or reject XSIP Order.
The authorization link goes to all the holders in the UCC. The XSIP transaction goes for further
processing only after all the holders of that UCC authorizes the same.

Post successful authentication, investor (First holder in UCC) gets mail to make the payment for the
XSIP Order.

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Post successful payment, a confirmation mail is sent by Exchange to the investor.

The registered SIPs can be viewed by the member in the Registration report available.

How to Cancel XSIP transaction

Menu: XSIP > XSIP Bulk Upload File

Type: XSIP Cancellation

Member can upload file to cancel XSIP registration in the system. Both .txt and .csv file allowed with
pipe (|) separated values. Kindly import file without header. Member can refer sample files provided
on screen for their reference.

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After Successfully uploading file for XSIP cancellation, investor will receive email, where investor
must authorise that cancellation request which is initiated by investor by clicking on link given in
mail communication.

Investor to click on the link and select the XSIP Registration which he wants to cancel and then
select the mode of authorization and generate the OTP.

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Post successful authentication, the investor gets mail and sms with the Systematic Transaction
Cancellation Confirmation.

Various XSIP Reports

Menu: XSIP >>

➢ XSIP Reg. & Can. Report (Registration & Cancellation) = This report gives data of XSIP
registered till date and XSIP Cancelled till date. Member can also Export this report in Excel
and TXT format for their reference.

➢ XSIP Instalment Due Report = This report fetches the data of XSIP instalment due for future
dates based on From Date and To Date

➢ XSIP Matured Report = This report fetches the data of all those XSIP which are matured as
on today only. Future date is not allowed here.

➢ XSIP Missed Instalment Report = This report fetches data of all those XSIP and whose
instalment are not triggered/missed due to some business change. This report is fetched as
on today only. Future date is not allowed here.

Order Cancellation
Menu: Utilities > Bulk Upload

File Type: Order Cancellation

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Member can cancel orders in the system. Both .txt and .csv file allowed with pipe (|) separated
values. Kindly import file without header. Member can refer sample files provided on screen for
their reference.

Note: Cancellation of Orders cannot be done if the payment of the same is initiated.

Post successful upload of the Order cancellation file, investor will receive Email communication on
registered mail id notifying the cancellation of Order.

How to enter Switch transaction

Path: Utilities > Bulk Upload

File Type: Switch Order Entry

Member can place Switch orders in the system. Both .csv and .txt file allowed with pipe (|) separated
values. Member can refer sample files provided on screen for their reference. The folio no in which
the switch needs to be mentioned mandatorily.

After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

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After uploading switch order file successfully, investor (Primary Holder in UCC) will receive an Email
on his registered mail ID and sms on his registered mobile no for authorization.

Investor needs to click on the “View & Authorize link” and then select the orders he wants to
authenticate. He then will have to select the mode of authorization.

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The OTP will go to the registered mail id/mobile no or both as per the mode selected by him.

Post authentication, investor will get an order confirmation mail/sms too.

Switch Order Report

Path: Member Desk >>Menu>>Reports>>Switch Order Report

Member can view all switch orders present in system till date from this Menu. Member can filter
switch order from this screen as per Client Code/Name, AMC Name, From Scheme Name To
Scheme Name, From Date, To Date. Also, Member can Export this report in TXT or Excel format for
reference.

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How to register SWP
Menu: SWP > SWP Bulk Upload

File Type: SWP Registration

Member can place SWP orders in the system. Both .txt and .csv file allowed with pipe (|) separated
values. Kindly import file without header. Member can refer sample files provided on screen for
their reference.

After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

After uploading SWP order file successfully, investor (first holder in UCC) will receive an Email on his
registered mail ID and sms on his registered mobile no for authorization.

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Investor needs to click on the “View & Authorize link” and then select the orders he wants to
authenticate. He then will have to select the mode of authorization.

Investor needs to select the authorization mode and generate the OTP for authorization. He can
resend the OTP if he didn’t receive the same earlier.

How to Cancel SWP transaction

Menu: SWP > SWP Bulk Upload

File Type: SWP Cancellation

Member can cancel SWP orders in the system. Only .txt file allowed with pipe (|) separated values.
Kindly import file without header. Member can refer sample file provided on screen for their
reference.

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After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

Post successful upload of the cancellation file, investor gets an authorization mail for the same.

Investor will have to click on View and authorize to authorize the cancellation of the SWP Order.

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Investor will select the authentication mode and generate the OTP.

Investor gets the confirmation once the authentication is completed successfully.

Investor gets the confirmation mail and sms too once the authentication is completed successfully.

SWP Reports
Menu: SWP >>

➢ SWP Reg. & Can. Report = This report gives data of SWP registered till date and SWP
Cancelled till date. Member can also Export this report in Excel and TXT format for their
reference.

➢ SWP Instalment Due Report = This report fetches the data of SWP instalment due for future
dates based on From Date and To Date

➢ SWP Matured Report = This report fetches the data of all those SIP which are matured as on
today only. Future date is not allowed here.

How to enter STP transaction

Menu: STP > STP Bulk Upload

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File Type: STP Registration

Member can place STP orders in the system. Both .txt and .csv file allowed with pipe (|) separated
values. Kindly import file without header. Member can refer sample files provided on screen for
their reference.

After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

Investor needs to click on the “View & Authorize link” and then select the orders he wants to
authenticate. He then will have to select the mode of authorization.

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Investor generates the OTP for authorization. He can resend the OTP if he didn’t receive the same
earlier.

Post successful authorization, the investor gets a confirmation mail and SMS for Systematic
Transaction Authorization Confirmation

How to Cancel STP transaction

Menu: STP > STP Bulk Upload

File Type: STP Cancellation

Member can cancel STP orders in the system. Only .txt file allowed with pipe (|) separated values.
Kindly import file without header. Member can refer sample file provided on screen for their
reference.

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After uploading file, Member can view how many records are Processed Successfully and Failed.
Member can also download the error records for failed records.

Post successful upload of the cancellation file, investor gets an authorization mail for the same.

Investor will have to click on View and authorize to authorize the cancellation of the SWP Order. The
Authentication link will be going only to the 1st holder in the UCC.

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Investor needs to select the authorization mode and generate the OTP for authorization. He can
resend the OTP if he didn’t receive the same earlier.

On successful authentication, investor gets mail on confirmation of cancellation of the transaction.

STP Reports
Menu: STP >>

➢ STP Reg. & Can. Report = This report gives data of STP registered till date and SWP Cancelled
till date. Member can also Export this report in Excel and TXT format for their reference.

➢ STP Instalment Due Report = This report fetches the data of STP instalment due for future
dates based on From Date and To Date

➢ STP Matured Report = This report fetches the data of all those STP which are matured as on
today only. Future date is not allowed here.

Reports

➢ Provisional Order Report – (Member Desk>Menu>Reports>Provisional Order Report)

Member can view the number of orders of transactions for a specific period. Member can apply
filters as per requirement to generate reports. Member can also export this report in Excel and TXT
format for their reference.

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 ➢ Order Status report- (Member Desk>Menu>Report>Order Status Report)

Member can view the Status of Orders placed. Member can apply filters as per requirement to
generate reports. Member can also export this report in Excel and TXT format for their reference
Member can view the current status of the orders if they are approved or rejected by the AMC.

➢ Allotment Statement report- (Member Desk>Menu>Report> Allotment Statement

report)

Using this Allotment Statement Report Member can check the unit allotment of the
transactions. Member can apply filters as per requirement to generate reports. Member can
also export this report in Excel and TXT format for their reference.

➢ Redemption Statement report- (Member Desk>Menu>Report> Redemption Statement

report)

Member can check status of redemption orders after the same is processed by the RTAs.
Member can apply filters as per requirement to generate reports. Member can also export
this report in Excel and TXT format for their reference.

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➢ Redemption Payout date report- (Member Desk>Menu>Report> Redemption Payout
date report)

Member can check the redemption payout status of redemption orders. Member can apply
filters as per requirement to generate reports. Member can also export this report in Excel
and TXT format for their reference.

➢ Security Delivery and Shortage report- (Member Desk>Menu>Report> Security Delivery

and Shortage report)

Member can check Transaction Orders for whom units are allotted and yet to be allotted
and Shortage in units for specific Order. Member can also export this report in Excel and
TXT format for their reference.

➢ Refund report- (Member Desk>Menu>Report>Refund Report)

Member can check the refund status of invalid purchase orders. Member can apply filters as
per requirement to generate reports. Member can also export this report in Excel and TXT
format for their reference.

➢ Member Fund Allocation Order Wise Report Other Than PA (Member

Desk>Menu>Report> Member Fund Allocation Order Wise Report Other Than PA)

This report displays the allocation of funds order wise received through

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➢ 2FA Report (Member Desk>> Reports>>2FA Report)

Member can view the authorization details of all types of transactions.

➢ Order Lifecycle Report (Member Desk>>Reports>>Order Lifecycle

Report)

Member can view all the details of an order placed on NSE Invest

Platform.

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