National Stock Exchange of India Limited

NATIONAL STOCK EXCHANGE OF INDIA LIMITED

INVESTIGATION DEPARTMENT

CIRCULAR

Circular No. NSE/INVG/2002/3816

Download No. NSE/INVG/2002/3816 Date: December 20, 2002

Dear Members,

Sub: Unique Client Code – Modified Software Application – Version 3.00.

1. Capital Market segment

Further to our circular no. NSE/INVG/2002/3796 dated December 13, 2002, trading members may please note that the application software version 3.00 and the user manual arereleased and available in the path common\UCIapplication\VER3. Trading Members are required to upload the file with client details in /<TM Code>/UCIVER3/upld directory and the return files shall be provided to Trading Members in /<TM Code>/UCIVER3/dnld directory.

Members may kindly note that the segment indicator in the file for Capital Market segment shall be ‘C’ and the segment indicator in the file for the Future and Options segment shall be ‘F’.

Members are advised to ensure that client details, in respect of all the clients who have order value of Rs.1 lakh and above during quarter ended on June 30, 2002, and not uploaded so far, as per requirement, are to be uploaded to the Exchange on or before December 31, 2002. Trading facility of such members in the Capital Market segment, who fail to comply with the above requirement by December 31, 2002 will be withdrawn without further notice with effect from January 1, 2003.

2. Futures and Options segment

Members are requested to upload unique client code particulars for the quarter ended September 30, 2002 latest by January 15, 2003, using the modified application software.

The version 1.00 and version 2.00 currently available for members to upload data in respect of Unique Client Code will be available only till December 31, 2002. Members may please note that from January 1, 2003, version 3.00 being released today shall be the only version available for the purpose of uploading data in respect of Unique Client Code.

For and on behalf of National Stock Exchange of India Limited

Tapas Das

Manager

User Manual

Guidelines for using Unique Client Id Data entry Application

The Client Code application has been provided to facilitate trading members to maintain the details of the clients and provide it to the Exchange. This application will facilitate members in providing the unique client information to the Exchanges as mandated by Securities and Exchange Board of India.

This user manual is being provided to enable members to understand the features of the application create client data and provide the same to the Exchange.

The following annexures form part of the user manual: -

Annexure A

Hardware requirements for Client Code application

PI 200 MHz (Higher configurations of PII and PIII preferable)

64 MB RAM

60MB Disk Space

Software requirements for Client Code application

Windows NT with Service Pack 6 /Windows XP

• Office2000/Office XP

Annexure B

Installation Procedure

1. The executable for the application is provided in the extranet and internet. On extranet in the following directory – common\UCIapplication\VER3. The application software is “client_code.zip” file.
2. The name of the executable is client_code.mdb.
3. Members should install Microsoft® Access 2000 for using ‘client_code.zip’ application.
4. The application cannot be accessed through LAN. Multi-user access is denied.
5. Create a directory ‘clntcode_app’ in the ‘C’ drive and the executable should be extracted to this directory from the client_code.zip file. Members are required to note that version 1 and version 3 cannot simultaneously co-exist on the same PC.
6. The screen in the application has been designed for a desktop area with a resolution of 800 by 600 pixels. In case the resolution is different then the screen display may be different. Hence, members are advised to use the application with a resolution of 800 by 600 pixels.
7. Create a shortcut on the desktop to invoke this application and execute the application using the shortcut.

Annexure C

Screen Layout

On clicking the shortcut key the screen for start of application will be displayed:

Click on ‘LOGIN’ to continue in the application or to exit the application click on ‘QUIT’.

The screen to enter name and password will be displayed:

When logging in for the first time into the application enter the Member Code as well as the password as ‘NSE’.

Then the Screen to set the login name and the password is displayed.

Members are required to enter their 5-digit trading member code and a password. On all subsequent login the same trading member code and password must be used. The trading member code that is entered cannot be modified. After 180 days the user will have to necessarily change the password.

On successfully entering the password, the main screen which is a choice form containing the icons for performing the various functions of the application is displayed.

INSERT – Insert screen is displayed when the ‘INSERT’ icon is clicked. The insert screen allows the user to insert the client details for a client code, which has not been entered earlier in the database. The format of the screen is as under:

Note - Members cannot use the character pipe within a field. Further, leading spaces are not allowed in any of the fields.

a)To facilitate members to understand what each field represents the details are provided as Annexure ‘D’.

b)SAVE: ‘Save’ icon must be clicked to save the data .A prompt will be displayed ‘Do you really want to save the record Y/N?’ If ‘Y’ is specified the record is saved and the cursor moves on to the next record. If ‘N’ is specified the cursor remains in the same record.

c)CLEAR: Erases the details that have been entered in the various fields for the current record.

d)EXIT: To exit the screen, click on EXIT button. If some data is already entered, click on CLEAR button before clicking on EXIT.

The insert screen cannot be used for updating data that has been already entered in the application.

In the insert screen, use the following key functions to move from one field to other.

TAB – Forward Movement

Shift +TAB key – Reverse Movement

F2 – Edit data in a field

QUERY: Query screen is displayed when the ‘QUERY’ icon is clicked. Query screen allows user to query and update the existing records in the database. The format of the screen is as under.

a)Menu - QUERY OPTION :

To query any information in the database click on query option in the menu. To query on a specific field the user shall be required to place the cursor on the specific field and press Ctrl+F. On specifying the search string and pressing “Find Next”, data if any, for the values specified would be displayed.

A record can be updated after it is fetched by the query.

b)PREVIOUS: Allows viewing the previous record.

c)NEXT: Allows viewing the next record.

d)SAVE: If the data has been modified, ‘Save’ icon must be clicked to save the data .A prompt will be displayed ‘Do you really want to save the changes Y/N?’. If ‘Y’ is specified the record is saved. If ‘N’ is specified the cursor reverts back to the same record.

e)EXIT: Allows you to exit the screen. If the record has been modified but the same has not been saved, a prompt will be displayed ‘Do you really want to save the changes Y/N?’. If ‘Y’ is specified the record is saved and application exits the screen. If ‘N’ is specified the record is not saved and application exits the screen.

GENERATE INCREMENTAL FILE:

The incremental file is generated when ‘INCREMENTAL FILE’ icon is clicked. Incremental file has records which have been inserted or modified since the file was last generated. The file shall be generated in sequential batch numbers for a day i.e. everyday the batch number will start from 01 and so on. File naming convention is UCI_YYYYMMDD.Tnn. A message is displayed on the screen providing the name of the file generated. This file would be located in the directory C:\ clntcode_app.

GENERATE FULL FILE:

The full file is generated when ‘FULL FILE’ icon is clicked. Full file will have all the records in the database. The file will be generated in the sequential batch numbers for a day i.e. everyday the batch number will start from 01 and so on. File naming convention is UCI_YYYYMMDD.Tnn. A message is displayed on the screen providing the name of the file generated. This file would be located in the directory C:\ clntcode_app.

Note: The batch nos. for the files will be sequential irrespective of whether it is a full file or an incremental file, i.e. on a given day if a full file is generated first then the batch no. will be 01, and subsequently on the same day if an incremental file is generated the batch no. will be 02 or vice versa and so on.

CHANGE THE PASSWORD:

The member has an option to change the password if he desires. The format of the screen is as given below:

• The user shall be prompted to key in the old password.
• The old and new password shall not be allowed to be the same.
• The new password and confirm password must necessarily be the same.

EXIT

The ‘QUIT’ icon allows the user to exit the application.

Annexure D

Instructions for providing client details

1. Segment indicator:

A member must provide segment indicator for each of the clients. They are allowed to enter “C” or “F”. ‘C’ indicates cash market segment and ‘F’ indicates futures and options segment. This will indicate whether the client is trading in cash market segment or futures and options segment.

1. Unique Client Id:

A member must allot a unique client code for each of the clients. While members are free to choose the method of allotting client code, it is necessary to ensure that a unique client code is allotted for each of the clients. It is also to be noted that in case of sub-broker’s clients it is necessary for members to allot a unique client id for each of the sub-broker’s clients.

1. Client Name:

It is mandatory to provide the name of the client.The client name should be the full name i.e. surname, first name and middle name.

1. Category:

The member has an option to provide the category to which a client belongs. The list of valid categories is given below: -

1. Client Address:

It is mandatory to provide the complete address of the client.

1. Pincode:

Pincode may be specified by the member.

1. Telephone no:

The telephone number may be given, but if the telephone no. is specified complete telephone number along with ISD/STD code should be given for eg. 022 24912101.

1. Date of execution of client agreement:

The member has an option to specify the date of execution of the member constituent agreement with the client.

1. Date of Birth:

The member may specify the date of birth if the category of client is individual.

1. Bank name:

It is mandatory for the member to specify the bank in which the client has a bank account if information of ration card details is provided. For this purpose the main bank through which the client carries out operations with the trading member is to be given.

1. Bank branch address:

The bank branch address in which the client account is operated may be given. This field is mandatory for the members if the category of client is individual or others and if only ration card details is provided.

1. Bank account no:

The bank account number of the client may be given. This field is mandatory for the members if the category of client is individual or others and if only ration card details is provided.

1. Type of bank account:

The member has an option to give type of bank account of the client. The list of valid account types is given below: -

1. Depository ID:

The member has an option to give Depository id of the client. This field is mandatory for the members if the category of client is individual or others and if only ration card details is provided.

1. Depository Name:

The member has an option to give the name of the depository in which the client has a beneficial owner account. This field is mandatory for the members if the category of client is individual or others and if only ration card details is provided.For this purpose the main depository through with the client carries out operations is to be given. The valid values for the depository name are NSDL / CDSL.

1. Beneficiary account no:

The beneficial owner account number of the client may be given. This field is mandatory for the members if the category of client is individual or others and if only ration card details is provided.

1. Permanent Account Number (PAN):

Member is required to provide the Pan details of the client. This field is optional if any of passport details / driving license details / voter id no / ration card is given in case of individual / others category. For categories other than individual or others viz. body corporate, non-tax paying entity and mutual fund, PAN no is optional only if the registration details is given. This is mandatory if ward / range / circle number is mentioned. PAN allotted by the income tax department is to be given.

1. Ward /Circle /SpecialRange:

The ward/circle/special range allotted by the income tax department may be given. This is mandatory if PAN details are provided.

1. Details applicable for Individual and Others clients

The following details are required to be given in respect of individual clients and others where Permanent Account No. is not provided.

1. Passport No:

Member is required to provide the Passport number of the client. This field is optional if any of PAN / driving license / voter id / ration card given in case of individual and others category. This field is mandatory if passport place or date of issue of passport is provided.

1. Place of issue of Passport:

If the passport no is given, then the place of issue of the passport must be given.

1. Date of issue of Passport:

If the passport no is given, then the date of issue of passport must be given.

1. Driving License No:

Member is required to provide the driving license details of the client. This field is optional if any of PAN / passport no / voter id / ration card details are given in case of individual and other category. This field is mandatory if place or date of issue of driving license is provided.

1. Place of issue of Driving License:

If the driving license no is given, the place of issue of the driving license must be given.

1. Date of issue of Driving License:

If the driving license no is given, then the date of issue of driving license must be given.

1. Voter ID No:

Member is required to provide the voter id details of the client. This field is optional if any of PAN / driving license / passport / voter id / ration card details are given in case of individual and other category. This field is mandatory if place or date of issue of voter id is provided.

1. Place of issue of Voter ID:

If the voter ID is given, the place of issue of the voter ID must be given.

1. Date of issue of Voter ID:

If the voter ID is given, the date of issue of the voter ID must be given.

1. Ration Card no:

Member is required to provide the ration card details. This field is optional ifany of PAN / Passport details / Driving license details / voter id details are given in case of individual and others category. This field is mandatory if place and date of issue of ration card is provided. If ration card details are entered, then information on bank details and depository details shall also be mandatory.

1. Place of issue of ration card:

If ration card no is given, the place of issue of the ration card must be given.

1. Date of issue of ration card:

If ration card no is given, the date of issue of the ration card must be given.

1. Details applicable for non-individual clients (Body corporate, Mutual fund and Non tax paying entity)

The following details are required to be given in respect of non-individual clients where Permanent Account No. is not provided.

Registration No:

It is optional if the PAN is mentioned for body corporate, non tax paying entity and mutual fund categories. Mandatory if any of registering authority / place of registration / date of registration is provided by the member.

Place of registration:

It is mandatory field, if any of registration number / registering authority / date of registration is provided by the member.

Date of registration:

It is mandatory field, if any of registration number / registering authority / place of registration is provided by the member.

Registering Authority:

It is mandatory field, if any of registration number / place of registration / date of registration is provided by the member.

1. Introducer’s name:

The member has an option to specify, the name of the person who has introduced the client to the trading member, the introducers name should be in full - surname, first name and middle name.

1. Introducer’s client id:

The unique client id of the introducer may be given, if the introducer is already a registered as a client with the member.

1. Relationship with the Introducer:

It is optional to provide the relationship of the client with the introducer.

1. Any other account with member for any of the family members/associates:

If the client has any other account with the trading member for any of the family members/associates it may be indicated by ‘Y’ and if not it may be indicated by ‘N’.

1. Settlement mode for other account of family members / associate:

If the settlement mode for each of the unique client ids is carried out separately/independently of other family members / associate, this should be indicated as ‘I’. If the mode of settlement is joint, this should be indicated as ‘J’.

1. Client with other trading members:

If the client is registered and trading with any other trading member it may be given as ‘Y’, if not it must be given as ‘N’.