Digital Record Management (HyperKYC)

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Digital Record Management(HyperKYC)

• By

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KYC for Financial Institutions

• A Financial Institution or Stock Broker has many
  lines of services 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.

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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.

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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.

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Click on Scan and Upload
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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.

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Image Capture Flow
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
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Image Editor Window
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Delete
Files in PDF Format
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Registration form, and Photograph is uploaded
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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.

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HO Admin Login
Admin Login Enter User name Password HO
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Select Branch Office
Users List
Admin Users List
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Select Branch Office Admin
Create User
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Branch Office Admin
Modify User
Login to HO Admin User
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Features of Ho Admin Login

• 1) Option Modify User
• This option is used to modify the head office,
  branch office admin users 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

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Click on ADD NEW BANK
Bank Master
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DP MASTER
Search / Edit / Delete DP
To Add New DP
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State Master
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• 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.

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HO User Login
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Trading Client
In order to enter new client registration form
for individual or non-individual
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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.

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PAGE 7
Showing Pending Details
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To Create Sub-users in Branch Office

• 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.

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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

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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 _at_ 20
  of software cost. AMC support will be all online
  or telephonic.

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Contact HyperSoft

• Hypersoft Technologies Ltd
• 28 Goyal Society, Moti Valley
• Tirmulgherry
• Secunderabad 500015
• Phone [phone]
• Phone [phone]
• E-mail sales_at_hypersoftindia.net
• Web www.hypersoftindia.net