{"id":108673,"date":"2022-07-15T10:51:51","date_gmt":"2022-07-15T05:21:51","guid":{"rendered":"https:\/\/legalwindow.in\/?p=108673"},"modified":"2022-07-15T11:36:17","modified_gmt":"2022-07-15T06:06:17","slug":"sebi-kyc-registration-agency","status":"publish","type":"post","link":"https:\/\/www.legalwindow.in\/blog\/sebi-kyc-registration-agency\/","title":{"rendered":"Guidelines to SEBI KYC Registration Agency (KRA) Regulations, 2011"},"content":{"rendered":"<p><span style=\"font-weight: 400;\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-108676 size-full\" title=\"sebi kyc registration agency\" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1.png\" alt=\"sebi kyc registration agency\" width=\"1200\" height=\"630\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1.png 1200w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1-600x315.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1-300x158.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1-1024x538.png 1024w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Guidelines-to-SEBI-KYC-Registration-Agency-KRA-Regulations-2011-1-768x403.png 768w\" sizes=\"auto, (max-width: 1200px) 100vw, 1200px\" \/><br \/>\nKnow Your Customer, or KYC, allows banks and financial organisations to confirm the identification of their clients. As a first-time investor, you only need to complete this once. This post will educate you on the <\/span><span style=\"font-weight: 400;\">SEBI KYC Registration Agency (KRA) Regulations 2011<\/span><span style=\"font-weight: 400;\">.<\/span><\/p>\n<table style=\"width: 100%;\">\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>Table of Content<\/b><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Meaning\"><span style=\"font-weight: 400;\">Meaning of KYC<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Necessity\"><span style=\"font-weight: 400;\">Necessity of KYC<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Requirement\"><span style=\"font-weight: 400;\">Requirement of Documents for KYC\u00a0<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Available\"><span style=\"font-weight: 400;\">Available KYC Procedures<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Benefits\"><span style=\"font-weight: 400;\">Benefits of KYC Compliance<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#SEBI\"><span style=\"font-weight: 400;\">SEBI KYC Registration Agency (KRA) Regulations 2011<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Guideline\"><span style=\"font-weight: 400;\">Guidelines issued in response to the 2011 change to the SEBI KYC (Know Your Client) Registration Agency (KRA) Regulations<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Some\"><span style=\"font-weight: 400;\">Some additional Guidelines<\/span><\/a><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><a href=\"#Endnote\"><span style=\"font-weight: 400;\">Endnote<\/span><\/a><\/li>\n<\/ul>\n<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2 id=\"Meaning\"><b>Meaning of KYC<\/b><\/h2>\n<p><span id=\"Necessity\" style=\"font-weight: 400;\">Know Your Customer is a procedure in which a financial company verifies the identification of consumers and assesses their suitability, as well as the possibility of illegal objectives and actions. Money laundering is one of the most serious threats to a country&#8217;s economy. The government and financial institutions are constantly on the lookout for such unlawful activity. KYC requirements for banking or financial transactions are an excellent technique to prevent this.<\/span><\/p>\n<h2><b>Necessity of KYC<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">KYC&#8217;s major goal is to ensure that deposits\/investments are made in the name of a real person. It also aids in the reduction of black money. As a result, all mutual fund investors must follow the KYC procedure through a KYC Registration Agency (KRA). KRA, a SEBI-registered firm, stores investor data in a single database to which all fund companies and intermediaries have access.\u00a0<\/span><\/p>\n<p><span id=\"Requirement\" style=\"font-weight: 400;\">Most investors are familiar with the agencies CAMS, NSE, and KDMS. SEBI later announced a single Know Your Client methodology to ensure consistency and uniformity among SEBI-registered intermediaries. Portfolio managers, mutual fund firms, venture capital funds, and stockbrokers, among others, found it simple to prevent the duplication of KYC documents. This makes compliance easy for investors.<\/span><\/p>\n<h2><b>Requirement of Documents for KYC\u00a0<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Along with their Know Your Client application form and a passport-sized photograph, investors must submit the following documents:<\/span><\/p>\n<ul>\n<li aria-level=\"1\"><b>Identification Documentation: <\/b>PAN card, driving licence, copy of passport, voter ID, Aadhaar card, or bank photo passbook<\/li>\n<\/ul>\n<ul>\n<li id=\"Available\"><b>Address Proof: <\/b>Recent landline or mobile bill, power bill, passport copy, recent Demat account statement, most recent bank passbook, ration card, Voter ID, rental agreement, Driving License, or Aadhaar card<\/li>\n<\/ul>\n<h2><b>Available KYC Procedures<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">CDSL Ventures Limited has been recognised and authorised by the mutual fund industry to carry out the Know Your Customer procedure. You can finish the procedure either offline or online.<\/span><\/p>\n<h3><strong>Offline<\/strong><\/h3>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Fill out the KYC application form available on the CDSL Ventures website.\u00a0<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Sign and deliver a physical copy of the document to the authorities or intermediaries you desire to invest in mutual funds through.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Attach certified photocopies of ID and residency evidence, as well as a passport-size photo, to the form.<\/span><\/li>\n<\/ul>\n<h3><strong>Biometrics Based on Aadhar<\/strong><\/h3>\n<p><span id=\"Benefits\" style=\"font-weight: 400;\">If you have an <\/span><a href=\"https:\/\/legalwindow.in\/how-to-link-aadhaar-to-pan-card\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">Aadhaar card<\/span><\/a><span style=\"font-weight: 400;\">, you can choose Aadhaar-based KYC. You may request that an official from the fund house or agency come to your location to collect the information. Send a copy of your Aadhaar card to the fund house, broker, or distributor, and they will map your fingerprints on their scanner and connect it to the Aadhaar database. Your information will be shown in the database if the fingerprint matches that in the database. This signifies that they verified your identity before proceeding with your mutual fund investment.<\/span><\/p>\n<h2><b>Benefits of KYC Compliance<\/b><\/h2>\n<p><span id=\"SEBI\" style=\"font-weight: 400;\">The most major benefit of becoming KYC compliant is that you will never have to go through the KYC verification procedure again. It is a one-time process, and before you can invest in mutual funds in India, you must have completed your KYC verification. After being KYC compliant, you can invest in any mutual fund plan with any fund company. Being KYC compliant allows you to begin investing in mutual funds in just a few seconds.<\/span><\/p>\n<h2><b>SEBI KYC Registration Agency (KRA) Regulations 2011<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">KYC Registration Agency (KRA) is a <\/span><span style=\"font-weight: 400;\">company<\/span><span style=\"font-weight: 400;\"> formed and registered under the <a href=\"https:\/\/en.wikipedia.org\/wiki\/Companies_Act_2013\" target=\"_blank\" rel=\"noopener\">Companies Act, 2013<\/a>, and which has been issued a certificate of registration under these rules, and which is hence regarded to be an intermediary under the Act&#8217;s requirements. KYC&#8221; refers to the method established by the Board for identifying and confirming Proof of Address, Proof of Identity, and conformity with rules, regulations, guidelines, and circulars published from time to time by the Board or any other body for the Prevention of Money Laundering.<\/span><\/p>\n<table>\n<tbody>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>SR. No.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>Particular<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><b>Content<\/b><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>1.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">Application<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">Made to board in form specified under schedule II.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">REQUIREMENTS-\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Not include any mislead or false information, if any mislead information provided it shall be rejected provided opportunity of being heard granted. Before rejecting any application board may provide 30 day time period to remove any objections. FURNISHING OF INFORMATION, CLARIFICATION AND PERSONAL REPRESENTATION- If board require it may ask further clarification or information. CONSIDERATION OF APPLICATION FOR GRANT OF CERTIFICATE OF \u00a0REGISTRATION- Following conditions are to be satisfied for grant of certification-\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Applicant should be fit and proper person.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">\u00a0&#x2666; wholly owned subsidiary of a recognized stock exchange, having nation-wide network of trading terminals\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; wholly\u00a0 owned\u00a0 subsidiary\u00a0 of\u00a0 a\u00a0 depository\u00a0 or\u00a0 any\u00a0 other\u00a0 intermediary\u00a0 registered\u00a0 with\u00a0 the Board\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; wholly owned subsidiary of a Self-Regulatory Organization (SRO) registered under SEBI (Self-Regulatory Organization) Regulations, 2004\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Applicant shall have a net worth of at least Rs \u00a025 crore on a continuous basis. Grant of certificate of registration7- \u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">(1) The Board, once satisfied that applicant is eligible, shall send intimation to that effect to the applicant, for the grant of certificate of registration, and grant a certificate in the Form.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">(2) The certificate of registration granted under sub-regulation (1) shall be valid unless it is suspended or cancelled by the Board.]\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">(3) The grant of certificate of registration shall be subject to the payment of such fees.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">(4) The KRA shall immediately intimate the Board, details of changes that have taken place in the information that was submitted, while seeking registration.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">(5) Where the KRA proposes change in control, it shall obtain prior approval of the Board for continuing to act as such after the change.<\/span><\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>2.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">Functions and obligations of the KRA<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">&#x2666; Prepare the Operating Instructions in co-ordination with other KRA(s) and issue the same to implement.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Have electronic connectivity.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Have a secure data transmission link with other KRA(s) and with each intermediary that uploads the KYC documents on its system and relies upon its data.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Responsible for storing, safeguarding and retrieving the KYC documents and submit to the Board or any other statutory authority as and when required.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Carry out an independent validation.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Updated information shall be disseminate by the intermediary.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Sufficient back of electronic records to be placed so that records remain secured also prevent from unauthorised access.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Have\u00a0 adequate\u00a0 mechanisms\u00a0 for\u00a0 the\u00a0 purposes\u00a0 of\u00a0 reviewing,\u00a0 monitoring\u00a0 and evaluating its controls, systems, procedures and safeguards.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666; Appoint a compliance officer.<\/span><\/p>\n<p>&nbsp;<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>3.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">Sharing of KYC information in the financial sector-<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">&#x2666; access\u00a0 the\u00a0 system\u00a0 of\u00a0 KRA\u00a0 for\u00a0 undertaking\u00a0 KYC\u00a0 of\u00a0 their\u00a0 clients\u00a0 who engage them for financial services.\u00a0<\/span><\/p>\n<p><span style=\"font-weight: 400;\">&#x2666;\u00a0 system\u00a0 may\u00a0 be\u00a0 connected\u00a0 with\u00a0 any\u00a0 central\u00a0 KYC\u00a0 registry\u00a0 authorised\u00a0 by\u00a0 the Central\u00a0 Government for\u00a0 the\u00a0 purpose\u00a0 of\u00a0 collation\u00a0 and\u00a0 sharing\u00a0 of\u00a0 the\u00a0 KYC\u00a0 information\u00a0 in\u00a0 the financial sector.<\/span><span style=\"font-weight: 400;\"><br \/>\n<\/span><\/p>\n<p>&nbsp;<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>4.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">INSPECTION of KRA<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">Board\u00a0\u00a0 appoint\u00a0 one\u00a0 or\u00a0 more\u00a0 persons\u00a0 as\u00a0 inspecting\u00a0 authority\u00a0 to\u00a0 undertake inspection of the books of accounts, records, documents, infrastructure, systems and procedures, of a KRA, BOARD MAY INSPECT A KRA FOR THE FOLLOWING PURPOSES-<\/span><\/p>\n<p><span style=\"font-weight: 400;\">\u00a0<\/span><\/p>\n<p>&nbsp;<\/td>\n<\/tr>\n<tr>\n<td style=\"border: 1px solid #555;\"><b>5.<\/b><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">KRA TO ABIDE BY CODE OF CONDUCT<\/span><\/td>\n<td style=\"border: 1px solid #555;\"><span style=\"font-weight: 400;\">KRA holding a certificate of registration shall at all times abide by the Code of Conduct as specified in Schedule III of these regulations<\/span><\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h2 id=\"Guidelines\"><b>Guidelines issued in response to the 2011 change to the SEBI KYC (Know Your Client) Registration Agency (KRA) Regulations<\/b><\/h2>\n<p><span id=\"Some\" style=\"font-weight: 400;\">SEBI<\/span><span style=\"font-weight: 400;\"> provided recommendations to apply the SEBI KYC Registration Agency (KRA) Regulations, 2011, in its circular MIRSD\/Cir-26 \/2011 dated December 23, 2011. SEBI gave more guidance on this topic in Circular No. SEBI\/HO\/MIRSD\/DoP\/P\/CIR\/2022\/46. Dated- 06\/04\/2022.<\/span><\/p>\n<h2><b>Some additional Guidelines<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">Following are some of the additional Guidelines:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">KRA&#8217;s will continue to serve as the repository of KYC data in the securities market, and will be responsible for maintaining, preserving, and retrieving KYC papers and submitting them to the Board or any other statutory body as needed.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">KRA&#8217;s must independently check the records of clients (both existing and new) whose KYC has been completed using Aadhaar as an OVD. Clients who completed KYC using non-Aadhaar OVD would have their data confirmed only after getting their Aadhaar Number.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Develop systems\/mechanisms in cooperation with SEBI and in coordination with one another, and follow standard internal rules specifying components of KYC attribute identification and KYC validation procedures.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Inform the appropriate RI&#8217;s as soon as possible of any deficiencies\/inadequacies in the client&#8217;s KYC documentation.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Following successful completion of KYC validation, KRA will provide the customer a unique client identification known as a KRA identifier, which the client may use to create an account with any other intermediary.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">KYC records of new clients (who have used Aadhaar as an OVD) must be approved by KRAs within two days of receipt.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">KYC records for all existing clients (who utilised Aadhaar as an OVD) must be confirmed within 180 days of July 1, 2022.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">KRAs must notify the customer of the KRA identification within two working days of receiving KYC records by letter or email, and save proof of delivery.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">For non-Aadhaar KYC OVD, the KRA shall only maintain such records, which will not be approved by KRAs unless the client provides an Aadhaar number.<\/span><\/li>\n<li style=\"font-weight: 400;\" aria-level=\"1\"><span style=\"font-weight: 400;\">Validation of all KYC records (both new and current) will begin on July 1, 2022.<\/span><\/li>\n<\/ul>\n<h2 id=\"Endnote\"><b><a href=\"https:\/\/legalwindow.in\/contact\/\" target=\"_blank\" rel=\"noopener\"><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-108680 size-full\" title=\"Guidelines to SEBI KYC Registration Agency (KRA) Regulations, 2011\" src=\"https:\/\/legalwindow.in\/wp-content\/uploads\/Want-to-Know-More.png\" alt=\"Guidelines to SEBI KYC Registration Agency (KRA) Regulations, 2011\" width=\"1000\" height=\"200\" srcset=\"https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Want-to-Know-More.png 1000w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Want-to-Know-More-600x120.png 600w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Want-to-Know-More-300x60.png 300w, https:\/\/www.legalwindow.in\/blog\/wp-content\/uploads\/Want-to-Know-More-768x154.png 768w\" sizes=\"auto, (max-width: 1000px) 100vw, 1000px\" \/><\/a><br \/>\nEndnote<\/b><\/h2>\n<p><span style=\"font-weight: 400;\">This circular was published to safeguard the interests of securities investors, as well as to support the growth and regulation of the securities market. SEBI published the circular on 06-04-2022 in response to an amendment to the SEBI KYC Registration Agency Regulations, 2011, which stated that Clauses 9 and 13 will take effect from 01-07-2022.<\/span><\/p>\n<p><span style=\"font-weight: 400;\">Connect<\/span><span style=\"font-weight: 400;\"> to <\/span><a href=\"https:\/\/legalwindow.in\/\" target=\"_blank\" rel=\"noopener\"><span style=\"font-weight: 400;\">Legal Window<\/span><\/a><span style=\"font-weight: 400;\"> if you are facing any issue related to KYC Registration or in understanding Guidelines to SEBI KYC Registration Agency (KRA) Regulations, 2011. <\/span><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Know Your Customer, or KYC, allows banks and financial organisations to confirm the identification of their clients. As a first-time investor, you only need to complete this once.&hellip;<\/p>\n","protected":false},"author":3,"featured_media":108677,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1],"tags":[],"class_list":["post-108673","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-miscellaneous"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Guidelines to SEBI KYC Registration Agency (KRA) Regulations 2011<\/title>\n<meta name=\"description\" content=\"Guidelines to SEBI KYC Registration Agency (KRA) Regulations 2011. 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