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Discrepancies in BO Account Verification

This document contains reports from an organization verifying various client account activities and documents for discrepancies, including demat requests, modifications, pledges, freezes, transfers, and transactions. Tables list client details and the date, reference number, and any discrepancies found for each activity reviewed. Procedures for account opening, document maintenance, user permissions, risk management, and regulatory requirements are also checked.

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Ketaki
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8 views21 pages

Discrepancies in BO Account Verification

This document contains reports from an organization verifying various client account activities and documents for discrepancies, including demat requests, modifications, pledges, freezes, transfers, and transactions. Tables list client details and the date, reference number, and any discrepancies found for each activity reviewed. Procedures for account opening, document maintenance, user permissions, risk management, and regulatory requirements are also checked.

Uploaded by

Ketaki
Copyright
© All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as XLSX, PDF, TXT or read online on Scribd

Sr No.

BO ID BO Name Status Acc Opn Date Remarks


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Name of the DP
Name of employee___________
Discrepancies observed on verfication of DIS
Page No.________
Sr. Mkt. type Date of DIS Slip BO ID
No. Execution No. Discrepencies observed
Name of The DP

Discrepancies observed in account modification Name of employee___________

Page No.________
Date of
Sr. modificatio Type of
No. n modification BO ID BO Name Discrepancies observed Backoffice
_________

___

KRA
SIC Stock Services

Discrepancies observed on verfication of Dematerialisation Request Form

Sr.
No. Date DRN DRF BO ID BO NAME
Name of employee___________

Page No.________

Discrepancies observed
No Discrepancies Observed
Name of The DP
Name of employee___________
Discrepancies observed on verfication of Demat Request Rejected
Page No.________
Sr.
No. Date DRF No. DRN No. BO ID BO Name Name of RTA Discrepancies Observed
Name of The DP
Name of employee:
____________
Discrepancies observed in verification of Transmission
Page No. _________
Sr
No Date BO ID BO Name Discrepencies observed
Name of The DP

Name of employee___________
Discrepancies observed on verfication of Pledge
Page No.________
Sr. Date of
No. pledge PSN No. BO ID BO Name Discrepencies observed
Name of The DP
Name of employee___________
Discrepancies observed on verfication of Unpledge request
Page No.________
Sr. Date of
No. Unpledge PSN No. BO ID BO Name Remarks
Name of The DP
Name of employee___________
Discrepancies observed on verfication of freeze
Page No.________
Sr. Date of
No. freeze BO ID BO Name Reason of Unfreeze Discrepancies Observed
Name of The DP
Name of employee___________
Discrepancies observed on verfication of Unfreeze request
Page No.________
Sr. Date of
No. Unfreeze BO ID BO Name Reason of Unfreeze Discrepancies Observed
Name of The DP
Name of employee___________
Discrepancies observed on verfication of Rematerialisation Request Form
Page No.________
Sr.
No. Date RRF Discrepancies observed
BO ID BO Name ISIN
Name of The DP
Name of employee: ____________
Discrepancies observed on verification of Transfer of A/C
Page No. _________
Sr
No Date BO ID BO Name Discrepencies observed
Completed Status Date
Account Opening
DIS
DRF (Register/Soft Copy)
DRF Rejection (Register/Soft Copy)
Modification (Register/Soft Copy)
Requisition Slip (Register/Soft Copy)
DIS stock inventory (Register/Soft Copy)
Pledge (Register/Soft Copy)
Unpledge (Register/Soft Copy)
Freeze
Unfreeze
Closure (Register/Soft Copy)
Transfer (Register/Soft Copy)
Transmission (Register/Soft Copy)
BO Obligtion
KRA
Training Register
DPU4/DPU5
Maker/Checker/Verifier ID
Income versus Transaction
NISM Certificate
Transaction Statement Monthly/Quarterly
Transaction Statement Physically (Once in a Year)
Income Updation/Risk Categorization
Reasons for Off Market Transactions in Backoffice
CKYC
BSDA
Nomination Register
POA Register

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