General Operational Guidelines on Unique Client Code

National Stock Exchange of India Limited

Circular

To All Members,

General Operational Guidelines on Unique Client Code (UCC)

The Exchange has from time to time, issued various circulars and communications prescribing the operational and compliance requirements relating to upload and modification of Unique Client Code (UCC) information in the Exchange systems. Members are advised to take note of the guidelines provided in this circular and ensure adherence to the prescribed requirements on a continuous basis.

The key operational instructions and compliance requirements are set out below for ease of reference and implementation.

1. Any modification in the client information should be immediately updated in the Exchange UCC database.

2. Members are advised to include Demat account details in the UCC modification file only when there is a change in the Demat account information. Submission of unchanged Demat details may result in re-verification by the Depositories and could impact the client’s Permitted to Trade status.

3. Members are required to ensure that the demat account details uploaded in the UCC database are as per the format provided below.

Further, Members are required to update the appropriate account as Primary.

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Continuation Sheet

4. Clients whose KYC records are not found to be valid by KRA, should be allowed to transact in securities market only after their KRA primary status is 'KRA Validated' or 'KRA Registered'. Further, it may be ensured that the KYC details of new clients are uploaded to the KRAs within prescribed time period.

5. In order to facilitate Members to reconcile their UCC data with the Exchange data, full file request facility is provided. Basis the data Members can update and synchronise the UCC details at their as well as at Exchange end.

6. Members are required to ensure that the Gross annual income details (where-ever applicable) of the client are updated in Exchange database at all times.

7. It may also be noted, that UCCs identified as compliant by the Exchange at 22.00 hrs. on the previous day shall be considered as permitted to trade for the next trading day.

8. The Exchange disseminates below mentioned files to Members. Members are requested to actively monitor these files and initiate action, if any.

• Permitted to Trade batch 1 and batch 2
• Not Permitted to Trade batch 1 and batch 2
• Mobile Number Revocation List
• Demat and Bank account verification status
• Report of the mandatory fields for all the UCC uploaded by the Member in the UCC system of the Exchange is being provided on weekly basis.

Updation of Client Status:

Members have a facility to modify the status of the client using the “Client Status” Module in UCI-Online.

It may be noted that with effect from July 24, 2026, the option to modify the client status through this module, from “Inactive” to “Active” is being discontinued.

In order to modify the status of a client from ‘Inactive’ to ‘Active’, the Members are requested to use the “Query Client” or the “New Client Bulk Upload” module available in UCI-Online. Alternatively, the Members can use the “Client Profiling API” to modify the status of a client from “Inactive” to “Active”.

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Continuation Sheet

However, this module shall be available for modification of client status from “Active” to “Inactive”, “Active” to “Close” & “Inactive” to “Close”.

Members are urged to exercise utmost care while modifying the client status.

Members are advised to take note of the above and comply.

For any queries or clarifications, Members may write to uci@nse.co.in

For and on behalf of National Stock Exchange of India Limited

Shanti Idnani Vice President