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Home > FAQs > FAQs on Reporting Formats
Frequently Asked Questions on Reporting Formats
Whether reporting entity has to file report in manual or electronic format?
Reports can be filed either in manual or electronic format. However, a reporting entity must submit all reports to FIU-IND in electronic format if it has the technical capability to do so. The required technical capability is defined as follows:

    i)   A personal computer with 32 MB memory RAM, 800 x 600 VGA video display, Windows®     98/Me/NT/2000/XP; and

    ii)  An Internet connection.

It must be noted that every reporting entity has to ensure reporting by all its branches either in manual or electronic format. Thus, a reporting entity has to adopt only one format for all its branches.

 

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What are the forms in the manual format of Cash Transaction Report?
Cash Transaction Reports in manual format consists of following forms:
(i) Summary of Cash Transaction Reports
(ii) Cash Transaction Report
(iii) Annexure A- Individual Detail Sheet
(iv) Annexure B- Legal Person/ Entity Detail Sheet
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What are the forms in the manual format of Suspicious Transaction Report?
Suspicious Transaction Reports in manual format consists of following forms:
(i) Suspicious Transaction Report
(ii) Annexure A- Individual Detail Sheet
(iii) Annexure B- Legal Person/ Entity Detail Sheet
(iv) Annexure C- Account Detail Sheet
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What data files are required to be submitted in electronic reporting?
In case of electronic filing, the reporting formats consist of following six data files:
(i) ***CTL.txt Control File
(ii) ***BRC.txt Branch Data File
(iii) ***ACC.txt Account Data File
(iv) ***TRN.txt Transaction Data File
(v) ***INP.txt Individual Data File
(vi) ***LPE.txt Legal Person/Entity Data File
 
Note: The naming convention of the data files is as under
  *** Type of Report
(i) CBA CTR for a banking company
(ii) SBA STR for a banking company
(iii) CIN CTR for an intermediary
(iv) SIN STR for an intermediary
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How to submit electronic reports?
FIU-IND is in the process of developing technological infrastructure to enable submission of electronic return over a secure gateway. In the interim, the reporting entities exercising the electronic option should submit the following to Director, FIU-IND:
(i)  One CD containing six data files in prescribed data structure with a prescribed label.
(ii)  Each CD should be accompanied by prescribed manual form in physical form duly signed by the principal officer.
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How to submit data files if the size of data files exceeds the capacity of one CD?
In case the size of data files exceeds the capacity of one CD, the data files should be compressed by using Winzip 8.1 or ZipItFast 3.0 (or higher version) compression utility only to ensure quick and smooth acceptance of the file.

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What are the steps in preparation of data files?
(i) The records containing details of cash/suspicious transactions to be reported are extracted in Transaction Data File (***TRN.txt).
(ii) The records containing details of bank accounts containing the cash/suspicious transactions are extracted in Accounts Data File (***ACC.txt).
(iii) If the account is for Individuals, the records containing details of Individuals who are account holders are extracted in Individual Data File (***INP.txt). The Relation Flag should be set to “A”.
(iv) If the account is for a Legal Person /Entity, the records containing details of Legal Persons /Entities who are account holders are extracted in Legal Persons /Entities Data File (***LPE.txt). The Relation Flag should be set to “A”.
(v) If the account is for a Legal Person /Entity, the records containing details of Directors/ Partner/ Members etc. of Legal Persons /Entities are appended to Individual Data File (***INP.txt). The Relation Flag should be set to “C”.
(vi) The records containing details of authorised signatories if not an account holder are appended to Individual Data File (***INP.txt) or Legal Persons /Entities Data File (***LPE.txt) as the case may be. The Relation Flag should be set to “B”.
(vii) The records containing details of account introducers are appended to Individual Data File (***INP.txt) or Legal Persons /Entities Data File (***LPE.txt) as the case may be. The Relation Flag should be set to “D”.
(viii) The records containing details of account guarantors are appended to Individual Data File (***INP.txt) or Legal Persons /Entities Data File (C***LPE.txt) as the case may be. The Relation Flag should be set to “E”.
(ix) The records containing details of bank branches which have reported cash transactions are extracted in Branch Data File (***BRC.txt).
(x) The report level details and summary of other five tables is entered in Control file. (***CTL.txt).
 



            

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What are the steps in validation of data files?
(i) There should be six data files with appropriate naming convention.
(ii) The data files should be as per specified data structure and business rules.
(iii) None of the mandatory fields should be left blank.
(iv) In case of CTR, month and year of report should be same in all data files. In case of STR, date of report should be same in all data files.
(v) The summary figures in control file should match with the totals in other data files.
(vi) The primary key  integrity should be validated as under:
  a.       [Branch Reference Number/Code] should be unique in  Branch Data File (***BRC.txt)
  b.       [Branch Reference Number/Code + Account Number] should be unique in  Account Data File (***ACC.txt).
(vii)  The foreign key integrity should be validated as under:
  a.       All values of [Branch Reference Number/Code] in Account Data File (***ACC.txt) should have a matching [Branch Reference Number/Code] value in Branch Data File (***BRC.txt).
  b.      All values of [Branch Reference Number/Code + Account Number] in Transaction Data File (***TRN.txt)  should have matching [Branch Reference Number/Code + Account Number]  value in Account Data File (***ACC.txt).
  c.       All values of [Branch Reference Number/Code + Account Number] in Individual Data File (C***INP.txt) should have matching [Branch Reference Number/Code + Account Number] value in Account Data File (***ACC.txt).
  d.       All values of [Branch Reference Number/Code+ Account Number] in Legal Person / Entity Data File (***LPE.txt) should have matching [Branch Reference Number/Code + Account Number] value in Account Data File (***ACC.txt).
(viii) The data sufficiency should be validated as under:
  a.       All values of [Branch Reference Number/Code + Account Number] in Account Data File (***ACC.txt) should have at least one matching [Branch Reference Number/Code + Account Number] value in Transaction Data File (***TRN.txt).
  b.       All values of [Branch Reference Number/Code+ Account Number] in Account Data File (***ACC.txt) should have at least one matching [Branch Reference Number/Code + Account Number] value in Individual Data File (***INP.txt). (As account for legal person/entity would have individuals as authorised signatories).
  c.       All values of [Branch Reference Number/Code + Account Number] in Account Data File (***ACC.txt) with Type of Account Holder = “B” (Legal Person/Entity) should have at least one matching [Branch Reference Number/Code+ Account Number] value in Legal Person / Entity Data File (***LPE.txt).
 



 
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What are the general guidelines for all data files?

 
(i) All Data Files should be generated in ASCII Format with ".txt" as filename extension.
(ii) Each Record (including last record) must start on new line and must end with a newline character. Hex Values: "0D" & "0A".
(iii)  All CHAR fields must be left justified.
(iv) If CHAR field has no data or less data with respect to defined length, then the entire field (in case of no data) or the remaining field (in case of less data) has to be filled with right justified blank characters (Spaces).
(v) All NUM fields must be right justified.
(vi)   If NUM field has no data or less data with respect to defined length, then the entire field (in case of no data) or the remaining field (in case of less data) has to be filled with left justified zeroes.
(vii) If DATE field has no data then the entire field has to be filled with blank characters (Spaces).
(viii) Fields with an asterisk (*) have to be compulsorily filled up.
 
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What is a Data Quality Report?

 
Data Quality Report  summarizes the errors in an electronic report such as data structure errors, mandatory field validation errors, data integrity errors and data sufficiency errors.
 
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