Maintain and verify KYC on the client profile

Roles and control boundary

A Manager or above can update KYC facts, record section conclusions, and capture snapshots. Staff can edit Other client details, which are not part of any KYC conclusion. Other authorised users and read-only support grants can review the KYC record but cannot change it. KYC is a reusable client-level record. It is not an Engagement checklist and does not create or change an Engagement. Aadhaar is optional for an individual and is stored as a documentary identity reference only. The full value is not displayed after saving. There is no mobile or OTP verification.

How much KYC the client needs

The client's KYC depth decides which sections it needs. Nobody sets it: it follows the client's legal form and the work the firm does for it, and the page shows it at the top (for example Light KYC with "Individual with no audit work").

Sections the depth does not need sit below Other client details, behind Show ... sections ... KYC does not need. You can still fill them in, but they are not concluded and do not count. When a client gains audit work it becomes Full: the sections it now needs must be concluded, and its acceptance needs reassessing. A Light conclusion is reviewed every year, with the return: Conclude suggests a review date one year ahead, which you can change.

Before you begin

Open the correct client and verify its legal name, entity type, and PAN. Retain the government, regulatory, client-confirmation, professional-communication, or internal working-paper evidence used for each conclusion. Resolve obvious discrepancies before marking a section Verified. Confirm that profile facts used for rotation - legal form, listed status, paid-up capital, public borrowings, public deposits, small-company status, and government-company status - are current.

Fill in each section

Profile & KYC is one page: the KYC sections the client needs, then Other client details. Each section shows its facts and its conclusion state. A Manager or above also sees Edit and Conclude.

Open Clients, select the client, and choose Relationship. It opens on Profile & KYC. In a section, click Edit. The facts become fields in the same place. Fill them in and click Save. One section is open at a time. Repeat for each section. Each fact sits in the section whose conclusion it affects: Identity: name, entity type, PAN, date of birth, residential status, citizenship and, for an individual, the optional Aadhaar reference. The PAN status and the PAN–Aadhaar link show as last read from the portal. Registration: TAN, CIN, LLPIN, date of incorporation, date of commencement and other…

Saving a section changes only that section's facts. If the section was concluded and a fact changes, its conclusion becomes Stale and needs concluding again.

The seven controlled sections are:

Conclude each section

In a section, click Conclude. Choose Verified, Exception, or Rejected. Choose the source type and enter the retained source or evidence reference. Enter an effective date and review-due date when they apply. For Exception, record at least one discrepancy and the required resolution or acceptance basis. A Verified result with recorded discrepancies requires resolution notes. Save the conclusion and repeat for each section the client needs.

The conclusion is append-only and is bound to the current profile revision, master hash, section hash, source, reviewer, and time. A section cannot be marked Verified until its minimum facts are complete.

Capture the verified snapshot

Confirm every section the client needs shows Verified and is within its review date. Click Capture verified snapshot. Confirm the new immutable version appears beside the profile revision at the top of the page.

The snapshot contains display-safe values and the evidence summary. It does not expose a reusable full Aadhaar value or other protected identifiers.

Handle changes and stale conclusions

When a verified profile fact changes, the product increases the profile revision and makes only the affected KYC section Stale. Review that changed section, retain the new source, and conclude it again. Unchanged sections remain current. An expired review date also blocks a fresh snapshot.

Expected result

The existing client profile contains complete, evidence-backed KYC facts; each current section has a traceable conclusion; and the latest immutable snapshot can be used by the canonical Acceptance assessment and Client Lifecycle gates.

Related guides

Use the client dashboard and maintain the client profile Complete client acceptance or continuance Evaluate statutory auditor rotation

Related pages

• Use the client dashboard and maintain the client profile
• Complete client acceptance or continuance