1. Filing of STR and CTR by Brokers
Financial Intelligence Unit – India (FIU-IND)
Project FINnet (Financial Intelligence Network)
Filing of STR and CTR by Brokers

2. Overview of FINnet Other Databases/Networks Foreign FIUs
Law Enforcement Agencies
Intelligence Agencies
Technical Infrastructure Management
Collection of Information
Processing of Information
Analysis of STR
Detection of new targets
Exchange of information
Compliance Management
Trend Analysis
Information Security Management
Reporting Entities

3. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report

4. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 4

5. Registration of New User
Link from FIU-IND website (
FINnet Gateway Portal (
Register New User 5

6. Registration of RE Go to https://finnet.gov.in/
Click Register New User on login page to go to Search Reporting Entity page.
Click on Register new Reporting Entity, 'Click Here'
Enter basic details of the reporting entity such as reporting entity name, reporting entity category and details of the user. Click Submit.
 It displays the following message: “The following registration details of the reporting entity have been submitted to FIU-IND. Your Reporting
Entity registration request number is: ________.
Click on the registration request number to take the printout and send a scan copy or a hard copy to FIU.  Scan copy should  be ed to hard copy may be posted to Director, Financial Intelligence Unit-India, 6th Floor, Hotel Samrat, New Delhi Envelop containing the Registration request should be superscribed as “New Registration Request”
On approval, the FIUREID (the unique identity number of your organization registered with FIU-IND) will be communicated at the ID provided.

7. Report Entity Selection
Click Here for new Reporting Entity Registration 7

8. Register the details of New Reporting Entity8

9. Register the details of New Reporting Entity9

10. View the details of New Reporting Entity10

11. Registration of New Reporting Entity11

13. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 13

14. Registration of Principal Officer and Other User
FINnet Gateway Portal (
Click On Register New User 14

15. Registration of PO
Click Register New User on login page to go to Search Reporting Entity page.
Enter FIU Reporting Entity ID (FIUREID).
Click Search to display search results.
Click the FIUREID link to display Reporting Entity details.
Click on Select this reporting entity to move to next stage.
Submit the details for the registration of the principal officer. After registration, a FINnet registration request with “user registration request number” is generated.
The FINnet registration request form should be printed and signed by the principal officer and the supervisor to the principal officer along with the official stamp.
Send the signed and scanned copy of the request form to Paper/ hard copy may be posted to Director, Financial Intelligence Unit-India, 6th Floor, Hotel Samrat, New Delhi Envelop containing the Registration request should be superscribed as “PO Registration Request”

16. Report Entity Selection
Put Your FIUREID 16

17. Report Entity Selection
Click On Search 17

18. Report Entity Selection
Click On FIUREID 18

19. Report Entity Selection
Click On Select this Reporting Entity 19

20. Selection of User Role 20

21. Principal Officer Registration21

22. Submission of PO Details22

24. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 24

25. Current Reporting Formats
Account based reporting format
Transaction based reporting format
CCR reporting format

26. Applicable Reporting Formats
Cash Transaction Report (CTR)
Suspicious Transaction Report (STR)
NPO Transaction Report (NTR)
Cross Border Wire Transfer Report (CBWT)
Account based reporting format (ARF)
Transaction based reporting format (TRF)
Counterfeit Currency Report (CCR)
CCR reporting format (CRF)
Transaction based Reporting Format
Transactions without account based relationship with the customer
Eg: money transfer service, money exchange
Property Transaction Report (PTR)
Transaction based reporting format (TRF)

27. Steps for Uploading of XML file on FINnet Gateway
1.Use Excel Utilities i.e. ARFTPU.xls or TRFTPU.xls to generate 7 text files.
2. Report Generation utility:
- Generate xml file from text file generated in step 1.
3. Report Validation Utility.
- Validation of xml generated in step 2
- Hashing the xml for integrity of file.
-Signing the xml file before uploading it on FINgate.
4. Upload of file on FINgate portal.

28. Stages of Collection of information
Report Preparation Utility
Report Validation Utility
FINnet Gateway Portal
Prepare
Validate
Upload 28

29. FINnet Gateway Homepage29

30. FINnet Gateway: Collection of reports
Users
Profiles
Reports
Upload report
Upload history
Rejected reports
Additional information required
Overdue reports
Report summary
Messages
Resources: Downloads, FAQs, Problems and Solutions, Discussion Forums, Surveys, Events, Alerts and Tips…

31. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 31

32. Types of files in ARF and TRF
Batch File
Report File
Branch File
Payment Instrument File
Transaction File
Individual Person File
Legal Person File

33. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 33

34. Report Generation Utility 2.6

35. XML Generation

36. XML Generation

37. XML Generation

38. XML Generation

39. XML Generation

40. Agenda Registration Process Reporting Entity Registration
Principal Officer Registration
New Reporting Format
STR and CTR Filing
Generation of Report
Validation of Report 40

41. Report Validation Features of Report Validation Utility
Performs preliminary rule validation (PRV)
Generate Data Quality Report (DQR)
Validation Rules (SCH file)
Data Quality Report
XML reports (XML file)
XML reports (Ready for upload)
Report Validation Utility
Generates hash XML file for the validated XML report
Performs XML schema validation (XSV)

42. XML Schema Validation

43. Preliminary Rule Validation

44. Linking DQR with Report file

45. View DQR

46. Report Upload 46

47. Report Upload 47

48. Batch Status REPORT UPLOAD
Submitted
Validated AC
(Without Digital Signature)
Validated
(With Digital Signature)
Send RUC
Validated
REs should try to shift to Digital Signature.
Processed

49. Important files for download
User Guides
Reporting Format Guide
Report Generation Utility User Guide
Report Validation Utility User Guide
FINnet Gateway User Guide
XML Schemas
AccountBasedReport.xsd
TransactionBasedReport.xsd
CCRBasedReport.xsd
FIU-INDSchemaLibrary.xsd
DataQualityReport.xsd
Utilities
Report Generation Utility
Report Validation Utility

50. Escalation Matrix Helpdesk 91-11-24109792/93 (Tel)
Helpdesk module in FINnet Gateway
FINnet Coordinator

51. Q & A

52. Valid PAN
The fourth character of the PAN must be one of the following, depending on the type of assesse:
C — Company
P — Person
H — HUF(Hindu Undivided Family)
F — Firm
A — Association of Persons (AOP)
T — AOP (Trust)
B — Body of Individuals (BOI)
L — Local Authority
J — Artificial Juridical Person
G — Govt
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