General updates

Sr.

Compliance Requirement

Yes /

Observation/ Remark

No

No

1.

Whether the Company has a Structured Digital Database in

Yes

place?

2.

Whether control exists as to who can access the SDD for read

Yes

/ write alongwith the names and PAN of such person?

3.

Whether all the UPSI had been captured in the Database. If not

Yes

details of events that had not been captured and the reason

for the same?

4.

Whether the recipients were upfront informed that the

Yes

information which they will be receiving shortly is UPSI and the

entry has been captured in the Database prior to forwarding

the UPSI data. If not details of events that have not been

captured and the reason for the same?

5.

Whether nature of UPSI have been captured alongwith date

Yes

and time?

6.

Whether name of persons who have shared the information

Yes

has been captured along with PAN or any other identifier?

7.

Whether name of persons with whom information is shared

Yes

has been captured along with PAN or any other identifier?

8.

Whether the database has been maintained internally?

Yes

9.

Whether audit trail is maintained?

Yes

10.

Whether time stamping is maintained?

Yes

11.

Whether the database is non-tamperable?

Yes

12.

Any other measures to ensure non-tamperability of the

No

Not required.

Database?