Part I – Law(s) Governing the eForm DIR-3 KYC
Section and Rule Number(s)
eForm DIR-3 KYC is required to be filed pursuant to Rule 12A and Rule 11(2) and (3) of The Companies (Corporate Social Responsibility Policy) Rules, 2014. which is reproduced for your reference.
Rule 12A:
Every individual who has been allotted a Director Identification Number (DIN) as on 31st march of a financial year as per these rules shall, submit e- form DIR-3-KYC to the Central Government on or before 30th April of immediate next financial year.
Provided that every individual who has already been allotted a Director Identification Number (DIN) as at 31st March, 2018, shall submit eform DIR-3 KYC on or before 15th September, 2018.
Rule 11(2):
The Central Government or Regional Director (Northern Region), or any officer authorised by the Central Government or Regional Director (Northern Region) shall, deactivate the Director Identification Number (DIN), of an individual who does not intimate his particulars in e-form DIR-3-KYC within stipulated time in accordance with rule 12A.
Rule 11(3):
The de-activated DIN shall be re-activated only after e-form DIR-3-KYC is filed along with fee as prescribed under Companies (Registration Offices and Fees) Rules, 2014.
Purpose of the eForm DIR-3 KYC
As part of updating its registry, MCA would be conducting KYC of all Directors of all companies annually through the eform DIR-3 KYC. Accordingly, every Director who has been allotted DIN on or before 31st March, 2018 and whose DIN is in ‘Approved’ status, would be mandatorily required to file form DIR-3 KYC on or before 15th September, 2018.
Part II – Instructions to fill the e-eForm DIR-3 KYC
Specific Instructions to fill the eForm DIR-3 KYC at Field Level
Instructions to fill the eForm are tabulated below at field level. Only important fields that require detailed instructions to be filled in eForm are explained. Self-explanatory fields are not discussed.
| Sr. No. | Section Name | Field Name | Instructions |
| 1 | (a) | Director Identification Number (DIN) | Should be an ‘Approved’ DIN.
In case of Deactivated DINs, DINs with status ‘De-activated’ due to reason ‘Non-filing of KYC in DIR-3-KYC’ shall be allowed after 15th September 2018. |
| 2 | (a) | First Name | Single alphabet shall not be allowed. Either of applicant’s First name or Last name shall be mandatory to enter. The name should be entered as mentioned in PAN since the same shall be verified with PAN database. |
| (b) | Last name | Single alphabet shall not be allowed. Either of applicant’s First name or Surname shall be mandatory to enter. The name should be entered as mentioned in PAN since the same shall be verified with PAN database. | |
| (c) | Middle Name | Name should be as per PAN database. | |
| 3 | (a) | First name | Single alphabet shall not be allowed. Either of father’s First name or Last name shall be mandatory to enter. The name should be entered as mentioned in PAN since the same shall be verified with PAN database. |
| (b) | Last name | Single alphabet shall not be allowed. Either of Father’s First name or Surname shall be mandatory to enter. The name should be entered as mentioned in PAN since the same shall be verified with PAN database. | |
| (c) | Middle Name | Name should be as per PAN database. | |
| 5 | Nationality | Foreign nationals shall select the nationality as declared in the passport. | |
| 7 | Date of Birth | Enter date in DD/MM/YYYY format. Person should be minimum 18 years of age while filing this application. | |
| 9 | Income-tax PAN | Enter your Income tax permanent account number (Income tax PAN).Income tax PAN is mandatory for Indian Citizens. | |
| Verify income-tax PAN | If Income tax PAN is entered, it is mandatory to click on ‘Verify income-tax PAN’ button. System shall verify the details based on PAN.
Ensure that the name (first, middle and last name), father’s name (first, middle and last name) and date of birth is as per the income-tax PAN details. |
||
| 10 | Do you have Aadhaar | Please specify whether you possess Aadhaar or not. | |
| Aadhaar number | Mandatory to provide Aadhaar number if ‘Yes’ selected in the above field. | ||
| 11 | Voter’s Identity Card number | In case you do not possess Aadhaar, please provide details of either Voter Identity Card number or Passport number or Driving License Number. | |
| 12 | Do You have a valid passport | Mandatory to select ‘Yes’ in case ‘No’ selected in field “Whether Citizen of India” | |
| Passport number | Mandatory to enter if ‘Yes’ is selected above in field 11 | ||
| 13 | Driving License Number | In case you do not possess Aadhaar, please provide details of either Voter Identity Card number or Passport number or Driving License Number. | |
| 14 | Personal Mobile Number | Enter your personal mobile number. Please note that the same will be verified by OTP.
Country Code other than +91/91/0 shall be allowed only in case Whether resident in India is selected as ‘No’. |
|
| 15 | Personal Email ID | Enter your personal email ID. Please note that the same will be verified by OTP. | |
| Send OTP | This button will be enabled only after successful Pre-scrutiny of the form.
Click on this button to send OTP to your mobile number and email ID. |
||
| 16 | Enter OTP for Mobile Number | Enter the OTP received on your mobile number. | |
| 17 | Enter OTP for Email ID | Enter the OTP received on your email ID. | |
| Verify OTP | This button will be enabled after OTP for mobile number and email address are entered.
Please note that the OTPs must be verified before you try to upload the form. |
||
| 18 | Permanent residential address | Enter your permanent residential address.
Please note that the details should match exactly with the proof of permanent address attached. |
|
| Do you have a permanent address outside India | This field is enabled only for applicants who are NOT citizens of India.
Select whether you have a permanent address outside India. In case ‘No’ is selected, an affidavit that you do not have any permanent address outside India MUST be attached. Foreign/ Indian Pin code shall be allowed to be entered based on selection made. |
||
| 19 | Whether present residential address is same as permanent residential address | If ’Yes’ is selected, then present residential address is displayed automatically by the system and is same as the permanent residential address. Else, present residential address has to be entered. | |
| 20 | Present residential address | Please note that address in India must be entered in case you are a resident in India. | |
| Attachments | The following attachment is mandatory to be filed in all cases:
|
||
| To be digitally signed by Applicant | Ensure that the eForm is digitally signed by the same person i.e. applicant who is filing the application.
Please note that the PAN mentioned in the form and the PAN mentioned in the DSC affixed, must be same for successful validation. In case of foreign nationals, who do not have PAN, the name mentioned in the form must be same as the name mentioned in the DSC affixed for successful validation. |
||
| Certification | Ensure the eForm is digitally signed by a Chartered Accountant/ Cost Accountant or Company Secretary in whole-time practice.
Enter the details of the practicing professional and attach the digital signature. |
||
Common Instructions to fill eForm DIR-3 KYC
| Buttons | Particulars |
| Pre-fill | The Pre-fill button can appear more than once in an eForm. The button appears next to a field that can be automatically filled using the MCA database.
Click this button to populate the field. Note: You are required to be connected to the Internet to use the Prefill functionality. |
| Attach | Click this document to browse and select a document that needs to be attached to the eForm. All the attachments should be scanned in pdf format.
you have to click the attach button corresponding to the document you are making an attachment. In case you wish to attach any other document, please click the optional attach button. |
| Remove Attachment | You can view the attachments added to the eForm in the List of attachment field.
To remove any attachment from the eForm, select the attachment in the List of attachment field and click the Remove attachment button. |
| Check Form | 1. Click the Check Form button after, filling the eForm system performs form level validation like checking if all mandatory fields are filled. System displays the errors and provides you an opportunity to correct errors.
2. Correct the highlighted errors. 3. Click the Check Form button again and. system will perform form level validation once again. On successful validations, a message is displayed “Form level pre scrutiny is successful”. Note: The Check Form functionality does not require Internet connectivity. |
| Modify | The Modify button is enabled, after you have checked the eForm using the Check Form button. To make changes to the filled and checked form:
1. Click the Modify button. Make the changes to the filled eForm. Click the Check Form button to check the eForm again. |
| Prescrutiny | After checking the eForm, click the Prescrutiny button. System performs some checks and displays errors, if any.
Correct the errors. Click the Prescrutiny button again. If there are no errors, a message is displayed “No errors found.” The Prescrutiny functionality required Internet Connectivity. |
| Country Code | Refer Annexure A – ISO Country Codes |
Part III – Important Points for Successful Submission of eForm DIR-3 KYC
Fee Rules
| S.No | Purpose of the form | Normal Fee | Additional Fee (Delay Fee) | Logic for Additional Fees | Re marks | |
| Event Date | Time limit(days) for filing | |||||
| 1. | KYC filed before 15th September by applicant who has been allotted DIN on or before 31st March, 2018 and whose DIN is in ‘Approved’ status | Zero | #N/A | #N/A | #N/A | |
| 2. | KYC filed after 15th September 2018 by
applicant whose DIN status is ‘deactivated’ and the reason for deactivation is ‘Non-filing of KYC in DIR-3 KYC’. |
Rs.5,000 | #N/A | #N/A | #N/A | |
Fees payable is subject to changes in pursuance of the Act or any rule or regulation made or notification issued thereunder.
Processing Type
The form will be processed in STP mode.
SRN Generation
On successful submission of the eForm DIR-3 KYC, SRN will be generated and shown to the user which will be used for future correspondence with MCA.
Approval mail shall be sent to the email ID of the applicant and to the user who has filed the eForm.
Annexure A
List of ISO Country Codes
| Country Name | Country Code | Country Name | Country Code |
| AFGHANISTAN | AF | LIBERIA | LR |
| ÅLAND ISLANDS | AX | LIBYAN ARAB JAMAHIRIYA | LY |
| ALBANIA | AL | LIECHTENSTEIN | LI |
| ALGERIA | DZ | LITHUANIA | LT |
| AMERICAN SAMOA | AS | LUXEMBOUR
G |
LU |
| ANDORRA | AD | MACAO | MO |
| ANGOLA | AO | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | MK |
| ANGUILLA | AI | MADAGASCA
R |
MG |
| ANTARCTICA | AQ | MALAWI | MW |
| ANTIGUA AND BARBUDA | AG | MALAYSIA | MY |
| ARGENTINA | AR | MALDIVES | MV |
| ARMENIA | AM | MALI | ML |
| ARUBA | AW | MALTA | MT |
| AUSTRALIA | AU | MARSHALL ISLANDS | MH |
| AUSTRIA | AT | MARTINIQUE | MQ |
| AZERBAIJAN | AZ | MAURITANIA | MR |
| BAHAMAS | BS | MAURITIUS | MU |
| BAHRAIN | BH | MAYOTTE | YT |
| BANGLADESH | BD | MEXICO | MX |
| BARBADOS | BB | MICRONESIA, FEDERATED STATES OF | FM |
| BELARUS | BY | MOLDOVA, REPUBLIC OF | MD |
| BELGIUM | BE | MONACO | MC |
| BELIZE | BZ | MONGOLIA | MN |
| BENIN | BJ | MONTENEGR
O |
ME |
| BERMUDA | BM | MONTSERRA
T |
MS |
| BHUTAN | BT | MOROCCO | MA |
| BOLIVIA | BO | MOZAMBIQU E | MZ |
| BOSNIA AND HERZEGOVINA | BA | MYANMAR | MM |
| BOTSWANA | BW | NAMIBIA | NA |
| BOUVET ISLAND | BV | NAURU | NR |
| BRAZIL | BR | NEPAL | NP |
| BRITISH INDIAN
OCEAN TERRITORY |
IO | NETHERLANDS | NL |
| BRUNEI DARUSSALAM | BN | NETHERLANDS ANTILLES | AN |
| BULGARIA | BG | NEW CALEDONIA | NC |
| BURKINA FASO | BF | NEW ZEALAND | NZ |
| BURUNDI | BI | NICARAGUA | NI |
| CAMBODIA | KH | NIGER | NE |
| CAMEROON | CM | NIGERIA | NG |
| CANADA | CA | NIUE | NU |
| CAPE VERDE | CV | NORFOLK ISLAND | NF |
| CAYMAN ISLANDS | KY | NORTHERN MARIANA ISLANDS | MP |
| CENTRAL AFRICAN REPUBLIC | CF | NORWAY | NO |
| CHAD | TD | OMAN | OM |
| CHILE | CL | PAKISTAN | PK |
| CHINA | CN | PALAU | PW |
| CHRISTMAS ISLAND | CX | PALESTINIAN TERRITORY, OCCUPIED | PS |
| COCOS (KEELING) ISLANDS | CC | PANAMA | PA |
| COLOMBIA | CO | PAPUA NEW GUINEA | PG |
| COMOROS | KM | PARAGUAY | PY |
| CONGO | CG | PERU | PE |
| CONGO, THE DEMOCRATIC REPUBLIC OF THE | CD | PHILIPPINE
S |
PH |
| COOK ISLANDS | CK | PITCAIRN | PN |
| COSTA RICA | CR | POLAND | PL |
| COTE D’IVOIRE | CI | PORTUGAL | PT |
| CROATIA | HR | PUERTO RICO | PR |
| CUBA | CU | QATAR | QA |
| CYPRUS | CY | REUNION | RE |
| CZECH REPUBLIC | CZ | ROMANIA | RO |
| DENMARK | DK | RUSSIAN FEDERATION | RU |
| DJIBOUTI | DJ | RWANDA | RW |
| DOMINICA | DM | SAINT BARTHELEMY | BL |
| DOMINICAN REPUBLIC | DO | SAINT
HELENA |
SH |
| ECUADOR | EC | SAINT KITTS AND NEVIS | KN |
| EGYPT | EG | SAINT LUCIA | LC |
| EL SALVADOR | SV | SAINT MARTIN | MF |
| EQUATORIAL GUINEA | GQ | SAINT PIERRE AND MIQUELON | PM |
| ERITREA | ER | SAINT VINCENT AND THE GRENADINES | VC |
| VC | EE | SAMOA | WS |
| ETHIOPIA | ET | SAN MARINO | SM |
| FALKLAND ISLANDS | FK | SAO TOME AND PRINCIPE | ST |
| (MALVINAS) | |||
| FAROE ISLANDS | FO | SAUDI ARABIA | SA |
| FIJI | FJ | SENEGAL | SN |
| FINLAND | FI | SERBIA | RS |
| FRANCE | FR | SEYCHELLES | SC |
| FRENCH GUIANA | GF | SIERRA LEONE | SL |
| FRENCH POLYNESIA | PF | SINGAPORE | SG |
| FRENCH SOUTHERN | TF | SLOVAKIA | SK |
| TERRITORIES | |||
| GABON | GA | SLOVENIA | SI |
| GAMBIA | GM | SOLOMON ISLANDS | SB |
| GEORGIA | GE | SOMALIA | SO |
| GERMANY | DE | SOUTH AFRICA | ZA |
| SOUTH GEORGIA AND THE | |||
| GHANA | GH | SOUTH SANDWICH ISLANDS | GS |
| GIBRALTAR | GI | SPAIN | ES |
| GREECE | GR | SRI LANKA | LK |
| GREENLAND | GL | SUDAN | SD |
| GRENADA | GD | SURINAME | SR |
| GUADELOUPE | GP | SVALBARD AND JAN MAYEN | SJ |
| GUAM | GU | SWAZILAND | SZ |
| GUATEMALA | GT | SWEDEN | SE |
| GUERNSEY | GG | SWITZERLAND | CH |
| GUINEA | GN | SYRIAN ARAB REPUBLIC | SY |
| GUINEA-BISSAU | GW | TAIWAN, PROVINCE OF CHINA | TW |
| GUYANA | GY | TAJIKISTAN | TJ |
| HAITI | HT | TANZANIA, UNITED REPUBLIC OF | TZ |
| HEARD ISLAND AND MCDONALD ISLANDS |
HM |
THAILAND |
TH |
| HOLY SEE (VATICAN STATE) CITY | VA | TIMOR-LESTE | TL |
| HONDURAS | HN | TOGO | TG |
| HONG KONG | HK | TOKELAU | TK |
| HUNGARY | HU | TONGA | TO |
| ICELAND | IS | TRINIDAD AND TOBAGO | TT |
| INDIA | IN | TUNISIA | TN |
| INDONESIA | ID | TURKEY | TR |
| IRAN, ISLAMIC REPUBLIC OF | IR | TURKMENISTAN | TM |
| IRAQ | IQ | TURKS AND CAICOS ISLANDS | TC |
| IRELAND | IE | TUVALU | TV |
| ISLE OF MAN | IM | UGANDA | UG |
| ISRAEL | IL | UKRAINE | UA |
| ITALY | IT | UNITED ARAB EMIRATES | AE |
| JAMAICA | JM | UNITED KINGDOM | GB |
| JAPAN | JP | UNITED STATES | US |
| JERSEY | JE | UNITE DST ATESM INOR OUTLYING ISLANDS | UM |
| JORDAN | JO | URUGUAY | UY |
| KAZAKHSTAN | KZ | UZBEKISTAN | UZ |
| KENYA | KE | VANUATU | VU |
| KIRIBATI | KI | VENEZUELA, BOLIVARIAN REPUBLIC OF | VE |
| KOREA, DEMOCRATIC PEOPLE’S REPUBLIC OF | KP | VIET NAM | VN |
| KOREA, REPUBLIC OF | KR | VIRGIN ISLANDS, BRITISH | VG |
| KUWAIT | KW | VIRGIN ISLANDS, U.S. | VI |
| KYRGYZSTAN | KG | WALLIS AND FUTUNA | WF |
nice informative article.