Oracle Financial Services Regulatory Reporting Administration Guide
Contents
1. CST3 AML TC FR FR FR Attribute 4 ACP_FR_NVST TC_NVST AML_SURV AML_TER FR_AC FR_EE FR_ON BROKER_COMP BROKER v Attribute 5 MockOrgA MockOrgB MockOrgC ORG1 TestOrgC TestOrgA TestOrgB x Figure 1 User Attributes Tab Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR 7 User Attributes Chapter 2 Administration Viewing Security Attribute Mapping To view the security mapping for a user follow these steps 1 Select the user whose security attribute mapping is to be viewed 2 Click Go The page is refreshed with the security attributes and values mapped for the user These values are separated by commas Adding Security Attribute Mapping To add a security attribute value to a security attribute follow these steps 1 Select the required Security Attribute from the drop down list 2 Click Save Deleting Security Attribute Mapping To delete the security attribute value mapping follow these steps 1 De select the Security Attribute you wish to delete from the drop down list 2 Click Save The new security mappings to the user are saved 8 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR User Administration Chapter 2 Administration User Administration This section explains the steps to change OFSAAI password Changing the Password in Oracle Financial Services Analytical Applications Infrastructure To change the password in Or2. transparency in the country s financial system enhancing that country s security and deterring and detecting criminal activity in the financial system As part of this goal these regulatory bodies require the Financial Crimes Unit FCU also referred to as Financial Intelligence Units FIUs in financial institutions to provide data regarding suspicious activities These reports depending on the regulatory geographic region can be delivered in a printed or electronic format RR supports the management delivery and resolution of these regulatory reports across multiple geographic regions and financial lines of business Since there are several differences in requirements for printed formats versus electronic formats between different geographic regions and data elements that are required on these reports the approach to satisfying the end goal is to provide a Regulatory Reporting framework that is configured to support printed and electronic formats for different geographic regions and to generate and file different types of reports RR is integrated with the Oracle Financial Services Behavior Detection Platform to allow users to generate reports that are automatically populated with information relevant to the investigation which triggered the need for the report to be filed Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR 1 Chapter 1 Introduction to Oracle Financial Services Regulatory Reporting
3. 2 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR CHAPTER 2 Administration This chapter lists the activities done by the Oracle Financial Services Analytical Applications Infrastructure Administrator e User Creation e Excel Upload e Save Metadata e Application Parameters e User Attributes e User Administration User Creation From the Oracle Financial Services Analytical Applications Infrastructure Security Management menu option you can create users and user groups according to the installation requirements Note While creating the user groups manually using SMS AAI interface use the precedence range values between 3001 to 4000 To map the users to the user groups and the user groups to the roles follow these steps 1 2 3 4 5 Map all user groups to the Access to US SAR Report role Map the Analyst user group to the Reg Report Analyst role Map the Supervisor user group to the Reg Report Supervisor and to RR Supervisor with Edit roles Map the Admin user group to the Reg Report Admin role and to RR Admin with Edit roles Map the Single Super user s user group to the following roles m Reg Report Admin m RR Admin with Edit m Reg Report Supervisor RR Supervisor with Edit m Reg Report Analyst Execute the following script in the Oracle Financial Services Analytical Applications Infrastructure configuration schema update cssms_role_function_map m set m v_funct
4. ET Webservice User ID in the v_ATTRIBUT 3 Update the database Changing the Password The password is saved in an encrypted format To change the Password follow these steps E_VALUE 1 column ERS or parameter identifier numbered 2 enter the new 1 Open the web page with the following URL after updating the same http lt WebServer IP gt lt Port Number gt lt Context gt solution RRS RRSEncryptDecrypt jsp Click Encrypt D oO A N Enter the desired password in the Enter Value text box The newly encrypted password displays in the encrypted decrypted value text area Open the APPLN_PARAMETERS table of the atomic schema for edit For the parameter name WEB SERVICE PARAMETERS or parameter identifier numbered 2 enter the new Webservice encrypted password in the V_ATTRIBUTE_VALU 7 Update the database E2 column Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR 11 Changing the Password Appendix A WebService User ID and Password Reset 12 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR ORACLE
5. Information This parameter is set to y if Activity dates Amount needs to be imported from AML Else the parameter is set to N e DEFAULT DOMAIN This parameter identifies the default jurisdiction assigned while creating a report manually in RR e ECM Flag This flag is set to Y if RR is installed with ECM Enterprise Case Management and N for others User Attributes This section shows how to map and maintain the security attributes for each user role Figure 1 The security Attributes are configured for an installation by the System Administrator These security attribute can then be mapped to users Attributes of generated reports are based on the Alert or Case for which the report is generated Users can access reports based on the Security Attributes mapped to each user and report This is available for the Admin and Super user roles only This section covers the following topics e Viewing Security Attribute Mapping e Adding Security Attribute Mapping e Deleting Security Attribute Mapping 6 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR User Attributes Chapter 2 Administration ORACLE Financial Services Regulatory Reporting man Mio User Attributes Home gt gt User Attributes User Attributes O gt Go User Name rrSsup Attribute 1 CA SA US INDA AMEA SGI SGO Attribute2 RB PC RET INST GEN C WS EMP C D E F Attribute3 CST1 CST2
6. ORACLE Oracle Financial Services Regulatory Reporting Administration Guide US SAR Release 2 3 April 2013 ORACLE FINANCIAL SERVICES Oracle Financial Services Regulatory Reporting Administration Guide US SAR Release 2 3 April 2013 Document Control Number 9MN11 2 3 01 09 Document Number AG 13 RR 009 2 3 01 Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Document Number AG 13 RR 009 2 3 01 First Edition April 2013 Copyright 1996 2013 Oracle and or its affiliates All rights reserved Printed in U S A No part of this publication may be reproduced stored in a retrieval system or transmitted in any form or by any means electronic mechanical photocopying recording or otherwise without the prior written permission Trademarks Oracle is a registered trademark of Oracle Corporation and or its affiliates Other names may be trademarks of their respective owners Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Phone 703 478 9000 Fax 703 318 6340 Internet www oracle com financialservices Contents ELISEO REQUEST AR v LISEOF TADICS E E A A A Ad vii About This Guide Sa ix Who Should Use this Guides sirisser E E REEE E EEEE E EEEE ix SCOPE OL this GUS A BED BE REISE ix How this Guide is Ore ani taa id ii x Where to Find Mot Information seinan nnns enaa aenur i nan kenn a Ea EESE lada lanceoladas x Conventions Used inthis Guide waisc
7. acle Financial Services Analytical Applications Infrastructure follow these steps 1 Login to the RR with your User ID and Password 2 Click Change Password The Change Password screen opens prompts you to enter both the old password and new password Enter the old password Enter the new password The password should be alphanumeric Confirm the new password Click OK NH oO A 0 The following message appears Password Changed Successfully Please login to proceed 7 Click OK The Login page opens 8 Login with the new password For more information refer to the Oracle Financial Services Analytical Applications Infrastructure Overview User Manual Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR 9 User Administration Chapter 2 Administration 10 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR APPENDIX A Web Service User ID and Pass word Reset The default user ID and password supplied for the secured web service call must be changed This user ID and the encrypted password are saved in the database table APPLN_PARAME topics e Changing the User ID e Changing the Password Changing the User ID To change the user 1D follow these steps TERS This chapter discusses the following 1 Open the APPLN_PARAMETERS table of the atomic schema for edit 2 For the parameter name WEB SERVICE PARAM
8. be saved Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR Application Parameters Chapter 2 Administration Application Parameters The Application Parameters list the various parameters used in the RR and should be configured for the installation The attribute description states the values each attribute can hold For more information refer to the Oracle Financial Services Regulatory Reporting 2 3 Data Model Reference Guide Volume 1 To configure the different parameters do a manual update on the table App1n_Parameters in the Oracle Financial Services Analytical Applications Infrastructure Atomic Schema The list of parameters are as follows e AML Web Service This parameter defines attributes such as the URL User ID and Password associated with the source AML systems Web service This is needed to work with AML systems like FCCM Also ensure that the following information is updated in the Configuration file of source AML system RR Web service User ID RR Web service Password E RR Web service URL e Lock Period This parameter specifies the time after which the system will release the lock on the case This is calculated from the time the last action was taken on the case by the User The time specified is in minutes e Web Service Parameters This parameter identifies all the attributes associated with the web service request for the report like the user ID and password e Activity
9. ed in this Guide Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR vii List of Tables viii Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR About This Guide US SAR United States Suspicious Activity Report This guide describes comprehensive activities of the Oracle Financial Services Analytical Applications Infrastructure Administrator in the Oracle Financial Services Regulatory Reporting herein referred to as RR and associated solution set This chapter focuses on the following topics e Who Should Use this Guide e Scope of this Guide e How this Guide is Organized e Where to Find More Information e Conventions Used in this Guide Who Should Use this Guide The Oracle Financial Services Regulatory Reporting Administration Guide US SAR is designed for use by OFSAA Installers and System Administrators Their roles and responsibilities as they operate within the RR application include the following e Oracle Financial Services Solution Installer This user installs and configures the Oracle Financial Services Analytical Applications Infrastructure Analytical Framework Platform and the client specific solution sets at a deployment site The Installer also installs upgrades and additional solution sets and requires access to deployment specific configuration information for example machine names and port numbers e System Administrator This user configure
10. inst_type dim_fininst_id_type dim fininst_tole dim fraud dim_gaming_inst dim_gender dim_id_doc dim_insider_reln_type dim_instr_pay dim_insurance dim_money_laundering dim_mortgage_fraud dim_naics_code dim_oth_sus_actvty dim_product_type dim_reln_fininst dim_role dim_security_param Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR Save Metadata Chapter 2 Administration 26 27 28 29 30 31 32 33 34 dim_sec_fut_inst dim_sec_fut_inst_fininst dim_sec_fut_opt dim_states dim_structuring dim_suspect_id_type dim_sus_role dim_terr_fin dim_tin_type User Updated 1 DO oo ND ma WN dim_domain1 dim_domain2 dim_domain3 dim_domain4 dim_domain5 fet_transmitter_info dim_filing inst dim_users fet_branch_info 10 fct_fininst_info For more information on Uploading Data Excel Files refer to the Oracle Financial Services Analytical Application Infrastructure User Manual Save Metadata To save metadata follow these steps 1 Navigate to the Administration menu and select Save Metadata 2 Choose Save Derived Entities and Hierarchies For more information on saving metadata refer to the Oracle Financial Services Analytical Applications Infrastructure Unified Metadata Manager User Manual Note Any subsequent changes made to the Dimensions tables or the Hierarchies and Derived Entities should
11. ion_code RRSEDIT where m v_function_code RRSACC and m v_role_code RRANA Por more information on mapping user groups to roles refer to Oracle Financial Services Analytical Applications Infrastructure System Configuration and Administration User Manual Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR Excel Upload Chapter 2 Administration Excel Upload The Excel Upload is a feature of Oracle Financial Services Analytical Application Infrastructure Platform which allows the reference data stored in Microsoft Excel files to be loaded to the data tables in the Oracle Financial Services Analytical Application Infrastructure Atomic Schema The Solution Installer will place the data files under ftpshare STAGE Excelupload in the App Layer These data files should be uploaded in the following sequence using the Excel Upload feature of OFSAAL The data files are categorized as Product Supplied and User Updated The User Updated files are to be updated with correct data for the implementation and product supplied data files should be loaded as is Note The Excel Entity Mappings are already available in the product Product Supplied 1 N N N N N N RRP RRP RP po nan RP RP eR a A U N e O YD ON DB 0 FB WO NYO KF O So oo ND HO a WN dim_amnt_unknown dim_branch_role dim_casinos dim_communication_type dim_country dim_fed_regulator dim_filing type dim_financial_
12. iscsscscssctsscsdscestessecsesovaessseasavatsssenvotaasevccseessecesusssesssosssbossvetbetsossceavavatoasstbadonsebuniaunbenes xi CHAPTER 1 Introduction to Oracle Financial Services Regulatory Reporting CHAPTER 2 Administration cocoa 3 User Creatas da 3 Excel Upload ii IRRE DIEBE 4 Sav ME iaa AA A bi ed RS 5 Application Parameter aissas pieirii eisi een EE EE aE E E EE aE EEEE EEES 6 A seinem nie REE EEE EE EEEE CEA TEEN 6 Viewi o Security A tt bute Mappi E siosio Ai e i lesen a ERA 8 Adding Security Attrib te Mappine via NL IAEA Ea isis 8 Deleting Security Attribute Mappings iersinii enrii lidia 8 User Administratif sssini apanan n Rai ina Aae eiai aar EE aa aa AE AEE Re bIN ne 9 Changing the Password in Oracle Financial Services Analytical Applications Infrastructure 9 APPENDIX A Web Service User ID and Password Reset uuuuussunnunnnnuunnunn 11 Changing the User ID nennen ns nennen ons 11 Chans ns the Password ti Es Hansi nn inspirierte 11 Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR iii Contents iv Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR List of Figures Figure 1 User Attributes Tabla tds Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR v List of Figures vi Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR List of Tables Table 1 Conventions Us
13. l Services solves real business problems see our website at www oracle com financialservices Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR About this Guide Conventions Used in this Guide Table 1 lists the conventions used in this guide Table 1 Conventions Used in this Guide Convention Meaning Italics Names of books chapters and sections as references Emphasis Bold Object of an action menu names field names options button names in a step by step procedure Commands typed at a prompt User input Monospace Directories and subdirectories File names and extensions Process names Code sample including keywords and variables within text and as separate paragraphs and user defined program elements within text lt Variable gt Substitute input value Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR xi About this Guide xii Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR CHAPTER 1 Introduction to Oracle Financial Services Regulatory Reporting As a part of regulations and compliances organizations are required to perform appropriate analysis and report suspicious activities that lead to fraud and money laundering to the Regulatory Authorities These regulatory bodies are responsible for safeguarding the financial institutions and consumers from abuse providing
14. s maintains and adjusts the system and is usually an employce of a specific OFSAA client The System Administrator maintains user accounts and roles archives data and loads data feeds Scope of this Guide This guide details the roles of an administrator in RR The roles include User Creation Excel Upload Save Meta Data and Application Parameters Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR About this Guide How this Guide is Organized The Oracle Financial Services Regulatory Reporting 2 3 Administration Guide US SAR includes the following topics Chapter 1 Introduction to Oracle Financial Services Regulatory Reporting details the necessity of filing the RR documents to Regulations and Compliances Chapter 2 Administration details the activities of the Oracle Financial Services Analytical Applications Infrastructure Administrator user to configure and maintain the RR Appendix A Web Service User ID and Password Reset describes the process of changing the user ID and password Where to Find More Information Por additional information about the RR application refer to the following documents Oracle Financial Services Regulatory Reporting 2 3 Release Notes This guide details the highlights of the current release Oracle Financial Services Regulatory Reporting 2 3 Data Model Reference Guide Volume 1 This guide explains how data in the RR solution is organized and how RR uses
15. the data Oracle Financial Services Regulatory Reporting 2 3 User Guide This guide defines how users can view edit and generate report data and file the regulatory reports to the Regulatory Authorities It also helps users to adjust the application parameters Oracle Financial Services Analytical Applications Infrastructure System Configuration and Administration User Manual This manual deals with the System Configuration and Administration components of the OFSAA Infrastructure and assists the administrator in configuring the system managing users and performing administrative tasks Oracle Financial Services Analytical Applications Infrastructure Unified Metadata Manager Manual This manual deals with the Mart Builder component of the OFSAA Infrastructure and assists you in operating the mart builder to your advantage It encompasses all the activities involved in using the Mart Builder Oracle Financial Services Analytical Applications Infrastructure User Manual This manual deals with the Data Entry and Forms Designer Component and is aimed at assisting you to create user friendly Data Entry Screens with a choice of layouts It also explains how to load the Look up tables using the Excel Upload feature Oracle Financial Services Behavior Detection Platform Administration Guide This manual defines how to configure and manage the Oracle Financial Services Behavior Detection Platform To find additional information about how Oracle Financia
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