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Transactions User Manual

1. Input by DateTime Mod No Authorized by Open DateTime Authorized Note In case of pseudo switch the transaction currency for the subscription transaction will be the fund base currency of the redemption transaction fund SG ORACLE 5 15 2 5 15 3 Processing Readjustment Portfolios As part of EOD process all the settled units as on date are considered for readjustments The total current holdings are arrived using the latest NAV of the funds involved The current holdings of each fund are compared with the required readjusted portfolio both amounts are in aggregate currency The transaction type to be used is based on the net inflows and outflows required to achieve the required readjustment If a switch transaction is required among these funds the system will generate normal switch or pseudo switch based on the funds involved belong to the same AMC or different AMC respectively The readjustment request is rejected if there is any amount block on one of the fund where in units has to be switched out UH Portfolio Readjustment Summary Screen The portfolio readjustment details must be authorized by another user You can use the UH Portfolio Readjustment Summary screen to perform the following operations e Retrieve e Edit e Delete e Authorize e Amend You can invoke this screen by typing UTSUHPR in the field at the top right corner of the Application tool bar and click the
2. The AMC ID GO Number Price Date Transaction Type Transaction Mode GO Status The Fund ID If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen After retrieving a record you can perform the following actions in the Global Order Reconciliation Detail screen View a Record Edit a Record Delete a Record Authorize a Record Close a Record Copy a Record 5 10 2 2 Viewing Global Order Reconciliation Record To view a record that you have previously entered you must retrieve the same in the GO Reconciliation Summary screen as follows Invoke the GO Reconciliation Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The Fund ID in the Fund ID field If you choose the blank space then all the records are retrieved Click Search butto
3. FCIS Block Transaction Detail New 753 Enter Query Client Information Transaction Information Transaction Value Fund ID Transaction Date Transaction Mode Amounts Unit Holder ID Transaction Number Amount Applied Reference Number Units Applied Transaction Currency Currency Name Details Intermediary KYC Details Ada into aM Certificates Pledgee Details Address Pledgee Name State Zip Code Pledgee Branch Pledgee Bank Pay Dividend To Account Number IBAN Allocation Details Input By DateTime Open Anum Unauthorized Mod No Authorized By DateTime Pay Dividend To Alphanumeric Optional Indicate whether the dividend proceeds on the blocked units should be paid to the pledgor pledgee or to hold back the payment e If you opt to hold back Dividend on blocked units will not be paid reinvested until all the blocked units are unblocked e f you opt to pay dividend to the pledgor dividend on blocked units will be credited to unitholder bank account depending on the UH IDS setup e f you opt to pay the dividend to the pledgee dividend on blocked units will be credited to pledgee bank account irrespective of UH IDS setup Note If no option is selected then dividend on blocked units will be paid reinvested to the unitholder account depending on the UH IDS You will be allowed to capture the following details only if you have chosen to pay the dividend to the pledgee
4. Advanced Search Records per page 15 v 1of1 Authorized Open Type of Transaction Transaction Number Fund ID Payment Number Unit Holder ID Refer Specify the following information in this screen to view or track the status of checks e The ID ofthe fund for which the dividend was declared or the transactions that resulted in a redemption incentive payment or entity commission payment were put through You can also specify the ISIN Code of the fund e The ID of the unitholder involved in the transaction e The bank to which the payment is directed from which the unit holder will cash the payment instrument e The branch of the selected bank where the payment is drawn e Incase of Redemption payments the dates of the transaction in the Transaction From Date and Transaction To Date fields Click the Refresh button in the Action list The details of the check are displayed in the grid portion of the screen Fields in Cheque Tracking Summary Screen Type of Transaction Alphanumeric Mandatory Specify the type of transaction for which you wish to track the cheque The options are e Dividend e Redemption e Bonus e Entity Commission Transaction Number Specify the transaction number from the adjoining option list Payment Number Specify the payment number from the adjoining option list aie ORACLE Reference Number Specify the reference number from the adjoining option list Fund ID Mandato
5. Is PAN AIFolios Target Folio PD Units combination present Mark P D rows to Not to eT process Process P N row and mark P D rows to Not to process 5 18 Batch Update of Transaction Date A pre EOD check is done to if there are any future dated transactions for which the transaction date falls on a holiday If so you will not be allowed to proceed with the EOD process Use the Batch Update Of Transaction Date screen to modify the Transaction date for different transactions for the fund You can invoke this screen by typing UTDBUTD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Batch Update Of Transaction Date New 53 Enter Query Transaction Holiday Fund ID Fund Name Current Transaction Date ISIN Code Modified Transaction Date Operation Process Transaction Type ALL Set ORACLE 5 19 Fund ID Numeric Mandatory Enter the fund id for which the transaction date needs to be modified ISIN Code Alphanumeric Optional Select the ISIN Code of the fund in which the transaction was put through from the options provided If you specify the ISIN Code of a fund the ID of the fund is displayed in the Fund field Transaction type Drop down Mandatory Select the transaction type from the drop down list for which the modification will be allowed The default option will be All Current transaction d
6. You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value FCIS IPO Subscription Summary Authorized Open Reference Number Unit Holder ID Transaction Mode NotSelected v Transaction Number Fund ID Transaction Type Transaction Date Dealing Date Limt Order az PaymentMode NotSelected v AMC ID a Maker ID ajj Advanced Search Records per page 15 v toi Authorized Open Status Transaction Number Reference Number FundiD UnitHolderiD Transaction Type r m J 4 6 3 2 Editing FCIS IPO Subscription Record You can modify the details of FCIS IPO Subscription record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows e Invoke the FCIS IPO Subscription Summary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option 4 24 ORACLE Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in
7. Double click the record that you want to delete in the list of displayed records The FCIS Redemption Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 16 5 Authorizing FCIS Redemption Transaction Record An unauthorized FCIS Redemption Transaction record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS Redemption Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Redemption Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 16 6 Amending FCIS Redemption Transaction Record After a FCIS Redemption Transaction record is authorized it can be modified u
8. Fund Id Mandatory Alphanumeric Specify the fund id for which the requested transaction is to be put through from the option list in the Fund ID field Transaction Date Mandatory Date format By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration The date displayed here can be altered if required and you can specify the requisite settlement date Mode of Transaction Mandatory Alphanumeric Select the mode in which the payment for the transaction will be made in the Mode of Payment field Transaction Currency Display currency The currency for which the amount value for the transaction will be reckoned is displayed in the Transaction Currency field Refer the session above to know more about the validation of these fields and about the link KYC details and Payment Details You can now save the transaction A summary screen will appear showing all the details of the transaction along with defaults and transaction number Note Ensure that the verified bank accounts are used for redemption transaction If the bank ac counts are unverified such accounts should not be processed till the account status is changed to Verified Entering and Saving Switch Transactions Enter a switch transaction request into the system in the following sequence of events Navigate to the Switch Transaction Detail screen Invok
9. The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete The Global Order Settlement Detail screen is displayed Click Close from the action list in the Details screen You can re open any closed record at a later point in time di ORACLE 5 12 Viewing Global Order Status You can view the status of a GO at different stages using GO Status Summary screen To invoke this screen type UTSGOENQ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Global Order Status Summary ne amp Search q Advanced Search 9 Reset KA Clear All Search Is Case Sensitive Authorized H Open x GO Number az GO Date E AMC ID ae Fund ID az GO Status kz Latest Sequence Number Nof Records per page 1of1 Authorized Open GO Number GO Date AMC ID Fund ID GO Transaction Type UH Account Type GO Mode 5 12 1 Retrieving Global Order Status Record You can retrieve previously entered Global Order Status Details as follows e Invoke the GO Status Summary scre
10. The Net Amount in Fund Base Currency Display only For transactions that are put through on a gross basis the actual transaction amount in fund base currency after reduction of applicable loads is displayed here For transactions that are put through on a net basis the amount displayed here is the actual transaction amount in the fund base currency The loads would be added to this value to arrive at the total settlement amount Settlement Amount in Transaction Currency Display Only The settlement amount is the amount that the unit holder or the third party as specified in the transaction details would actually pay for the transaction For transactions that are put through on a gross basis the gross amount in fund base currency would be converted to the equivalent amount in the transaction currency and displayed here For transactions that are put through on a net basis the sum of the net amount in fund base currency and the applicable loads would be displayed here To understand how the amount projections are made consider the following example Performance Fee Details section For hedge funds the related performance fee details will be calculated during allocation The following details are displayed e Linked transaction number e Identification of the data element associated with performance fee e Description associated with the data element e Value associated with the data element oe ORACLE 5 1 5 Viewing Alloc
11. Transaction Aina Maximum Minimum Maximum Fund ID m Type Amount Units Units Amount Royal Trust Subscription 1 000 10 000 000 100 1 000 000 Growth Fund The details of unit holders transacting in the Royal Trust Growth Fund are as follows Unit Holder CIF Account Identification Identification ID Type Type Number UH1 CIF CPFOA NRIC N0001 1 UH2 CIF CPFSA NRIC N0001 1 UH3 CIF Cash Passport A80899 1 UH4 CIF ASPFOA NRIC N0001 2 The following transactions are entered into the Royal Trust Growth Fund Transactio Unit Transactio Transacti n Number Holder cr n Type on Mode Amount Units 5 112 ORACLE 5 15 S1 UH1 CIF1 Subscription Amount 10 000 0 00 S2 UH2 CIF1 Subscription Units 1 000 00 0 3 UH3 CIF1 Subscription Amount 900 S4 UH4 CIF2 Subscription Units 90 When the intra day check is enforced the following transactions violate the check At Unit Holder aggregation level The transactions S3 and S4 are displayed in the Intra Day Transaction Check screen since the transaction volumes are below the minimum transaction amount and minimum transaction units for subscription maintained for the fund in the Transaction Processing Rules At CIF aggregation level The transactions S1 and S3 are summed for CIF 1 and the sum 10 000 900 exceeds the maximum amount for subscription tran
12. e From the Actions list select the Authorize option e Inthe Level field select the Settlement option e Inthe Payment Mode field select the mode of payment specified for the transaction for which you want to authorize the status of the payment instrument To authorize a specific payment instrument enter the number of the instrument in the Specific Number field e Inthe Date Range fields specify a range of dates that would signify the period between which the transaction date or the allotted date of the transaction would be found e Click on the Show button All transactions with payment instruments that match your search criteria are displayed with the instrument details in the lower grid portion of the screen in a list e For each payment instrument that you want to authorize the status select Authorize from the drop down menu in the Authorization Status field Your specification here will mark the status of the instrument for authorization e After marking the status of as many instruments as necessary for authorization click the Authorize button to effect the authorization Fields in Payment Clearing Screen Instrument Status Alphanumeric Mandatory Specify the status of the instrument in the Instrument Status field The options e Credit Received If this status is selected system triggers automatic clearing of the associated transaction record and convert provisional units into confirmed units e Debit Received
13. eeeesteteeteeteeseens 5 84 UTDIDYCK isbsssicnctietninenccentats 5 111 UTSGOSTL uo 5 91 UTDLOADM csccsesstesesseeseeeee 5 42 UTSHLPDS ossis 5 123 UTDOLT amp Sectiecasslelacihais 5 98 UTSOLT oo eeeeceeeestestesteseeseeees 5 101 UTDPYCLR oocccccccccccccccecceccecseees 5 53 UTSRSPM areco 2 38 UTDRSPM noiiire 2 34 UTSRTAIO ossein 5 133 UTDRTAIO oo cccccccccccccccccecceececs 5 128 UT SSIN sis cigithsstpcriicisteiedaiiees 2 31 UTDSEREM cccccccccccccececceees 5 126 UTSTXNO1 crccercccncannress 4 23 RPT SUN seesissceachansrcsssentaeaentecntoane 2 1 UTSTXNO2 ossis 4 48 UTDTXNO1 onoaiia 4 9 UTSTXNOS ossein 4 63 UTDTXNO2 occcccccccccccceccceceesees 4 38 WTSI XNOS ciori aiiis 4 82 UTDTXNO3 coccccccccccccceccccccececees 4 53 UTSIXNOS scccisccsecidencccessisverssees 4 96 UTDTXNO4 oosina 4 68 UTSTXNOG 0 ceseeseeseeseeseeees 4 103 UTDTXNOS oiiire 4 85 UTSTXNOT oo cseeesessesresesneseens 4 109 UTDTXNOG scistsivcuneloeeideans 4 99 UTSTXNO8 0 ceeeeesteseeeeseeees 4 123 UTDTXNO7 cocccccccccccececccccceccecs 4 106 UTSTXNO9 ooien 4 116 UTDTXNO8 ccccccccccccceeccececees 4 119 UTSTXN10 acean 4 130 UTDTXNO9 coccccccccccccccccceccsececs 4 113 WIESTXNBesststtisssactectededdeanvaatles 4 35 UTDTXN10 ooie 4 126 UTSUHDEL eee 2 27 5 23 UTDTXNB noieeoe 4 26 UTSUHPR oo 5 117 UTSVOID ooosisoiiiiseiiieeeeiies 5 108 oad ORACLE Transaction User Guide September 2014 Oracle Financial Services Software Limited Oracle Park Off Western
14. If you set this counter to zero then the SI is cancelled on the very first rejection of the payment If there is no value maintained then the SI will not be automatically terminated if the payment is rejected Note After automatically terminating the SI the system will set the description for the SI to Can celled due to exceeding consecutive payment rejections No of SI Transactions Generated Display The system displays the number of SI transactions generated for the fund plan If this value is found to be equal to the limit set for the fund in Fixed No of SI Installments field in the Transaction Processing Rules and the SI Level is Fund then the SI will be cancelled Similarly where the SI Level is Plan an SI will be cancelled if the number of SI transactions generated is found to be equal to the Fixed no of SI installments for any of the funds under that plan In both cases after cancelling the SI the system will update the SI Status to Cancel and the SI Description field to Cancelled due to exceeding number of maximum transactions allowed Default Intermediary Click Default Details button to capture the remaining details for the standing instruction if any These details could include e Details of transactions that could result when the standing instruction is processed e Details of any brokers identified for the transactions a ORACLE e Details of the i
15. Navigate to the Transfer Transaction Light Weight Detail screen Invoke the FCIS Light Weight Transaction Detail screen by typing UTDTXNLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button vee ORACLE Specify Transfer in the Transaction Type field The Transfer Detail screen for transactions is displayed with all the default information FCIS Light Weight Transaction Detail New 7 Enter Query Transaction Type Transaction Type IPOSubscription v Transaction Sub Type Description Client Information Unit Holder ID To UnitHolder ID Unit Holder Name To Unit Holder Name Transaction Information Transaction Date Reference Number Fund ID Transaction Mode Amount Transaction Currency Units Transaction Number Amount To Fund ID Percent Subscription Fund ID Payment Mode Fund Identification Payment Mode Number Description Fund Name KYC Datails Maker ID DateTime Mod NO Checker ID DateTime Record Soy Unitholder ID Mandatory Alphanumeric Specify the unit holder id of the unit holder who has requested for the transaction You can select the id from the option list maintained Fund Id Mandatory Alphanumeric Specify the fund id for which the requested transaction is to be put through from the option list in the Fund ID field To Fund Id Mandatory Alphanumeric Specify the fund to which the unit holder wishes to s
16. No and then you need to manually override it 4 6 15 5 Override Fee details Section 1 Specify whether the transaction value must be reckoned either as a gross value from which the loads will be deducted or as a net value exclusive of the loads in the Gross or Net field 2 Ifthe transaction is being put through as a result of a check issued by an investor with the check writing facility in a fund for which the check writing facility is allowed the transaction is considered by default to be amount and the Gross or Net indicator is taken by default to be Net It cannot be changed 3 Specify the value of the transaction in the Amount Units Percent field as per the Transaction Mode selected The unit holder that has requested the transaction must hold the required balance in this fund at the time of redemption 4 59 ORACLE This value will be validated against the minimum maximum and step values specified for redemption transactions in the Transaction Processing Rules for the fund It is also validated against the amount units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits If the client country option NETUNALLOTEDAMT is set to true for your bank then the system will match the units to be redeemed with the unit holder s current bal
17. screen to do this You can invoke this screen by typing UTDSEREM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Send Receive Messages i New 5 Enter Query WI E Agent Code Branch Code Message Send Messages Agent Code Specify the Agent Code of the module to which you are sending the message Branch Code Specify the branch Code of the module to which you are sending the message Message Enter the message that has to be sent To send a message specify the Agent and Branch Code of the module to which you are sending the message and key in the text of the message in the Message field box Then click the Send button To receive a message specify the Agent and Branch Code of the module from which you are receiving the message and click the Receive button The text of the incoming message is displayed in the Message field box size ORACLE 5 16 2 5 17 Receive Messages Send Receive Messages i New 9 Enter Query Messages 1of1 o Agent BRANCH NAME Time Stamp UserID Message Delete z m No Dalate Massana Agent This displays the entity from which the message has come For outgoing messages it will display the current entity code Branch Name This displays the bank name to which the agent belongs Timestamp This displays the time when the message had come User ID This displays the
18. 5 9 5 10 5 11 5 12 5 1 1 Client Information Settini raean ona a a nsi aa 5 1 5 1 2 To Client Information Seco serren nsorers arira Ae R ATE EAR A ia 5 2 5 1 3 Transaction Information Section sseseessssrresrrrneerrrnrrrrerrrnnrrrrnnnneeerrnnrrnna 5 3 5 1 4 Viewing Details of Projected Allocation 1 0 secceeeeetttteeeeeeteteeeeeettntteeeeneeae 5 17 5 1 5 Viewing Allocation Details 00 eccccccecteteeeeeetnnneeeeeeennneeeeeetnaeeeeeetneeeeenenae 5 20 5 1 6 Transaction KYC Details Screen ssssenserrnrierrnnnnrerrnnsrrrinnnrrnnnnnnrnnnnnne 5 21 5 1 7 Viewing Details of UH Deals Setup nnnessiinnnesinnnnesrnnnneernnneeernnnneeennne 5 23 5 7 8 Broker Details Secon siero ient a O E NRO 5 24 5 1 9 Settlement Details Section s ee esssrreesrreeersrrnrrnrrrrennrnrnnnnererrnerrrannnneernnae 5 26 5 1 10 Pledgee Details Section as orire oner ee EE AE E 5 36 5 1 11 Fee Payment Details Section 1s1sssrnnsesrrrnrrrrrnnnrnenrnnnrnrrnnnenernnnnnnnnna 5 37 5 1 12 Certificate Details Section ss ussrssnnesrnnnnrsrrnnnnrrrnnnrnrnannernnnnnrernrnnnnnannaa 5 39 5 7 13 koad OVErTIde SOCHON perri neins tiiirtiae EAER HEARSE AEETIS RELA EAER REE 5 41 5 1 14 Limit Orders Secho eira AEEA A A RRON 5 44 9 1 15 Allocation Details Section se escrreeniiernenr enere ar iR 5 44 5 1 16 Document Details Section s enssrrreurriinnnrrernnnnrnnnnnnrnrnnnnnnnrinnerennanannnnnna 5 45 5 1 17 Additional Information
19. Blank Space option then all the records that involve the specified unit holder are retrieved e The SI Number Aal ORACLE e The Unit Holder ID e The Fund ID e The Transaction Type e The Status e The Start Date e The End Date e The Escalation Start Date e The Escalation End Date e Last Processed Date e Agent Code Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner Press F7 Input the Unit Holder ID Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operation by selecting from the Action list You can also search the record by using combination of and alphanumeric value 2 3 3 Viewing Standing Instruction To view a record that you have previously entered you must retrieve the same in the Standing Instructions Summary screen as follows e Invoke the Standing Instructions Summary Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorized field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen and click Search butt
20. Click Payment Details button under Pymt Dtls column to invoke the Payment screen Specify the clearing date in the Clearing Date field By default the clearing date is deemed to be the application date Specify any relevant remarks in the Remarks field After marking as many instruments as necessary for clearing or rejection click the Save button to save your changes To clear all instruments displayed in the list choose the Clear All button To reject all instruments displayed in the list choose the Reject All button Depending on what you choose either Clear All or Reject All the clearing status field under the Payment Clearing grid will display the clearing status 5 6 5 2 Payment Clearing Details The following details are displayed in the Payment Clearing screen The transaction number of the transactions with the selected mode of payment or a check number The payment mode used in the specified transaction The instrument number of the payment instrument used for the transaction The date of the payment instrument The currency of the payment instrument The amount of the payment instrument The bank name and branch name of the bank where the payment instrument was drawn 5 6 5 3 Authorizing Clearing Status After you have updated the clearing status for a transaction payment instrument another user must authorize the clearing status for it to be effective in the system data stores oe ORACLE 5
21. Remarks e GO Confirmed Amount GO Confirmed Price GO Price Date Input by DateTime Authorized by DateTime Mod No Open Authorized Fields in the GO Confirmation Detail Screen Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the GO Confirmation Detail screen You can enter the following in this screen GO Number Alphanumeric 16 Characters Mandatory Specify the Global Order number If you click on Populate button the following fields are displayed GO Date Display The system displays the Global Order date AMC ID Display The system displays the AMC ID Fund ID Display The system displays the fund ID Transaction Category Display The system displays the transaction category One of the following values are displayed in this field e Legacy e Advised Business e Execution Only a8 ORACLE GO Transaction Type Display The system displays the GO transaction type Unit Holder ID Display The system displays the unit holder ID Unit Holder Name Display The system displays the unit holder name UH Account Type Display The system displays the UH account type Nominee Account Number Display The system displays the nominee account number GO Mode Optional Select the GO mode from the drop down list Following are the options available in the drop down list e Unit e Amount GO Status Optional Select the Global Order stat
22. Select the unit holder to whom the transfer of ownership is being affected When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list If you have selected a unit holder for the selected CIF using the Find link the name and number of the selected unit holder is displayed here You must select a unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved a ORACLE Transaction Information Section Fcs Subscription Transaction Detail Save Transaction Information Transaction Currency Taal Transaction Value Fund ID z Reference Number Transaction Mode Amount v Unit Holder ID Units Applied Transaction Date 04 23 2014 E Transaction Type a Amount Applied Transaction Number Description B n 5 Percent Applied Payment Mode Cash r Enrich Transaction UH amp Fund SERB Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Gross orNet Gross v Communication Mode Delivery Option _ Direct In Person X Investment Account X Exchange Rate Details Source ID REUTER a Exchange Rate Applied Amount Applied Override Exchange Rate No v FX Deal Date E FX Value Date Settlement Details Receipt Details Pro
23. The system uses the projected return value for load amount computation and also to compute the net amount to AMC while generating GO In LEP transactions if there are criteria based loads the criteria is evaluated during UT transaction generation and it will be used during allocation Change type When you override or alter an allocation time load at the time of entering a transaction you can effect the change in any of the following ways Discount reducing the load return value in all the slabs Increase increasing the load return value in all slabs Return Value assigning an altered return value that will be applicable to all the loads Limit Order Section Click on Limit Order tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 73 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Sronbactow tine Amount Applied Transaction Number a at Percent Applied Payment Mode Select One UH amp Fund Transaction Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certincate MEMME Limit Order Details Limit Order Type X Limit End Date Limit Price Limit Date Limit Start Date Settlement Details Receipt Details Project Allocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime An
24. UCITS Fund at the Fund level is Yes and the UH mapping to the Fund in the UH KIID Compliance tab is NO then at the transaction level the system will default the KIID Complaint to No The other combinations is as follows UCITS Fund Yes No UH Mapping at the KIID KIID Complaint at Txn level will Compliance TAB default to Yes No No Yes Yes Yes No NA Blank If the KIID Complaint is set to No the system display the following error message while saving the transaction The Unit holder has not received the KIID If the flag is set to YES there will be no error message and treated as if the UH has received the KIID The system will always look at the latest UCITS fund mapping maintained at the UH level If the transaction is being done in a fund which is not a UCITS Fund then the field KIID received at transaction level will be defaulted to Blank You cannot change this option to either a Yes or No at the transactions level if it is not a UCITS Fund The business user can change the KIID Compliant flag at the transaction from No to Yes and proceed with the transaction capture but visa versa is not possible The record at the Unit Holder level will however not get updated You will have to manually update the same In case of backdated transactions if transaction date is less than effective date system will default the KIID Compliant field to
25. alt ORACLE 4 6 2 6 Load Override Section Click on Load Override tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 9 Enter Query Transaction Information Transaction Currency LE Fund ID Reference Number Transaction Mode EMANE gt Unit Holder ID Units Applied Transaction Type Description Transaction Date Transaction Number lt lt o lt Payment Mode Select One j Amount Applied Percent Applied Enrich Transaction UH amp Fund Transaction Other Intermediary MEREEN KYC amp Document Add Into Fee Payment Certificate Limit Order Load Override Details 1of1 Fund ID Load ID Load Details Load Description Group Id AmountPercent Change Type Change Value Laad Dataile X a rived Load Override Details 1of1 Load ID Parent Load ID Load Description Change Type Change Value Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime Mees Unauthorized In this section you can override or alter the value of any load including derived loads if any mapped to the selected fund and applicable for the transaction type which is to be computed at the time of allocation The frequency of computation for such loads would be allocation This section is only enabled for funds that
26. these units or the lien must be lifted This is known as an unblock transaction Split Consolidation Reissue In certain funds the investors receive certificates that are representative of their holdings investment units in the fund These funds are called scrip based funds In certain funds the investors are given units for their investment in the fund without certificates These funds are called scrip less funds In certain funds the investor is given the option of requesting for certificates If the investor chooses to receive certificates then the fund furnishes the same If not then no certificates are issued Such funds are termed as certificate option funds In scrip based funds and certificate option funds where certificates have been requested for an investor may choose to e Split a single certificate into certificates of smaller denominations resulting in a split transaction e Merge many certificates of smaller denominations into a single certificate of their total denomination resulting in a consolidation transaction e Seek a reissue of certificates for reasons of losing a certificate or mutilation of certification etc resulting in a reissue transaction In such an event the reissued certificates are printed with a Duplicate tag on them The FC IS system provides the facility to process any of the transaction types enumerated above n ORACLE 4 4 4 4 1 4 4 2 4 5 4 5 1 Tran
27. CIF Number Find UH Reference Number Unit Holder Name Transaction Currency Transfer Type Transfer OUT x Communication Mode DIRECT Transaction Date f Old ISA Manager az Curr Year ISA Amount New ISA Manager a Prev Year ISA Amount First ISA Txn Date E Transfer Option Remarks ___ A OneleggedTransferDetails 1 of 1 V Transaction Number Fund ID Fund Name Input by DateTime Authorized by DateTime Mod No Open Authorized You can specify the following details Unit Holder ID Alphanumeric 8 Characters Mandatory Specify the unit holder ID Unit Holder Name Display The system displays the unit holder name for the selected Unit Holder ID while saving a8 ORACLE CIF Number Alphanumeric 8 Characters Mandatory Specify the customer ID Transfer Type Optional Select the type of transfer from the adjoining drop down list Following are the options available e Transfer In e Transfer Out e In Specie Transfer Out e In Specie Transfer In Reference Number Display The system displays the reference name Transaction Date Date Format Mandatory Specify the transaction date Transaction Currency Alphanumeric 3 Characters Mandatory Specify the transaction currency ISA Related Old ISA Manager Alphanumeric 8 Characters Optional Specify old ISA Manager details This adjoining option list displays all valid old ISA manager details ma
28. Certificate Details Section 2 e The certificate numbers for certificate based transactions 5 3 Viewing Fund wise Balances of Unit Holders In the UnitHolder Balances Summary screen you can query the database to obtain fund wise balances of unit holders as of a price date or settlement date You can invoke this screen by typing UTDUHBAL in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Unit Holder Balances Summary i New 7 Enter Query Fund ID Fund Identification Number Unit Holder ID Value Date Date Basis Settlement Date Ok Unit Holder Name Fund Id Detail Fund ID CIF Number Unit Holder ID Total Unit Balance Transaction Details 1of1 T Fund ID CIF Number Unit Holder ID Transaction Number Transaction Date m As of a price date or a settlement date you can view the balances for oat ORACLE e A specific unit holder in all funds You must provide the ID of the required unit holder in this case e A specific unit holder in a specific fund You must provide the IDs of both the required fund as well as the unit holder in this case e All unit holders in a specific fund You must provide the ID of the required fund in this case To obtain the required balances for viewing in this screen you must specify the following information that would be used as search criteria e ID of the fund for which you require to view the unit hold
29. In this section Settlement Date Dealing Date Price Date Maturity Date Completion Date amp Fund Price Basis will get defaulted when Enrich Transaction button is pressed User can also allow changing these fields Other fields in this section are Auto Clear Reinvestments Auto Clear Provisional Balance Payment Allowed LOI transaction EUSD Option Cancel Instruction Base Cost CPMF Credit Lag CPMF Bonus Percent and Lock in period for Gain amp Remarks By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the settlement date from the maintenance The date displayed here can be altered if required and you can specify the requisite settlement date Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field If you have defined a different trade cycle for the fund in the Overri
30. Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance Dealing Date By default the dealing date is derived based on the dealing date maintained for the fund in the Specific Fund Price Date Setup screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific price date fund System will default the transaction date as the dealing date If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities in the Fund Manager User Manual for more details on maintaining alternate trade cycles for a fund To Dealing Date By default the To Dealing date is derived based on the dealing date maintained for the fund to which the unit holder wishes to switch the investment in the Specific Fund Price Date Setup ale ORACLE screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific pri
31. Redeeming Units for Unblocked Amounts that is found later in this chapter for a full discussion of the redemption process When you specify the fund the ISIN Code of the fund is displayed in the ISIN Code field ISIN Code 12 Characters Maximum Alphanumeric Mandatory Select the ISIN Code of the selected fund If you specify the ISIN Code of a fund the ID of the fund is displayed in the Fund field Agent Display Only The code of the Agent where the transaction is accepted is displayed here Branch Display Only The name of the Agency Branch where the transaction is accepted is displayed here Remarks Specify if there are any remarks You can view the Escalation Detail Section provided the client country parameter SICREDSPECIFIC is set to False for the installation in your bank Ores ORACLE 6 3 2 3 Specifying Escalation Details Section Sometimes an investor may instruct the AMC to increase the blocked or unblocked amounts at pre defined intervals Such increase patterns are termed as escalation details FCIS Amount UnBlock Detail Escalation Start Date Escalation End Date Escalation Mode Escalation Value Escalation Frequency Select Frequency Next Escalation Date Escalation Paused In this section you can maintain the pattern of escalation for the amount block or unblock transaction Note This section is an optional section but if you make an entry in any field here then all the ot
32. System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc Authorized X Open X Transaction Number a Reference Number a Fund ID az Unit Holder ID a Transaction Type X E Transaction Mode ail Transaction Date a AMC ID a Maker ID az Records per page 15 v 1 of 1 Authorized Open Transaction Number Reference Number Fund ID Unit Holder ID Transaction Type Trans ae m 4 6 23 2 Editing FCIS Transfer Record You can modify the details of FCIS Transfer record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Transfer Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Transfer Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information
33. d ORACLE Click Save to save your changes The FCIS Transfer Detail screen is closed and the changes made are reflected in the FCIS Transfer Summary screen 4 6 23 3 Viewing FCIS Transfer Record To view a record that you have previously input you must retrieve the same in the FCIS Transfer Summary screen as follows e Invoke the FCIS Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The FCIS Transfer Detail screen is displayed in View mode 4 6 23 4 Deleting FCIS Transfer Record You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the FCIS Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the l
34. e No The system will default the KIID compliant at the transaction level upon the selection of the Unitholder and Fund in the transaction screens If the UCITS Fund at the Fund level is Yes and the UH mapping to the Fund in the UH KIID Compliance tab is NO then at the transaction level the system will default the KIID Complaint to No The other combinations is as follows vcrrsrundves wAMappingat lb compa Compliance TAB default to Yes No No Yes Yes Yes No NA Blank If the KIID Complaint is set to No the system display the following error message while saving the transaction The Unit holder has not received the KIID If the flag is set to YES there will be no error message and treated as if the UH has received the KIID The system will always look at the latest UCITS fund mapping maintained at the UH level If the transaction is being done in a fund which is not a UCITS Fund then the field KIID received at transaction level will be defaulted to Blank You cannot change this option to either a Yes or No at the transactions level if it is not a UCITS Fund The business user can change the KIID Compliant flag at the transaction from No to Yes and proceed with the transaction capture but visa versa is not possible The record at the Unit Holder level will however not get updated You will have to manually update the same In case of backdated t
35. there will be no error message and treated as if the UH has received the KIID The system will always look at the latest UCITS fund mapping maintained at the UH level If the transaction is being done in a fund which is not a UCITS Fund then the field KIID received at transaction level will be defaulted to Blank You cannot change this option to either a Yes or No at the transactions level if it is not a UCITS Fund The business user can change the KIID Compliant flag at the transaction from No to Yes and proceed with the transaction capture but visa versa is not possible The record at the Unit Holder level will however not get updated You will have to manually update the same In case of backdated transactions if transaction date is less than effective date system will default the KIID Compliant field to No and then you need to manually override it oes ORACLE Deriving the order received date and time The system will validate the Fund cut off based on the Order received time and not the actual time the Transaction is captured in the system The transaction date will be derived by the system based on these two fields For instance if the Fund Cut off is 14 00 hrs at a Fund level and the transaction is captured at 15 00 hrs in the system with the Order Received time as 13 00 then the system should validate the time maintained at Order Received time and not the time the transaction is actually captured This will be cons
36. you will have to enter relevant search criteria in the Quick Find Options and the Advanced Find Options The system will display the records that match the search criteria you have specified The Transaction Date records matching the search criterion specified are displayed in row lists in the lower grid portion of the screen From this results list choose the unit holder deal that you want to view by clicking on the record twice When you click on the Search Unit Holder Customer button alongside the Action Buttons the Unit Holder Deal Setup screen is invoked in View mode as shown below where you can view the details of the record a8 ORACLE You can invoke this screen by typing UTDUHDEL in the field at the top right corner of the Application tool bar and click on the adjoining arrow button The following screen is displayed Unitholder Deal Maintenance Detail i New 3 Enter Query Client Information Unit Holder CIF Number Find Unit Halder Deal Details Deal Transaction Number Apply AtCIF Level No Apply Deal At Load Level bd Fund ID Fund Name Policy Number Effective Start Date TaxType Select X Load ID Amount Or Percentage Load Details 1of1 Slab Sequence No From Date Status Active ad Product ID Product Name Deal Based On Description Effective End Date Group ID Load Description Load Calculation Method To Date From Amount To Amount 4 Dafauli Load Detail
37. 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder may wish to switch an amount or a certain number of units or a percentage of the holdings balance 2 For scrip based funds and scrip less funds for which the ageing is based on transaction receipts as designated in the fund rules the permissible modes are units and percent Similarly for B amp B Switch type the permissible transaction modes are unit or percentage Specify the value of the transaction in the Transaction Value field The unit holder must hold the required balance in the fund from which the switching is being put through at the time of entry of the transaction This value will be validated against the minimum maximum and step values specified for switch transactions in the Transaction Processing Rules for the fund It is also validated against the amount units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits The transaction value is defaulted as 100 if the transaction type is Modify IDS If the client country option NETUNALLOTEDAMT is set to true for your bank then the system will match the units to be redeemed with the unit holder s current balance minus the un allotted switches if any If the transaction value exceeds the balanc
38. 88 ORACLE 5 7 1 Overriding loads in Transaction Load Override Screen To override such a load use the FCIS Transaction Load Override Detail screen You can invoke this screen by typing UTDTXNLO in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Load Overide Details New 5 Enter Query Find Criteria Transaction Type All All Fund ID Unit Holder ID Fund Name Short Transaction Number ISIN Code Agent Code Policy Number Branch Policy Transaction Number Force Re Calculation Transaction Number Record Status Load Details K 1of1 Check Transaction Number Unit Holder ID Fund ID LoadID Load Type Group Id Fee v 4 Load Details I4 1of1 Ti Transaction Number Fund ID LoadID Load From Entity Type Load To Entity Type Transaction Ar T Derived Load Details M 410 gt gt I Check Transaction Number Unit Holder ID Fund ID Parent Load ID Input By DateTime Authorized By DateTime Modification Number Record Status Auth Status To override a load do as follows 289 ORACLE 5 7 2 e Retrieve the record of the load that you want to override by specifying search parameters You can specify any or all of the following to enable the search The type of transaction for which the load is applicable in the Transaction Type field The unit holde
39. Add Info Fee Payment Certificate Limit Order Load Override Details 1of1 FundID LoadID LoadDetails Load Description Groupld AmountPercent ChangeType ChangeValue Projected Return Value 7 Settlement Details Receipt Details Project Allocation Details Allocation Details Vi Input By DateTime Mod No Authorized By DateTime mage Unauthorized aA ORACLE Load ID Display Only The ID of the allocation time load that has been mapped to the fund for the transaction type is displayed here The load ID is displayed as a link To view details of the load click the ID link The following screen is invoked Load Maintenance Detail D New 5 Enter Query Basic Information Load ID Load Description Cumulative loads PriceBasisLoad ROA Threshhold For Initial Fee Slab Mode UH Deal Maintainable Mode Period basis Load Calculation Method Tables Referred Criteria Load Details 1of1 No v Date v Days v Slab Basis Agent Agency Branch _ Broker IFA C Investor _ Payment Mode Fund Slab Sequence No From Date To Date From Amount Amount Or Percentage Consider as Lower SelectOne v ToAmount From Units Fe ee ud No Investor Fund Investor Txn _ Account Officer UH Additional Info Transaction Rule Transaction Details Criteria Derived To
40. Alphanumeric Mandatory Specify if the redemption transaction involves a limit order sell by selecting it from the list Product Alphanumeric Mandatory If the selected investor is eligible for tax exemption select the tax product in which the investor wishes to purchase units in this field When you select the product you are indicating to the system that this transaction will affect the used up amount of the non taxable limit set up for the selected unit holder in the Non Tax Limits Setup options The proceeds of the transaction will also be reflected in the system database as non taxable holdings for the investor To Fund Alphanumeric Mandatory for switch transactions Select the fund to which the selected unit holder has requested to switch or exchange the investment If you specify the Fund ID the ISIN Code of the fund is displayed in the To ISIN Code field To ISIN Code 12 Characters Maximum Alphanumeric Mandatory Select the ISIN Code of the fund to which the selected unit holder has requested to switch or exchange the investment from the options provided If you specify the ISIN Code of a fund the ID of the fund is displayed in the To Fund field From Issued Balances Optional In the case of transaction types other than IPO or subscription specify whether the transaction value must be reckoned from the unit holder s issued balances or the non issued balances Select Yes to indicate that the value must be recko
41. Applied field on ORACLE Exchange Rate Applied Numeric Mandatory When you select the exchange rate source the system computes the actual exchange rate applied using the transaction currency fund base currency and the value of the transaction and displays the same here You can override this value when you enter the transaction To do so select the Override Exchange Rate box and then specify the desired exchange rate value in this field When you override the computed exchange rate the overridden value must fall within the fluctuation range allowed for the transaction currency fund base currency pair in the Currency Pair Setup records FX Deal Date Date Optional The system will display the FX Deal Date during transaction enrichment for subscription redemption and pseudo switch transactions which you can override if required However if the date you specify is lesser than the application date or greater than the FX Value Date the system will display an error message The date should also be a TBC working day The date defaulted by the system will include the allocation lag for the fund if the date so derived after allowing for the allocation lag is a TBC holiday the system will display the next TBC working day Note Ifthe client country parameter FORWARD_FX_RATE is set as false the system will allow only the application date as the FX deal date For all transactions other than subscriptio
42. Beneficiary IBAN Beneficiary Add3 Beneficiary Info Intermediary Details Intermediary Intermediary Add1 Intermediary BIC Code Intermediary Code Intermediary Add2 Intermediary Acct No Intermediary IBAN Intermediary Add3 Intermediary Info Further Credit Details Reference Further Credit Name Reference1 Further Credit Acct No Reference2 Settlement Details Settlement Level The settlement level is displayed Settlement Method The method of settlement is displayed Transaction Settlement Details Payment reference Number Specify the payment reference number Sub Payment Mode Select the mode of payment The following options are available oa ORACLE e Demand Draft e Pay Order e Against Payment e In Kind Payment e CMA Cheque e Broker Cheque e Cashier Cheque e Foreign Cheque e Government Cheque e Other Institution Cheque e Out Of Town Cheque e Payroll Deduction Cheque e Reserve Bank Cheque e Debit Card e Credit Card e Advice e CMA Transfer e Direct Debit e Money Transfer e Telegraphic transfer e Wire Transfer Payment Currency Specify the payment currency You can also select the currency from the adjoining option list The list consists of valid and authorised currencies maintained in the system Payment Date Specify the payment date Payment Amount The payment amount is displayed Bank Charges Specify the bank charges Payment Charges Specify the payment charges Exchang
43. Characteristics rule for the fund then you can override these values in this section when you are entering a transaction You can capture the numbers of the certificates involved in a transaction Partial usage of the units in an issued certificate is only permissible for redemption switch transfer block and unblock transaction types Note In case of Transfer transactions system marks the original certificates held by the trans feror as being transferred and new certificates are generated with the transferee as the To Unitholder oe ORACLE Check numbers for check redemption transactions For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed you must specify the number of the check being redeemed in this section Note If more than one check is being presented for redemption you must enter one redemption transaction for each check Fields in this section Certificate Required Select the option Yes to specify requirement of certificate Minimum Certificate Denomination Numeric Mandatory This is the least number of units or the minimum lot that would comprise a single certificate This value is maintained in the Shares Characteristics rule for the fund and is displayed here If user overrides are designated as allowed in the Shares Characteristics rule you can override this value and specify the required minimum
44. Date e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc e Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc FCIS Split Transaction Summary Transaction Number Fund ID Unit Holder ID Transaction Type Transaction Mode Not Selected v Transaction Date AMC ID Authorization Status Reference Number Open Input By LH Advanced Search Reset Records per page 45 X 10i Transaction
45. Express Highway Goregaon East Mumbai Maharashtra 400 063 India Worldwide Inquiries Phone 91 22 6718 3000 Fax 91 22 6718 3001 www oracle com financialservices Copyright 2007 2014 Oracle and or its affiliates All rights reserved Oracle and Java are registered trademarks of Oracle and or its affiliates Other names may be trademarks of their respective owners U S GOVERNMENT END USERS Oracle programs including any operating system integrated software any programs installed on the hardware and or documentation delivered to U S Government end users are commercial computer software pursuant to the applicable Federal Acquisition Regulation and agency specific supplemental regulations As such use duplication disclosure modification and adaptation of the programs including any operating system integrated software any programs installed on the hardware and or documentation shall be subject to license terms and license restrictions applicable to the programs No other rights are granted to the U S Government This software or hardware is developed for general use in a variety of information management applications It is not developed or intended for use in any inherently dangerous applications including applications that may create a risk of personal injury If you use this software or hardware in dangerous applications then you shall be responsible to take all appropriate failsafe backup redundancy and other mea
46. FCIS Light Weight Transaction Detail screen by typing UTDTXNLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Specify Redemption in the Transaction Type field The Redemption Detail screen for transactions is displayed with all the default information FCIS Light Weight Transaction Detail i New 9 Enter Query Transaction Type Transaction Type POSubscription Transaction Sub Type Description Client Information Unit Holder ID To UnitHolder ID Find UH Find To UH Unit Holder Name To Unit Holder Name Transaction Information Transaction Date Reference Number Fund ID Transaction Mode Amount Transaction Currency Units Transaction Number Amount To Fund ID Percent Subscription Fund ID Payment Mode Fund Identification Payment Mode Number Description Fund Name Pavrnant Details KYC Datails Maker ID DateTime Mod NO Checker ID DateTime Record Status az Unitholder ID Mandatory Alphanumeric Specify the unit holder id of the unit holder who has requested for the transaction You can select the id from the option list maintained Transaction Mode Mandatory Alphanumeric Select the mode in which the transaction value will be reckoned in the Transaction Mode field aE ORACLE 4 6 18 Amount Units Percent Value Mandatory Alphanumeric Specify the valid amount unit or value of the transaction in the Amount field
47. ID Press F8 You can perform Edit Delete Amend Authorize Confirm operation by selecting from the Action list You can also search the record by using combination of and alphanumeric value 2 2 4 Viewing Deals for Investors To view a record that you have previously entered you must retrieve the same in the Unitholder Deal Summary screen as follows e Invoke the Unitholder Deal Summary Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorized field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The UNITHOLDERDEAL Detail screen is displayed in View mode 2 2 5 Deleting Deals for Investors You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the Unitholder Deal Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details and click Search button All records with the specified details are retrieved and displayed in the lo
48. Indicates that information about Cheque rejection is received from Bank e Reject Status Awaited Indicates that information about Cheque rejection has been received at AMC TA through return of physical instrument Sar ORACLE e Rejected This means that both rejected cheque and reject information from the bank have been received Once this status is updated system will trigger automatic reversal of the associated transaction record Note If the record is uploaded with the status Debit Received the options in the drop down list are Reject Status Awaited and Rejected Ifthe record is uploaded with the status Reject Status Awaited the options in the drop down list are Debit Received and Rejected Ifthe payment mode is Money Transfer then the options available are Credit Received and Rejected Ifthe record is uploaded from the Bank Reconciliation screen with the status Credit Received or Rejected then the record will not be available in the New mode and you will not be allowed to update the instrument status In case of uploaded records system adds the following in the Remarks field Through Bank Recon Upload When No Action 5 7 Transaction Load Override In FLEXCUBE Investor Services you have the facility of changing the return value or final amount value of a load charge that is applicable for a transaction requested by an investor a
49. Limit Order for Subscription buy option in the Type of Transaction field The Limit Order section is enabled 2 To set up a price based limit order specify the following details in the Limit Order section e Select Price Based in the Limit Order Type field e Specify the price for the limit order in the Limit Price field This represents the price equal to or below which the transaction must be put through for buy orders e Specify the period within which the limit order must be executed by indicating the boundary dates in the Limit Start Date and Limit End Date fields 3 To set up a date based limit order specify the following details in the Limit Order section e Select Date Based in the Limit Order Type field e Specify the future date on which the limit order transaction must be executed in the Limit Date field Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed The system will validate the following if CPMF is applicable for the fund involved in the transaction ORACLE e Transaction amount should be greater than the minimum amount for CPMF e Mode of payment is Money transfer e The subscription is Gross Amount based e Only one bank account is maintained in the payment details e The
50. Minimum Holding Check Required z g E No Nol Nox Input by DateTime Mod No Authorized by DateTime Open Authorized Fund ID 6 Character Maximum Alphanumeric Mandatory Select the fund in which any transactions resulting from the standing instruction must be put through When you specify the fund name of the fund is displayed in the Fund Name field The option list displays all the funds that are mapped to the savings plan From Issued Balances You can select Yes to set From Issued Balances Else select No Certificate Required Optional For funds that have the certificate option as specified in the Shares Characteristics rules specify whether the selected unit holder has requested certificates for the standing instruction transaction If yes then choose the Yes option in this field and specify the number of certificates requested in the Number of Certificates field Single Certificate Mandatory only if you have chosen the Yes option in the Certificate Required field Select the denomination of certificates whether single or multiple that will be involved in the subscription transaction if certificates have been requested 216 ORACLE Minimum Holding Check Required Optional You can use this field to indicate whether the system must perform the minimum holdings validation when the subscription transactions in respect of the standing instruction are gener
51. Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC ID i m m ut ORACLE 4 6 30 2 Editing FCIS Split Transaction Record You can modify the details of FCIS Split Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Split Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Split Transaction Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Split Transaction Detail screen is closed and the changes made are reflected in the FCIS Split Transaction Summary screen 4 6 30 3 Viewing FCIS Split Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Split Transact
52. Party Address Line 4 C ed Third Party Zip Code Cid Third Party US State Third Party Details BIC Code Country Input by DateTime Mod No Authorized by DateTime Open Authorized The following screen shows the SI Bank Details The payment details include the following e The mode through which the payment is made either check or transfer e The type of payment that is whether the payment is being made by the unit holder that has requested the transaction or by an external third party e The details of the bank and branch of the bank for the payment e The details of any payment instruments such as checks the number and date e Inthe case of payment by account transfer the details of the bank account to which from which the payment is being made from The maintained accounts in the Transfer Details option list in case of payment through transfer The accounts in the Payment Bank Account option list in case of payment through cheque Note The system fetches bank accounts based on the payment currency and Mode of Payment specified in SI bank Details If the payment currency account is not maintained you can choose the multi currency account available Mode of Payment You can select it as cheque or money transfer Aaa ORACLE Payment Type Alphanumeric Mandatory The payment type refers to whether the payment is being made by the unit holder who has requested for the transaction or by an ex
53. Plan Maintenance Screen cccccccccceeeeeeeeetntneeeeeeeeee 2 35 2 4 2 Plan Maintenance Summary SCLECN c cccceeceeenteeecteenneeeeeeetnaeeeeeeenaas 2 38 2 4 3 Retrieving Savings Plan in Summary screen seceeeceetetteeeeeeenteteeteeeaes 2 38 2 4 4 Editing Savings PLAN ecceccccceeeeeeceeeenneee eee tnnneeeeeetaaeeeeeetaeeeeeeetaeeeeenetaa 2 39 2 4 5 Viewing SAVINGS PLAN eeeececcetteeeceeenteeeeeeenteeeeeeeeaeeeecesaaeeeeeeeniateeeeeeaees 2 39 2 4 6 Deleting SAVINGS Plan cceccecceceec et tteeeeeenteeeeeeesnaeeeeeesiaeeeeesenaeeeesenaaes 2 39 2 4 7 Authorizing SAVINGS PIAN cccccecceece tea E n RR irinae aes 2 40 2 4 8 Amending Savings Plan ssseeesseeeeesrrnnrrrrnrnnerrrrnerrrrranernrrrnnrrrnnnnnnernnnnnt 2 40 2 4 9 Authorizing Amended Savings Plan ccccccccccsceceetteeeeettnneeeeeetnaeeeereta 2 40 DRA a F ae a E E E E a 3 1 311 RA Plans oa ear rena a e ies a e adana edea ea Nees dene AEAT Nir eee are dudes 3 1 3 2 Unit Holders and Unit Holder Accounts e ec ceeeceeeceeeeeeeeneeeeeteeeeeeeetenaaeeeeteeaeeees 3 1 Processing Transaction Requests c ceceeeeeeeneeeeeeeeeeeeeeeeeeeeeeeeeeeeees 4 1 4 1 IMMOCUCUION EAA AEE AE A I AE E E EO A ec ded EAEE TE oe accteeesne donates spaces 4 1 4 2 Finding what You Need in this Chapter ec ceceeeseeeeeeeeeneeeeeeeeneeeeeeeeneeeeeeenaaes 4 1 4 3 Types of Transaction REQUeStS ccccccceceeceeeeeeceeeeeeeaeceeeeeeeeeeeeeeeecesec
54. Pledgee Name 60 Characters Maximum Alphanumeric Mandatory Specify the name of the person or institution with which units are pledged for the block transaction Address 255 Characters Maximum Optional Enter the address of the pledgee one ORACLE 5 1 11 Zip Code 6 Characters Maximum Optional Specify the zip code of the specified city of residence of the pledgee State 60 Characters Maximum Alphanumeric Optional Specify the state in which the city of residence of the pledgee is located Pledgee Bank 12 Characters Maximum Alphanumeric Mandatory From the list select the name of the bank in which the account is held Pledgee Branch 12 Characters Maximum Alphanumeric Mandatory From the list select the name of the branch of the bank in which the account is held Account Number 16 Characters Maximum Alphanumeric Mandatory Specify the number of the account held by the pledgee in the selected bank Fee Payment Details Section You can capture the details of any payments made towards the transaction time fee in this section When you select the fund in which the transaction is to be put through this section is enabled only if any transaction time fees are mapped to the fund as chargeable for the transaction type Fee Payment Details for Mode of Payment as Check Credit Card or Draft Capture the following details if the mode of fee payment chosen is check credit card or demand draft Drawee Bank Alphanume
55. Project Allocation Details Fund ID Units Product ID Base Price Unit Price Load Amount Allocation Price Net Amt In FBC Gross Amt in FBC Linked units Settlement Amt Txn Ccy Unit Balance Linked Product ID Load Amt in Fee Ccy Performance Fee Details 1of1 I Link Transaction Number InOutFlag Elementidentification Element Description Value The following allocation details are displayed The Allocation Details section Fund ID Display Only The ID of the fund through which the transaction is done In the case of a switch transaction this is the switch from fund The Product ID Display Only The ID of the tax product if the transaction involved a tax exemption eligible investor Units Display Only The number of units allocated in respect of the transaction Unit Price Display Only The unit price that is prevalent for the transaction type as on the date of the temporary allocation Load Amount Display Only The sum total of loads applicable for the transaction ole ORACLE The Gross Amount in Fund Base Currency Display Only For transactions that are put through on a gross basis the actual transaction amount in fund base currency without any reduction of applicable loads is displayed here For transactions that are put through on a net basis the amount displayed here is the sum of transaction amount i e the transaction value and the applicable loads in the fund base currency
56. Reconciliation Detail screen is displayed Select Unlock operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The GO Reconciliation Detail screen is closed and the changes made are reflected in the GO Reconciliation Summary screen 5 10 2 4 Deleting Global Order Reconciliation You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the GO Reconciliation Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The fund ID in the Fund ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete The GO Reconciliation Detail screen is displayed Select Delete operation from the Action list The syst
57. Rules 1 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule 2 If you wish to override the applied exchange rate at this stage specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance 3 Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record 4 Atthis stage the transaction is ready to be saved If you wish to see a projected picture of how the transaction would most possibly be allocated then click the Project Allocation Details button 4 6 15 6 Specifying Fee Payment Details 1 Payment Details button is enabled for payment modes other than Cash and Against Payment Click on the Payment Details button to specify the settlement information If the payment for the transaction is proposed to be made by check credit card debit card transfer in kind or multi payment modes then you must specify settlement instructions in the settlement information screen and the payment details su
58. Select the Global Order generation type from the drop down list Following are the options available in the drop down list e User Initiated Generation e Generation at Cut off time GO Settlement Optional Select the GO Settlement details from the drop down list Following are the options available in the drop down list e Yes e No Nominee Account Number Alphanumeric 16 Characters Mandatory Specify the nominee account number Include Back Dated Trade Optional Select if back dated trade is included from the drop down list Following are the options available in the drop down list e Yes e No GO Differential Distribution Logic Optional Select the GO differential distribution logic from the drop down list Following are the options available in the drop down list e To Highest Transaction Amount e Highest Transaction to the Lowest If you maintain distribution logic as To Highest Transaction Amount then the differential units will be adjusted to the transaction which has the highest transaction amount If you maintain distribution logic as Highest Transaction Amount to Lowest then the system will distribute the difference amount from the highest transaction amount to the lowest in step up units Net Off Distributor Fee Optional Select if distributor fee is netted off or not from the drop down list Following are the options available in the drop down list e Yes e No en ORACLE 5 8 1 1 5 8
59. Specifying the Retain Ageing You can specify retain ageing Retain ageing mentioned here will override the fund rule level maintenance 480 ORACLE Note The flag for Retain Ageing to Subscription is not available for System generated transac tions like Standing Instructions System would take default values from the Fund Rules for such transactions Specify the Certificate Details 1 If the transferor unit holder has requested transference of a portion of the issued or certificate balance you must specify the numbers of the certificates that are being transferred if any If partial transference has been requested from any of the certificates check the Partial check box against that certificate in the Certificate Details section Also you may need to alter the minimum and maximum denominations if so requested An override of these specifications is possible if it is allowed as designated in the fund rules If the transferor unit holder is requesting transfer of a deed you can capture the deed reference number and the date Auto Clear Provisional Balance Check this option to indicate that 100 outflow transaction should include provisionally allotted units This option will be enabled if the transaction mode is Percent and the transaction value is 100 Auto Clear Reinvestments Check this option to indicate that 100 outflow transaction should include freeze held and reinvestment units This option will be
60. Transaction Mode Mandatory Alphanumeric Select the mode in which the transaction value will be reckoned in the Transaction Mode field Amount Units Percentage Value Mandatory Alphanumeric Specify the valid value of the transaction in the Amount Units Percentage Value field This depends upon the selection made in the Transaction Mode Fund Id Mandatory Alphanumeric Specify the fund id for which the requested transaction is to be put through from the option list in the Fund ID field Transaction Date Mandatory Date format By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration The date displayed here can be altered if required and you can specify the requisite settlement date Payment Mode Mandatory Alphanumeric Select the mode in which the payment for the transaction will be made in the Payment Mode field ape ORACLE 4 6 15 Payment Mode Description The description for the mode selected is displayed here Transaction Currency Display currency Transaction currency will be defaulted as fund base currency in the Transaction Currency field Payment mode should be same as fund base currency Refer the session above to know more about the validation of these fields and about the link KYC details and Payment Details You can now save the transaction A summary screen will appear showing all the details of the trans
61. Transaction Number Description 7 Percent Applied Payment Mode Select One Transaction Mode Amount Units Applied Amount Applied UH amp Fund Transaction Other MABRE Load Override KYC amp Document Add Into Fee Payment Certificate Limit Order Transaction Intermediary Details 1of1 Aa Entity ID Entity Type Entity Name Parent Entity Name SplitPercentage From Or To Leg Agent From Settlement Details Receipt Details Project Allocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime piui Unauthorized If a broker has been identified as an intermediary for the transaction then you must identify the same in this section along with the commission percentage split for the broker If brokers are designated as mandatory for the fund in which the transaction is being put through then you must specify at least one broker as mandatory information in this section If brokers are not mandatory for the fund and you do not specify any broker in this section then the system reckons the broker as DIRECT and designates the same as the default broker Broker Code Select the code of the broker that has been identified as the intermediary for the transaction By default the code of the unit holder s default broker is displayed here You can specify other brokers too by selecting them from the list To invoke the list click the button that is found alongside the Broker Code field a
62. Txn Load Override screen This will be so oe ORACLE 5 7 3 5 7 3 1 if you have not checked the Force Recalculation field check box in the main Transaction Load Override screen To indicate to the system that load computation must be done you must Select this option When you do so the original computed loads before any overrides is displayed in the Return Value Amount fields in the Txn Load Override screen After you perform the load overrides and override some or all of the retrieved loads the overridden load records are saved as unauthorized load overrides At this stage when you open the Load Override screen and retrieve the overridden load records by specifying search criteria you have the following options e f you check the Force Recalculation check box the system will compute the loads again without taking into account the overrides you have performed The load amounts displayed after this computation are the original pre override amounts e f you want to revert to the saved load override record and the overridden load values do not check the Force Recalculation check box The overridden load records will be retrieved and displayed If a load override that is performed is subsequently authorized then you will not be able to retrieve it through specifying search criteria Fields in Transaction Load Override Detail screen Mandatory fields Transaction Type Indicate the one of the following transaction t
63. Units From Period Input by Authorized by Mod No DateTime DateTime Open Authorized You can invoke this screen by typing UTDLOADM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button If the load is criteria based the criteria will be displayed in the Load Details screen If a derived load has been mapped it is also displayed here and can be overridden 5 42 ORACLE Description Display Only The description of the allocation time load that has been mapped to the fund for the transaction type is displayed here Amount Percentage Display Only The type of the allocation time load that has been mapped to the fund for the transaction type is displayed here The type of the load refers to the base value upon which the load is applied There are two possible types amount based loads and percentage based loads Change type for each slab Optional When you override or alter an allocation time load at the time of entering a transaction you can effect the change in any of the following ways e Discount reducing the load return value in all the slabs e Increase increasing the load return value in all slabs e Return Value assigning an altered return value that will be applicable to all the loads To understand clearly how the override would be performed in any of these ways let us consider an example Let us suppose that the following
64. adjustment transaction Screen is opened Then click on the Unlock button in the Action List e The Adjustment Transaction Detail screen is opened in amendment mode with the selected transaction displayed e You can amend the required details for a transaction provided the units in respect of the transaction have not been allocated e Accordingly amend the necessary information If required you can specify the appropriate rejection code if any for the amendment in the Reversal Code field You can also specify any appropriate amendment remarks in the Remarks field e Click the Save button to save your changes Block or Unblock Transactions by Amounts The FC IS system provides the facility of accepting and processing block or unblock transactions that involve amounts across funds It means that a specific amount portion of the investor s holdings across funds can be blocked in the system You can also increase i e escalate the blocked amounts at a given frequency Also upon specific instructions from the investor you can also reduce the blocked amounts for the purpose of unblocking The unblocking could also be facilitated at any point of time and escalated at a designated frequency Note For any investor you can enter multiple transactions of the amount block type Entering Amount Block or Unblock Transactions To enter and process such block transactions that involve blocking or unblocking of amounts across
65. all of the following details in the screen The status of the transaction in the Authorization Status field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Record Status field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved The transaction type in the Transaction Type field If you choose the blank space then all the records are retrieved The reference number in the Reference Number field The customer information number in the CIF Number field Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen 5 17 1 2 Editing RTA Transfer Details You can modify the details of the RTA transfer details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the FCIS RTA Transfer Summary screen from the Browser 1 Specify any or all of the following details in the screen Saiga ORACLE 5 17 1 3 e The status of the transaction in the Authorization Status field If you choose the blank space then both the authorized and the unauthorized status records will
66. allotted transaction for the same combination of fund and policy with Auto Clear Provisional Balance checked then you will not be allowed to check this box ORACLE Auto Clear Reinvestments Optional You can use this field to indicate that 100 outflow transactions redemption switch and transfer should include freeze held and reinvestment units Note The Auto Clear Provisional Balance and Auto Clear Reinvestments fields will be checked or unchecked based on the specification for the same in the Defaults Mainte nance However you can change the defaulted value These options will be enabled if the transaction mode is Percent and the transaction value is 100 Switch In Exchange Rate Source For Switch transactions only Alphanumeric Optional Select the exchange rate source from which the exchange rates are to be derived for the switch in leg of the transaction The default source for the AMC is displayed here from the Defaults Maintenance The Calculate link for switch in exchange rate calculation To compute the exchange rate that will be applied for the switch in leg transaction select this link The system computes the exchange rate and displays it in the Switch In Exchange Rate Applied field Switch In Exchange Rate Applied For Switch transactions only Numeric Optional When you select the exchange rate source the system computes the actual exchange r
67. amount block transactions this is the amount that will be blocked across all the combination of fund and unit holder in which the investor retains holdings For amount unblock transactions this is the amount that will be unblocked against the selected Block ID Transaction Date Display only for amount block transactions enabled and mandatory for amount unblock transactions This is the date on which you enter the amount block transaction into the system It is reckoned to be the application date which is displayed here For amount unblock transactions you can specify either the application date or a future date Pledged To Alphanumeric Optional Specify the entity that the blocked amount is pledged to i e the pledgor This pledgor entity that you specify here must be the same for all amount block transactions that you enter for the unit holder that you have entered in the Unit Holder field This means that for all amount block transactions entered into by a single unit holder the pledgor entity specified must be the same On the first occasion that you enter an amount block transaction for a unit holder the pledgor that you specify will be taken as the pledgor for the subsequent amount block transactions for the same unit holder and will be displayed by default in this field When you are entering an amount unblock transaction the pledgor details that you specified for the selected Block ID are displayed here and cannot be cha
68. any of the following details of a standing instruction Escalation Details The escalation details such as SI Escalation Frequency Next Escalation Date Escalation Type and Escalation Value may be amended Transfer bank details for account transfer payments The transfer bank account details can be altered only for those standing instructions for which the Mode of Payment is Transfer Payment mode and check details The Mode of Payment can be amended from Transfer to Check or vice versa during amendment of a standing instruction The check details cannot be altered if the checks are still unprocessed 238 ORACLE 2 3 7 2 4 Broker details The broker may be altered during amendment Unit Holder Bank Details You can change the bank details of an active standing instruction If the modified bank are attached to any active Income Distribution Setup IDS Standing Instruction Setup or Policy SI Premiums or Annuities the system displays a warning message Cancelling pausing reactivating a Standing Instruction After a standing instruction is authorized it could be e Active This means that the instruction is still being processed and transactions have been put through e Paused The authorized instruction record exists in the database but no processing is taking place in respect of the same e Cancelled The instruction has been annulled and no processing is scheduled to take place in respect of the same Duri
69. any of these checks fail an override is sought 4 6 12 1 Processing Cancellations Cancellations are processed as follows The cancellation is processed based on the fund level cancellation parameters as follows The price basis for the cancellation depends on the Cancellation Price Basis defined in the fund rules The fund load mapping for cancellation would have been set up similar to the loads applicable for the initial subscription with entity types reversed Upon authorization the cancellation creates an underlying redemption transaction with transaction date as the cancellation date and units equal to the original allotted units of the subscription transaction Upon authorization of the cancellation the original subscription cannot be amended or reversed Also the original subscription cannot be reversed or aged against any other redemption The cancellation transaction is a sub type of redemption transaction The administration fee for cancellation is captured as a transaction time fee If the original transaction has already been redeemed out the System records an error sat ORACLE If the original transaction has not been settled that is there are provisional units there is no payout due to the generated redemption which is generated as confirmed and paid The load amount for the redemption is the sum of loads due to refund of the original load amounts Allocation of the cancellation age out th
70. are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Reissue Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 34 6 Amending FCIS Reissue Transaction Record After a FCIS Reissue Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the FCIS Reissue Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Reissue Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes qia ORACLE 4 6 34 7 Authorizing Amended FCIS Reissue
71. authorized the value of the transaction will be reflected in the system database The user who enters the transaction in the system cannot authorize it A user other than the one that entered the transaction can perform authorization When a transaction is authorized the authorizer must re key the transaction amount or number of units which was specified for the transaction during transaction entry When this is successfully done the transaction can be authorized The events that take place when you authorize a transaction can be understood from the table given below Check i Credit Card amine Mode of Transfer Upon Allocatio a at ii Allocation of Units ak Payment allocations Authorization n facility on par with cash Available Cash Confirmed units Confirmed units allo allocated cated upon authorization Available Check Available Provisional Units Provisional Units allo Credit allocated cated upon authoriza Card tion confirmed units on Transfer the date on which the check credit card transfer instrument is cleared in the system Available Check Not Available No allocation at Confirmed units are allo Credit authorization cated only on the date Card on which the check Transfer credit card transfer instrument is cleared in the system Not Avail Cash Units allocated by Units allocated by End of able End of Day pro Day processes on the cesses on the date of authorization date of a
72. base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund is displayed in the Fund Name field e If you have selected a certificate option fund then all certificate information fields are enabled The fields are Certificate Required Number of Certificates and the Certificate Details section e If you have selected a fund for which transaction entry charges or allocation charges or both are applicable then the following fields are enabled for data entry e The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields e The Fee Payment Details Section e The Load Override Section e Specify the fund to which the unit holder wishes to switch the investment in the To Fund field You can also specify the ISIN Code of the fund The name of the chosen fund is displayed in the Fund Name field Switching is allowed either between funds in a fund family or between funds in an AMC as designated in the Entity Maintenance record for the AMC You are allowed to switch to a fund provided you do not have any holdings in the fund complementary to the fund you have chosen In case of pseudo switch transaction the following fields will be displayed e Subscription Fund Id e Subscription Price Basis e Switch In Fund Base Currency Bed and Breakfast switch means switching within the same fund i e if the Switc
73. be moved to Unit balance Note During allocation of a non cash based subscription transaction system checks the clearing status of the transaction If it is cleared then the transaction is marked as settled and the unit holder s unit balance will reflect the units that were allotted for that transaction On authorizing the payment entries for an allotted transaction system checks the clearing status of the transaction If it is cleared then the transaction is marked as settled and units allotted for that transaction will be moved from the provisional balance to unit balance for that unit holder If settlement status for the transaction is settled then on changing the settlement in formation i e if the settlement amount in FBC TC is not equal to the amount used for unitization then the settlement status will be marked as Unsettled ae ORACLE Reverse Optional You can reverse the payment both multiple and single payment s provided there are no linked transactions In case there is no transaction linked to the current transaction then on reversal system changes the settlement status as Unsettled and moves the Units from Unit Balance to Provisional Balance Note Only Settled payments can be reversed You can modify the settlement instructions of the transaction post utilization also However allocation happens even in the absence of any payment instruction Calculate Link Click on this link
74. be retrieved for the specified criteria e The status of the records in the Record Status field If you choose the blank space then all the records are retrieved e The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e The transaction type in the Transaction Type field If you choose the blank space then all the records are retrieved e The reference number in the Reference Number field e The customer information number in the CIF Number field Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS RTA Transfer Details screen is displayed Select Unlock operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS RTA Transfer Details screen is closed and the changes made are reflected in the FCIS RTA Transfer Summary screen Viewing RTA Transfer Details You can modify the details of the RTA transfer details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the FCIS RTA Transfer Summary screen from the Browser Specify any or all of the following details in the screen e
75. changes 4103 ORACLE 4 6 25 7 Authorizing Amended FCIS Block Transaction Record 4 6 26 An amended FCIS Block Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Entering and Saving Unblock Transactions To enter an unblock transaction request into the system perform the following sequence of steps Navigate to the Unblock Transaction Detail screen Invoke the FCIS UnBlock Transaction Detail screen by typing UTDTXNO7 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for Unblock transactions is displayed with all the default information FCIS UnBlock Transaction Detail M New 5 Enter Query Client Information Transaction Information Transaction Value Fund ID Unit Holder ID Find UH Block Transaction Number Transaction Date Transaction Number Reference Number Transaction Currency Currency Name Transaction Mode Amounts Amount Applied Units Applied Enrich Transaction EBB intermediary kvc Details Add info Certificates Client Information Unit Holder Name CIF Number Fund Name Short Fund Identification Number Exchange Details Exchange Rate Source Amo
76. commission derived for the standing instruction transaction that is to be accrued to the broker The split percentages that you specify for all brokers you choose for the transactions must sum up exactly to one hundred percent From Or To Leg Optional Select the From or To leg from the drop down Maintaining SI Payment Details Details of the checks used to pay for the standing instructions can be captured here Click SI Payment to enter the details FCIS Standing Instructions Detail SI Basic info SI Fundinfo Slintermediary FURgEViutige SI Delivery Details SI Bank Details SI Routing Details SI Check Payment Details 1 of 1 V Check Number PaymentDate Processed T E Nd Input by DateTime Mod No Authorized by DateTime Open Authorized azg ORACLE In this screen click the Populate Check Details button The system will display the Check Details screen where you can fill in the relevant details FCIS Standing Instructions Detail Check Details Starting Check Number Number Of Check Leaves Check Start Date Specify the following in this screen Starting Check Number Specify the check number of the starting check used for the standing instruction No of Check Leaves Specify the number of checks that will be used for the standing instruction Check Start Date Specify the date for the starting check After you enter the requisite details and click OK The syst
77. corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Transaction Number e Fund ID e Unit Holder ID e Transaction Type e Transaction Mode e Transaction Date e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 28 ORACLE You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows FCIS Consolidation Transaction Summary Transaction Number Transaction Mode Authorization Status X Records per page 15 v Transaction Number Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc Search by 7 System will fetch all the reco
78. displayed e The Fund ID and the ISIN Code e The To Fund ID e The Product ID e The number of units allocated in the Units field e The Spill Over Product ID and the number of spillover units in the Spill Over Units field e The Unit Price for the transaction as on the date of the temporary allocation e The total load amount in the Load Amount field e The Gross and Net Amounts in fund base currency e The Settlement Amount in the transaction currency The following Load Details are displayed The Fund ID and the ISIN Code The Load ID The Load Description The Load Amount eee ORACLE After you have viewed the projected allocation details click the Close button to close the screen Specify additional information if necessary FCIS Transfer Detail New 9 Enter Query Transaction Information Reference Number Transaction Value Fund ID Transaction Date Transaction Mode Amoi Unit Holder ID Transaction Type Not Selected Units Applied Transaction Number Transaction Currency Amount Applied Percent Applied To UnitHolder ID UH amp Fund Other Intermediary Load Override KYC amp Document Add info Fee Payment Certificate Additional Information Details 1of1 E Other Info Field Field Value Receipt Details Allocation Details Input By DateTime Mod No Authorized By DateTime Authorized fe Click on the Transaction Add Info button to enter any additional information for the transacti
79. displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Bulk Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc 4a ORACLE 4 6 10 2 4 6 10 3 e Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC 17 etc FCIS Bulk Transaction Summary Bulk Transaction Number EZAN ESI Records per page 15 v Bulk Transaction Number Transaction Date Total Amount Total Units Editing FCIS Bulk Transaction Record You can modify the details of FCIS Bulk Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows e Invoke the FCIS Bulk Transaction Sum
80. enabled if the transaction mode is Percent and the transaction value is 100 KYC Details Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received If the investor has not completed the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check the Tax Document option If either the From UH or the To UH is KYC non compliant the system displays a warning message You can however override the warning and save the transaction Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default From UH Deal Click on the From UH Deals button to view the details of all the deals set up for the transferor unitholder Enter the relevant search criteria in the Find Options screen The system will display the records that match the search criteria you have specified Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record aray ORACLE
81. entered if cross branching is not allowed for the agency branch Unitholder Name The system displays the name of the unit holder along the Unit Holder ID field The Transaction Information Section Reference Number System generated information display only For all adjustment transactions the system affixes the following alphanumeric value as the reference number XADJTXNO2SYSTEMX For subscription adjustment transactions XADJTXNO3SYSTEMX For redemption adjustment transactions The reference number will be used to identify the adjustment transaction uniquely in the system Transaction Date Date Mandatory Specify the date on which the adjustment transaction is accepted in the system By default the application date is displayed here 2 ORACLE If backdating is allowed for the fund then the user can enter a date that is between the application date and the backdating limit specified for the Fund in the Transaction Processing Rules setup for this transaction type Further if the back dating period is specified for the fund then this limit will override the limit specified for the fund Fund ID 6 Character Maximum Alphanumeric Mandatory Select the name of the fund in which the specified unit holder wishes to subscribe from the list provided The drop down list is populated based on the unit holder specified in the following manner The nationality of the specified unit holder is reckoned from the information
82. field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Unblock Transaction Detail screen is displayed in View mode 4 6 27 4 Deleting FCIS Unblock Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Unblock Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Unblock Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database cae ORACLE 4 6 27 5 4 6 27 6 4 6 27 7 4 6 28 Authorizing FCIS Unblock Transaction Record e An unauthorized FCIS Unblock Transa
83. fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Block Transaction Detail screen is displayed in View mode 4 6 25 4 Deleting FCIS Block Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Block Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Block Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 25 5 Authorizing FCIS Block Transaction Record An unauthorized FCIS Block Transaction record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS Block Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the
84. for Fund ID by using the combination of and alphanumeric value as follows Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc Ao ORACLE FCIS Reissue Transaction Summary Records per page 15 v 1 of 1 Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc Fund ID Transaction Type Transaction Number Unit Holder ID Transaction Mode NotSelected v Transaction Date AMC ID Authorization Status Reference Number Open Input By Advanced Search a Transaction Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC ID m m7 n 4 6 34 2 Editing FCIS Reissue Transaction Record You can modify the details of FCIS Reissue Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Reissue Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthori
85. from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed records The FCIS Consolidation Transaction Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 32 5 Authorizing FCIS Consolidation Transaction Record e An unauthorized FCIS Consolidation Transaction record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Consolidation Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Consolidation Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details o
86. from the investor along with the date on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated 3 If during a subscription or IPO transaction the inflow amount is greater than the maximum amount for Tax Id system verifies if the unit holder has a Tax ID maintained PAN If PAN is not specified system verifies Tax Document in KYC 4 The system checks if the current transaction is an initial purchase or a subsequent one based on the actual transactions carried out by the UH In the case of an initial purchase the system allows you to save an IPO transaction even if the UH has not met the KYC requirements Note If no list has been maintained for this transaction you may still record the KYC list for the transaction as well as the unit holder If KYC list is not maintained for your installation sys tem will consider the documents as submitted by default Save the transaction 1 At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed wee ORACLE 4 6 3 4 6 3 1 8 Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an u
87. funds use the FCIS Amount Block Detail or FCIS Amount UnBlock Detail screen You can invoke the FCIS Amount UnBlock Detail screen by typing UTDAMT07 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ad ORACLE Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the amount block and unblock transactions FCIS Amount UnBlock Detail New 5 Enter Query Client Information Unit Holder ID CIF Number Other Details Reference Number Pledge To Remarks Transaction Date Block Unblock ID Block Currency Mode of Payment Select PaymentMode PaymentType Self Bank Details Account Type Account Number Bank IBAN Third Party Details Third Party Reference Address City Escalation Details Input by Authorized by DateTime DateTime Mod No Open Authorized Find UH Unit Holder Name Fund ID External System Select External System Amount Block ID Fund Name Sub Payment Mode Payment Mode Description Branch Code Account Currency Account Holder Name US State Non US State ZIP Code US State To enter an amount block or unblock transaction in the Detail screen e Specify the CIF to which the unit holder for whom the transaction is being entered belongs Then select the unit holder account e If you are unblocking against a previously bloc
88. have allocation time loads mapped to them as applicable for the transaction type Fund ID When you select the fund in which the transaction is to be put through any mapped allocation time loads are displayed as a list in this section Load ID The ID of the allocation time load that has been mapped to the fund for the transaction type is displayed here The load ID is displayed as a link To view details of the load click the ID link If a derived load has been mapped it is also displayed here and can be overridden Load Description The description of the allocation time load that has been mapped to the fund for the transaction type is displayed here aN ORACLE 4 6 2 7 Amount Percent The type of the allocation time load that has been mapped to the fund for the transaction type is displayed here The type of the load refers to the base value upon which the load is applied There are two possible types amount based loads and percentage based loads Project Return Value The System populates the return value from the load setup If the UH Deal maintained is same for Unit Holder Load and Fund Setup then overridden value from UH Deal is displayed If there are criteria based loans in UT transactions the criteria is evaluated and only loads applicable for the transaction is displayed You can view the applicable loads and projected return values by clicking Enrich Transaction in the transaction screen
89. have previously entered you must retrieve the same in the GO Confirmation Summary screen as follows Invoke the GO Confirmation Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The GO Confirmation Detail screen is displayed in the view mode Editing Global Order Confirmation Record You can modify the Global Order confirmation details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the GO Confirmation Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and t
90. if it is designated as available in the Transaction Processing Rules for the fund Allocation by the End of Day processes All transactions that have been entered and authorized on a given business day will be automatically allocated by the End of Day processes that are performed at the installation for that business day Allocation through the Menu You can also manually trigger the allocation for a transaction through the corresponding menu item in the End of Day menu category in the Fund Manager component You can use this facility to perform allocation for transactions involving payment instruments on the clearing date Transaction Processing Procedures Before you Enter Transaction Request Before you enter a transaction request from an investor into the system ensure that the following details have been taken care of e All required static data maintenance for the branch in which you are accepting the transaction must be in place including the user profiles e The investor that is requesting the transaction must be set up as a valid unit holder in the system with a Unit Holder ID and a unit holder account You can accept and process an IPO or subscription transaction request for an unauthorized unit holder Note You can accept redemption transfer and unblock transaction requests from unit holders whose account is pending closure in the system The funds in which the transaction is requested must be authorize
91. individual transaction by editing each transaction using Edit option available in the Transaction Details section in the FCIS Bulk Transaction Detail screen e Delete To delete a particular transaction unlock the unauthorized record and select the Delete option available in the Transaction Details section in the FCIS Bulk Transaction Detail screen e Authorize Authorizing the multi transaction results in authorizing all the linked transactions along with it ae ORACLE 4 6 10 FCIS Bulk Transaction Summary Screen You can perform the following operations in this screen 4 6 10 1 Retrieving a Record in FCIS Bulk Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Bulk Transaction Summary screen by typing UTSTXNB in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Bulk Transaction Number e Maker ID Click Search button to view the records All the records with the specified details are retrieved and
92. loads are mapped to the Carey Bugle Memorial Fund for all transaction types with the processing frequency as allocation Load ALLOCL1 a percentage based load with a return value of 5 for slab 1 and 2 and 4 for slab 3 Load ALLOCL2 a percentage based load with a return value of 3 5 for all slabs Load ALLOCL3 an amount based load with a return value of 10 USD for slabs 1 and 2 and 9 USD for slabs 3 and 4 Let us suppose that you are accepting a subscription request into this fund from the unit holder Mr Bill Smith and upon his directives you have overridden these allocation time loads as follows Load ALLOCL1 is to be discounted You choose the Discount option in the Change Type field and specify the discount value in the Value field in the Load Override section as 1 to be applicable to all slabs of ALLOCL1 The new percentages applicable for slabs 1 and 2 would be 4 and for slab 3 the new percentage would be 3 Load ALLOCL2 is to be increased You choose the Increase option in the Change Type field and specify the new return value as 1 applicable to all slabs of ALLOCL2 The new percentage applicable for all slabs of ALLOCL2 is 4 5 For load ALLOCL3 you choose the Return Value option and specify the new return value as 8 USD for all slabs of ALLOCL3 The new return value for all slabs 1 2 3 and 4 for the load ALLOCL3 would be reckoned as 8 USD Value Numeric Optional Specify the altered
93. lot Maximum Certificate Denomination Numeric Mandatory This is the highest number of units or the maximum lot that would comprise a single certificate This value is maintained in the Shares Characteristics rule for the fund and is displayed here If user overrides are designated as allowed in the Shares Characteristics rule you can override this value and specify the required minimum lot Certificate Number Alphanumeric Mandatory Specify the number of the certificate that is to be redeemed switched transferred blocked unblocked split consolidated or reissued as the case may be When you specify the certificate number the number of units contained in it is displayed in the Units field Total Units Display Only When you specify the certificate number the number of units contained in it is displayed in this field Partial Select this option to indicate that only a portion of the units contained in the certificate must be used for the transaction For certificates that are being redeemed switched transferred blocked or unblocked you can either use the whole portion of units or a part as requested by the unit holder For certificates that are being split consolidated or reissued partial usage of the number of units contained in the certificate is not permissible The following example will make this clear oH ORACLE 5 1 13 Delete Optional Select this option to mark the selected row as inapplicab
94. make changes to a record after authorization e Invoke the Unitholder Deal Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend only authorized records e Specify any or all of the details of the Unitholder Deal in the screen All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Unitholder Deal Detail screen is displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save the changes Authorizing Amended Deals for Investors An amended Unitholder Deal record must be authorized for the amendment to be made effective in the system The authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions When you retrieve a deal record for the purpose of amendment in this screen it is displayed in the UH Deal Setup Detail screen in Amend mode All the non editable field values are displayed as labels while the editable fields are enabled for data entry changes Note When you make changes to any authorized record in the system database through the amendment operation the record with the amended information is saved as an unauthor ized rec
95. modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The Plan Maintenance Detail screen is displayed e Select Unlock Operation from Action list to modify the record Modify the necessary information e Click Save to save your changes Plan Maintenance Detail screen is closed and the changes made are reflected in the Plan Maintenance Summary screen 2 4 5 Viewing Savings Plan To view a record that you have previously entered you must retrieve the same in the Plan Maintenance Summary screen as follows e Invoke the Plan Maintenance Summary Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click th
96. not subsequently authorized You can perform this operation as follows Invoke the FCIS Transaction Switch Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Transaction Switch Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Transaction Switch Detail screen is closed and the changes made are reflected in the FCIS Transaction Switch Summary screen Viewing FCIS Transaction Switch Record To view a record that you have previously input you must retrieve the same in the FCIS Transaction Switch Summary screen as follows Invoke the FCIS Transaction Switch Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unautho
97. on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated 3 Ifthe transaction is being put through as a result of a check issued by an investor with the check writing facility in a fund for which the check writing facility is allowed you must specify the number of the check against which the redemption transaction is being entered 4 Ifthe UH is KYC non compliant at the time of saving the transaction the system allows the transaction to be saved but holds back the payment The transaction is marked complete only on the UH complying with the KYC requirements Additionally if the redemption is a partial one the system displays a warning message which you can override The check number that you specify must be that of a check that is valid and against which no stop payment has been instructed If the check is invalid or has a stop payment instruction against it it is rejected by the system Note If more than one check is being presented for redemption you must enter one redemption transaction for each check Limit Orders Section When you select the Limit Order for Redemption during a sale or redemption transaction in the Transaction Sub Type field then the Limit Order section is activated The Transaction Sub Type is considered as the Liquidation Indicator field in this screen 1 Select the Limit Order for Redemption
98. or Net Mandatory Specify whether the transaction is a gross or net transaction Note If you have chosen Plan Level as the SI level then this field defaulted as Gross You will not be allowed to change this zs ORACLE Currency Description Display Only The system displays the currency name of the specified SI Transaction Currency based on the details maintained at Currency Maintenance level Transaction Mode Alphanumeric Mandatory Indicate the mode in which the transaction value is to be reckoned for transactions generated in respect of processing of the standing instruction The mode you choose could either be Amount Units or Percentage of holdings Note If you have chosen Plan Level as the SI level then the transaction mode is defaulted as Amount You will not be allowed to change this First Generation Date Date Optional Enter a date on which the system should a transaction apart from generating on the Standard Instruction start date This date should be lesser than the Standard Instruction start date and Greater than or equal to the application date The date specified here cannot be edited or amended once you save the transaction Amount Indicate the value of the transaction that is to be generated in respect of the instruction whether an amount number of units or a percentage of holdings If you specify an amount or a number of units in this field the value must always be
99. orders specify the future date on which the limit order must be executed If this date is subsequently specified as a holiday the limit order pricing rule Prior or After specified in the General Operating Rules is used to determine the date on which the order would be executed Allocation Details Section The details of subsequent allocation of the transaction if any are displayed in this section When you are entering a new transaction this tab is not available All fields are view only fields and no data entry is possible Date Allotted This is the date on which the Fund Manager allocated the units in respect of the transaction ons ORACLE 5 1 16 Units Allotted This is the number of units that were allocated by the Fund Manager in respect of the transaction Units Confirmed This is the number of units that were confirmed after allocation by the Fund Manager in respect of the transaction Units Rejected This is the number of units if any that were rejected in respect of the transaction by the Fund Manager Unit Price Applied This is the price per unit that was prevalent for the fund and transaction type at the time of acceptance of the allotted transaction Provisional Shares This is the number of provisional shares allocated in respect of the transaction by the Fund Manager Provisional shares are allocated for transactions the payment instrument in respect of which is pending clearance Document
100. perform the following operations in this screen 12 ORACLE 4 6 34 1 Retrieving a Record in FCIS Reissue Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Reissue Transaction Summary screen by typing UTSTXN10 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved Transaction Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record
101. record that you have previously entered e Invoke the GO Settlement Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The fund ID in the Fund ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The GO Settlement Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 11 2 5 Authorizing Global Order Settlement Record Apart from the maker someone else must authorize an unauthorized global order confirmation record deal in the system for it to be processed To authorize a record e Invoke the GO Reconci
102. record that you wish to authorize The Distribution Void Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes Intra day Checks for Transactions For a fund limits on transaction volumes minimum and maximum limits for both amount and units are defined in the Transaction Processing Rules for each transaction type The limits so defined are validated whenever individual transactions are allocated in the system You may require the transaction limits for a fund to be checked for and enforced at any of the following levels of aggregation e For transactions across all unit holder accounts transacting in a fund e For transactions across all accounts in a CIF which transacts in the fund e For transactions across all identification types and identification numbers transacting in the fund To specify the level at which the check must be performed you can use the Intra Day Transaction Check screen which you can invoke from the Fund Manager menu To invoke this screen type UTDIDYCK in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button intra Day Transaction Check D New 9 Enter Query Criteria Level CIF 1of1 E Transaction Number Txn Date CIF Number Unit Holder ID Transaction Mode Amount Uni o In this screen you specify
103. redeemed switched or transferred For transfer transactions specify whether the transferee unit holder has requested single or multiple certificates If you choose the Multiple option in this field then the certificates involved in the transaction will be reckoned in denominations governed by the maximum and minimum certificate denominations specified for the fund in the Shares Characteristics rule From Issued Balances Optional Select Yes from the adjoining option list if you need to process transactions from issued balances The system defaults the value as No Campaign Code Optional You can link the campaign to the subscription and switch transaction type of standing instruction Specify the campaign to be mapped You can also select the campaign code from the option list The campaign codes with the start and the end date in between the first payment date or the SI generation date if the first payment date is not mentioned is displayed in the option list Note You can edit the campaign code but cannot amend it if there is even a single transaction already generated due to this SI The system will not validate that the selected campaign code is linked to the unit holder or not The system will not validate that the selected campaign code is linked to the selected funds or not The system will not consider the campaign code attached to the SI if the campaign code end date is passed befor
104. refer The Bank Details section of the Managing Investor Accounts chapter under Volume II Payment Details Mode of Payment as In Kind Payment and for Mode of Payment as Multi Payment Facility with sub mode of payment as In Kind Payment In Kind Payment Details Mandatory If the payment is made in kind instead of cash for instance in the form of securities or bonds you need to capture the details of the instrument being pledged The following details of fund involved in the transaction and the bank details of the unit holder maintained at the unit holder level are picked up and displayed for all modes of payment and sub payment modes e ISIN Code e Fund e Fund Base Currency e Bank and Branch Code e Account Currency e Account Number e Account Name e Whether direct debit is applicable e Whether the account is closed If the mode of payment is Multi Payment Facility and the sub mode of payment is Against Payment the above mention unit holder s bank details and the fund details are displayed 29 ORACLE 5 1 10 Pledgee Details Section In case of an investor has taken a loan on the units in a fund and those units are blocked you can indicate whether the dividend proceeds on the blocked units should be paid to the pledgor pledgee or to hold back the payment This section is applicable only to Block transactions Click on the Pledgee tab in the FCIS Block Transaction Detail screen to invoke the following screen
105. resulting transactions must be applied on a gross basis or net basis The brokers if any identified for the transactions with their appropriate split percentages For certificate option funds and scrip based funds the certificate details The start and end dates that signify the period during which the standing instruction must be processed at the specified frequency The frequency at which the standing instructions must be processed during the defined period The period in days during which reminders must be generated for the standing instruction The details of any desired escalation in transaction values The details of payment if any for the transactions After you specify all these details click Ok button The record of the instruction is saved and the Standing Instructions Number is generated and displayed to you for future reference If a transaction type has been suspended for the fund you have selected standing instructions related to the fund for that transaction are also suspended The system however allows you to maintain exceptions for which the suspension will not be applicable The process of saving standard instructions if suspension rules and exemptions have been maintained is as follows At the time of saving the system checks if a suspension rule applies for the given fund and transaction type selected for the Sl If suspension is applicable then system would check if reference type appli
106. return value for the allocation time load that you are overriding oS ORACLE 5 1 14 5 1 15 Amount Basis Specify the amount basis to be considered here To understand how the new value would work consider the example given under the Change Type field Limit Orders Section Limit Order Type Alphanumeric Mandatory for Limit Orders Specify whether the limit order is price based or date based Limit Price Numeric Mandatory for Price Based Orders Specify the price for the price based limit order transaction This represents the price equal to or below which the transaction must be put through for buy orders or the price equal to or above which the transaction must be put through for sell orders Limit Start Date DD MM YYYY Date Format Mandatory For price based limit orders specify the date that commences the period within which the limit order must be executed On any date on and after this the limit order could be executed when the limit price conditions are met The date you specify here must be a future date Limit End Date DD MM YYYY Date Format Mandatory For price based limit orders specify the date that closes the period within which the limit order must be executed Beyond this date the limit order stands cancelled and will not be processed The date you specify here must be a future date later than the Limit Start Date Limit Date DD MM YYYY Date Format Mandatory For date based limit
107. same as that for normal transactions Entering Subscription Transactions in Light Weight Detail Enter a subscription transaction request into the system in the following sequence of events Navigate to the Subscription Transaction Light Weight Detail screen Invoke the FCIS Light Weight Transaction Detail screen by typing UTDTXNLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Subscription Detail screen for transactions is displayed with all the default information To ana ORACLE enable the fields for entry select New from the Actions menu in the Application tool bar or click new icon FCIS Light Weight Transaction Detail New 43 Enter Query Transaction Type Transaction Type IPOSubscription Transaction Sub Type Description Client Information Unit Holder ID To UnitHolder ID Find UH Find Ta UH Unit Holder Name To Unit Holder Name Transaction Information Transaction Date Reference Number Fund ID Transaction Mode Amount Transaction Currency Units Transaction Number Amount To Fund ID Percent Subscription Fund ID Payment Mode Fund Identification Payment Mode Number Description Fund Name Payment Details KYC Details Maker ID DateTime Mod NO Checker ID DateTime Record Status vl Unitholder ID Mandatory Alphanumeric Specify the unit holder id of the unit holder who has requested for the transaction
108. screen as follows e Specify any or all of the following details in the Plan Maintenance Summary screen e The status of the transaction in the Authorized field If you choose the Blank Space option then all the records that involve the specified unit holder are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all the records that involve the specified unit holder are retrieved e The Plan Code e The Plan Description e The Contribution Currency e The Contribution Frequency Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner 238 ORACLE Press F7 Input the Plan Code Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operation by selecting from the Action list You can also search the record by using combination of and alphanumeric value 2 4 4 Editing Savings Plan You can modify the details of Plan Maintenance parameters that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Plan Maintenance Summary screen from the Browser e Select the status of the record that you want to retrieve for
109. sell option in the Liquidation Indicator field The Limit Order section is enabled 2 To setup a price based limit order specify the following details in the Limit Order section e Select Price Based in the Limit Order Type field e Specify the price for the limit order in the Limit Price field This represents the price equal to or above which the transaction must be put through for sell orders e Specify the period within which the limit order must be executed by indicating the boundary dates in the Limit Start Date and Limit End Date fields 3 To set up a date based limit order specify the following details in the Limit Order section ont ORACLE e Select Date Based in the Limit Order Type field e Specify the future date on which the limit order transaction must be executed in the Limit Date field 4 6 15 9 Certificate Details Section If you have selected a certificate option fund then all certificate information fields are enabled The fields are Certificate Required Number of Certificates and the Certificate Details section If the unit holder has requested redemption of a portion of the issued balance then choose Yes in the From Issued Balance field If the unit holder has requested redemption of a portion of the un issued balance then choose No If the unit holder has requested redemption from both issued as well as un issued balances then choose Both Select the Multiple o
110. that you want to modify in the list of displayed records The One Legged Transfer Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The One Legged Transfer Summary screen is closed and the changes made are reflected in the One Legged Transfer Summary screen 5 12 5 3 Viewing ISA Transfer Details To view a record that you have previously input you must retrieve the same in the One Legged Transfer Summary screen as follows Invoke the One Legged Transfer Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The One Legged Transfer Detail screen is displayed in View mode a 108 ORACLE 5 12 5 4 Deleting ISA Transfer Details You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the One Legged Tran
111. the Transaction Summary screen as follows From the main menu invoke the Transaction Input menu Select Block transaction type and choose the Summary option The Block Amount Transaction Summary screen is opened In the Authorization Status field select the status of the Block transaction that you want to retrieve for deletion You can only delete records of transactions that are unauthorized Accordingly choose the Unauthorized option from the drop down list To retrieve the Block transaction that is to be deleted specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All Block transactions with the specified details are retrieved and displayed in the lower portion of the screen Select the Amount Block transaction that you want to delete in the list of displayed transactions in the lower portion of the screen The Block Transaction Detail screen is opened by double clicking on the selected row in view mode with the selected amount block unblock transaction displayed Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Amount Block Unblock Transactions An unauthorized transaction record must be authorized in the system for it to be processed To authorize a record Invoke the Amount Block Unblock Summary screen from the Browser Select th
112. the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS IPO Subscription Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS IPO Subscription Detail screen is closed and the changes made are reflected in the FCIS IPO Subscription Summary screen 4 6 3 3 Viewing FCIS IPO Subscription Record To view a record that you have previously input you must retrieve the same in the FCIS IPO Subscription Summary screen as follows Invoke the FCIS IPO Subscription Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS IPO Subscription Detail screen is displayed in View mode 4 6 3 4 Deleting FCIS IPO Subscription Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FC
113. the operation from the Action list You can also search a record by using a combination of and alphanumeric value Example You can search the record for Account Type by using the combination of and alphanumeric value as follows Search by A The system will fetch all the records whose Unit Holder ID starts from Alphabet A For example AGC17 AGVO6 AGC74 and so forth Search by 7 The system will fetch all the records whose Unit Holder ID ends by numeric value 7 For example AGC17 GSD267 AGC77 and so forth Search by 17 The system will fetch all the records whose Unit Holder ID contains the numeric value 17 For example GSD217 GSD172 AGC17 and so forth 5 12 5 2 Editing ISA Transfer Details You can modify the ISA Transfer Details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the One Legged Transfer Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record
114. the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Currency 1 Select the exchange rate source to be used in the Exchange Rate Source field APIE ORACLE 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field Since the transaction value is specified in units then the prevalent price for an unblock transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Block ID Select the ID of the transaction you wish to unblock The option list displays the ID of all the block transactions based on the unitholder and fund ID specified Specify the Communication Mode and Remarks Select the mode in which the transaction request was communicated in the Communicatio
115. the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete The Global Order Maintenance Detail screen is displayed Click Close from the action list in the Details screen You can re open any closed record at a later point in time Global Order Confirmation You can specify the price received from the fund house against the GO using GO Confirmation Detail screen the system which provide the details of price uploaded for the Global Orders To invoke this screen type UTDGOCNF in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ote ORACLE 5 9 1 Global Order Confirmation Detail GO Number GO Date Transaction Category Legacy E AMC ID GO Transaction Type Fund ID GOMode Units Unit Holder ID GO Status Confirmed 5 Unit Holder Name GO Units UH Account Type GO Confirmed Units Nominee Account Number GO Amount
116. the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Unblock Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes Authorizing Amended FCIS Unblock Transaction Record An amended FCIS Unblock Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Checking for Duplicate Transactions At the time of saving the transaction details the system checks for the Transaction Type Fund ID Unit Holder combination If there are any existing transactions for the same combination that has been captured in the past n days the system will display you an warning message if you try to save another transaction with the same combination within those n days You need to specify this n number of days which the system has to consider for validation The system performs the duplicate transaction validation For unauthorized transactions If a parameter code called DUPWARNINGLAG and the value for the n number of days has been maintai
117. the value to No While saving this record then the system will display the following error message The Unit holder has not received the KIID If the field is set to Yes then the UH will receive the KIID These entries where the KIID compliant is made as Yes during maintenance will be available as part of UCITS KIID Received SI Report SI Status After a standing instruction is authorized it could be e Active This means that the instruction is still being processed and transactions have been put through e Paused This means that the authorized instruction record exists in the database but no processing is taking place in respect of the same e Cancelled This means that the instruction has been annulled and no processing is scheduled to take place in respect of the same an ORACLE Fund ID 6 Character Maximum Alphanumeric Mandatory Select the fund in which any transactions resulting from the standing instruction must be put through When you specify the fund the ISIN Code of the fund is displayed in the ISIN Code field along with the fund name Note This field will be displayed only if the SI level is Fund Level Plan Code Alphanumeric Mandatory Select the plan for which the standing instruction will be applicable Any transactions resulting from the standing instruction will be put through in the funds maintained in the plan When you specify the plan the description of the pl
118. to calculate Exchange rate and FBC amount based on the entered payment amount and payment charges Note In the Settlement Instruction screen you can enter the charges for payment This feature is only available if your installation has specifically requested for it For an exhaustive note on this feature refer the Annexure Payment Details Link Click Payment Details button under Pymt Dtls to invoke the Payment Details screen The payment details include the following e The type of payment i e whether the payment is being made by the unit holder that has requested the transaction or by an external third party e The details of the bank and branch of the bank for the payment e The details of any payment instruments such as checks the number date and the clearing date e Inthe case of payment by account transfer the details of the bank account to which from which the payment is being made e The unit holder s address details for check based payments e The details of the unit holder s bank Note For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed the payment details are not applicable and need not be specified Ifthe client country parameter DEFAULTPAYMENT is set to true then the settle ment details maintained for the combination of unit holder fund transaction type payment mode and transaction curre
119. to save the transaction even if the unitholder has not submitted all the required KYC documents However you will not be allowed to perform the completion operation on that transaction unless all the required documents have been received from the investor This feature will be available only if your installation has requested for it To invoke the Transaction KYC Details Screen click on the KYC tab The following screen is invoked Fcis Subscription Transaction Detail Save Transaction Information Transaction Currency a Transaction Value Fund ID a Reference Number Transaction Mode Amount Unit Holder ID Find UH me Units Applied Transaction Date 04123 2014 E Temsan type a Amount Applied Transaction Number Description Percent Applied PaymentMode Cash Enrich Transaction UH amp Fund Transaction Other Intermediary Load Override SEE Add Info Fee Payment Certificate Limit Order KYC Transaction Details 1of1 Requested Requirement Received Received Date Tax Document Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime Mies Unauthorized The following details will be captured Requested Check those documents that have been requested from the investor Requirements Specify the list of KYC documents required for this transaction You may add additional documents to the existing
120. top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Adjustment transactions Click on new record button to enter details of a new record FCIS Adjustment Redemption Transaction Detail D New 9 Enter Query User Information CIF Number Unit Holder Name Unit Holder ID Transaction Information Transaction Date Reference Number XADJTXNO2SYSTEMX Transaction Number Fund ID Amount in Fund Base Override Exchange Rate No Currency Transaction Currency ERAN ED Eoo Exchange Rate Applied Remarks Fund Name Fund Base Currency Adjustment Price Currency Name Payment Mode Payment Mode Description Transaction Intermediary Transaction Add Info Load Details Document Details Payment Details Input By DateTime Mod No ISIN Code Details Units Amount Adjustment Type Adjustment Type Description Authorized By DateTime Open Authorized Entering Adjustment Transaction To enter an adjustment transaction in the adjustment transaction detail screens 1 Specify the CIF unit holder for whom this adjustment transaction is being captured in the Unit Holder field When you do this the following information is retrieved from the unit holder s account details and displayed in this screen This information will be reckoned as default unless you change any of it wh
121. unit holders If a policy is created for an unauthorized unit holder the unauthorized account must be authorized before the End of Day process is put through on the date of creation For unit holders who wish to invest in IRA plans or retirement plans you must use a product that has been defined with retirement features For a detailed discussion of the Unit Holder New Account screen refer the Managing Investor Accounts I ORACLE 4 Processing Transaction Requests 4 1 Introduction Transactions are the operations that are requested by investors upon their holdings in any fund with the prospect of reaping higher returns or distributing their holdings more profitably To this end they can enter into any of the following types of transactions IPO Purchases or Subscriptions Sales or Redemption Switch Transfer Block Unblock Consolidation Split Reissue Transaction Enrichment This chapter enables you to understand how transaction requests are accepted and processed in the FC IS system It consists of the following sections Types of Transaction Requests Transaction Processing The flow of events Transaction Processing Procedures Fields in the Transaction Detail screens Fields in the Transaction Summary screens Mandatory Information for all transaction types 4 2 Finding what You Need in this Chapter To understand the different types of transaction requests that may be encountered in an AM
122. validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending FCIS Subscription Transaction Record After a FCIS Subscription Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the FCIS Subscription Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Subscription Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes Authorizing Amended FCIS Subscription Transaction Record An amended FCIS Subscription Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the
123. will be deemed as a unique alphanumeric identifier for the account It could be the serial number that is given on the application form through which the investor has invested in the AMC It could also be any alphanumeric value given by the investor to identify the account Transaction Type Mandatory Specify the type of transfer the options being e Transfer In e Transfer Out e Channel Transfer CIF 12 Characters Maximum Alphanumeric Mandatory Specify the CIF number of the customer for whom you are creating a transferring the units RTA Channel 10 Character Maximum Alphanumeric Mandatory Select the RTA from the drop down list size ORACLE Unitholder ID 12 Characters Maximum Alphanumeric Mandatory It may be defaulted based on the selection from Unit holders for CIF else you need to specify the unit holder ID here Name Specify the name of the RTA Channel here Transfers IN Details FCIS RTA Transfers Detail i New 7 Enter Query RTA Transfers Transaction Type Select Reference Number RTA Channel CIF Name Unit Holder ID Show Details Unit Holder Name ESRB Transfers OUT Details Channel Transfers Details IN AMC Name AMC ID Fund Identification Number Fund ID Units Fund Name Short Cost Price Transaction Date Amount Folio No Check Digit Entity ID Input by DateTime Authorized by DateTime Mod No Open Authorized AMC ID 12 Characters Maximum Alphanumeric Mandatory S
124. within the Minimum Maximum and Step Transaction Amount or Units ranges specified for the relevant transaction for standing instructions in the Transaction Processing Rules and the amount or units specified for the investor category to which the selected unit holder belongs in the fund Investor Category Limits Generate Auth Txns Optional Select the option Yes No from drop down list to indicate whether authorized unauthorized transactions generates when the standing instruction is processed This specification is applicable and enabled only for scrip less funds and for funds in which the Aging Policy is based on Transaction Receipts from the Transaction Processing Rules for the fund This option is not applicable for certificate option funds in which the unit holder has requested for certificates Delivery Option Select the delivery option from the drop down list Phase In The Phase In field is enabled only if the Transaction Type field is set to Switch Select Yes if you want the system to allow Multiple Fund Transfer i e moving fund amount from many funds to another ed ORACLE The Phase In switch feature is generally used by the Investment Frontiers You would not be able to capture the ratio from these funds as these would be phased out in same number of occurrences For example if Fund1 is phased in to Fund3 and Fund4 with Phase occurrence of 5 say after 2 occurrences the investor cannot ph
125. you are entering the exchange rate is an authorized transaction for which the exchange rate has not been entered choose the Incomplete option in the Exchange Rate Status field e Inthe Exchange Rate Source field select the exchange rate source specified for the transaction and click Process button to submit the job to update the exchange rate details e Else click Execute button to update the update the exchange rate details 5 6 4 Authorizing Exchange Rate Enrichments After you have enriched the exchange rate in the Exchange Rate Enrichment screen another user must authorize the enrichment for it to be effective in the system database so that the transaction can be picked up for allocation ore ORACLE 5 6 5 To authorize the enrichment of exchange rate for a transaction do as follows Select the ID of the fund or the ISIN Code of the fund in which the transaction was entered in respect of which exchange rate enrichment was done in the Fund ID and the ISIN Code fields Select the Authorize option in the Operation Mode field in the Find Records section of the screen Only unauthorized exchange rate enrichment transactions can be authorized Select the Unauthorized option in the Exchange Rate Status field In the Exchange Rate Source field select the exchange rate source specified for the exchange rate enriched transaction and click Ok button All exchange rate enriched transactions that ar
126. 17 For example GSD217 GSD172 AGC17 etc FCIS Subscription Transaction Summary Authorized Open Transaction Number a3 Reference Number Fund ID 2 Unit Holder ID Transaction Type Subscription v Transaction Mode NotSelected v Transaction Date e Dealing Date Limt Order a PaymentMode NotSelected v AMC ID ay Maker ID Advanced Search Records per page 15 v 1of1 Authorized Open Status Transaction Number Reference Number Fund ID Unit Holder ID Transaction Type i m 1A ORACLE 4 6 13 2 Editing FCIS Subscription Transaction Record You can modify the details of FCIS Subscription Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Subscription Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Subscription Transacti
127. 2 Generate GO Optional Select if all the GO should be generated or GO as per transaction category should be generated from the adjoining drop down list Following are the options available e Generate All e Generate per transaction category UH Account Type Mapping Details UH Account Type Alphanumeric 2 Characters Mandatory Specify the UH account type You can also select the valid account type from the adjoining option list Account Description Display The system displays the description for the selected UH account type Once GO is generated the system will generate subscription multiple order generation message SWIFT redemption multiple order generation message for subscription redemption global orders respectively as per the Swift pooling frequency defined in the system For non daily priced funds the system will generate GO as per transaction cut off date and it will take trade cycle override into account while generating GO In case for a trade TBC is different from FBC the system will only pick trades for which exchange rate is available Exchange rate required to be maintained for the trades where exchange rate is not available If no exchange rate is available for the trades where TBC is different from FBC then those trades will not be picked for GO The system will run a pre EOD batch to check if all trades for a given date have been sent across in a GO which will be based on price date Viewing Global Ord
128. 200 and for FUND2 is 2000 5 400 Similarly for second month the unit for FUND1 is 850 4 212 5 and for FUND2 is 1700 4 425 and so on The unit details for 5 phase occurrences are as shown in the table Policy SI Details Fund Split Details Remaining Ref No Month Mode Value Fund Units Occurrence s Ref 1 1 Units 0 FUND1 200 5 FUND2 400 Ref 2 2 Units 0 FUND1 212 5 4 FUND2 425 Ref 3 3 Units 0 FUND1 210 3 FUND2 420 Ref 4 4 Units 0 FUND1 225 2 FUND2 425 Ref 5 5 Units 0 FUND1 250 1 FUND2 500 Since the To Fund Ratio is set to 50 the units obtained in the above table are equally divided into FUND3 and FUND4 The Unit Transaction details are as shown in the table below Ref No Month From Fund To Fund Units sw 1 FUND1 FUND3 100 SW2 FUND1 FUND4 100 SW3 FUND2 FUND3 200 SW4 FUND2 FUND4 200 SW5 2 FUND1 FUND3 106 25 SW6 FUND1 FUND4 106 25 SW7 FUND2 FUND3 212 5 SW8 FUND2 FUND4 212 5 ani ORACLE Ref No Month From Fund To Fund Units SW9 3 FUND1 FUND3 105 SW10 FUND1 FUND4 105 SW11 FUND2 FUND3 210 SW12 FUND2 FUND4 210 SW13 4 FUND1 FUND3 112 5 SW14 FUND1 FUND4 112 5 SW15 FUND2 FUND3 212 5 SW16 FUND2 FUND4 212 5 SW17 5 FUND1 FUND3 125 SW18 FUND1 FUND4 125 SW19 FUND2 FUND3 250 SW20 FUND2 FUND4 250 Phase In Type M
129. 6 1 You can view the available fund balance details of a unit holder For this click the View Balance button in the FCIS Redemption Transaction Detail screen The Investor Fund Balance Summary screen is displayed in view mode displaying the unit holder fund balance details investor Fund Balance 43 Execute Query Unit Holder ID Fund balances Detail 1of1 E FundiD FundName Fund Base Currency Unit Balance Total Blocked Units FBC redeemable 4 FBC Holding Total Blocked Amount or Holdings Total Blocked Amount Total Holdings in UH Currency Total Blocked Units FCIS Redemption Transaction Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Redemption Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Redemption Transaction Summary screen by typing UTSTXNO3 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved 4 63 ORACLE The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved Transa
130. 6 6 5 6 7 To authorize a clearing status in the Payment Clearing screen do as follows e Inthe Selection Criteria section specify the following details as search parameters to retrieve the transaction records for which the clearing status of payment instruments must be authorized e Inthe Mode field select the Authorize option e Inthe Level field select the Transaction option e Inthe Payment Mode field select the mode of payment specified for the transaction for which you want to authorize the clearing status of the payment instrument To authorize a specific cleared payment instrument enter the number of the instrument in the Specific Number field e Inthe Date Range fields specify a range of dates that would signify the period between which the transaction date or the allotted date of the transaction would be found e Click on the Show button All transactions with payment instruments that match your search criteria are displayed with the instrument details in the lower grid portion of the screen in a list e For each payment instrument that you want to authorize the clearing status select Authorize from the drop down menu in the Auth Status field Your specification here will mark the clearing status of the instrument for authorization e After marking the clearing status of as many instruments as necessary for authorization click the Authorize button to effect the authorization Authorization of the payment clearing o
131. 6 ORACLE You can also search for the broker using broker legacy codes Broker Name When you select the broker code the name of the broker is displayed Parent Entity Name When you select the broker code the name of the parent broker for the selected broker is displayed Split Percentage Specify the percentage of total commission that is to accrue to the selected broker The sum of all the percentages specified for any brokers identified for the transaction must equal one hundred percent Delete If the client country parameter TXNBROKER is set to false for your installation you can enter agent agency branch as intermediary You can select at least one set of Agent Agency branch Account Officer and IFA combination as part of unitholder The intermediaries maintained during unit holder creation get defaulted during Transaction Bulk Transactions and Standing Instruction maintenance and can be overridden In such cases following are the fields in this section Entity type Select the entity type that has been identified as the intermediary for the transaction Entity ID For each entity type specify the intermediary in this field The name of the selected intermediary is displayed in the Entity Name field While entering a transaction system will default the intermediary specified here However you can override the defaulted value Entity Name When you select the broker code the name of the broker is displayed
132. 8 2 3 Editing Global Order Maintenance Record You can modify the Global Order details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Global Order Maintenance Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The Global Order Maintenance Detail screen is displayed e Select Unlock operation from the Action list to modify the record Modify the necessary information e Click Save to save your changes The Global Order Maintenance Detail screen is closed and the changes made are reflected in the Gl
133. Block Unblock Transaction To view an amount Block Unblock transaction that you have previously entered you must retrieve the same in the Amount Block Unblock Transaction Summary screen as follows From the main menu invoke the Transaction menu Select Amount Block Unblock transaction type and choose the Summary option The Amount Block Unblock Transaction Summary screen is opened In the Authorization Status field select the status of the block unblock transaction that you want to retrieve for viewing You can view records of transactions that are Unauthorized Authorized To retrieve the block unblock transaction that is to be viewed specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Select the block unblock transaction that you want to view in the list of displayed transactions in the lower portion of the screen The Amount Block Unblock Transaction Detail screen is opened by double clicking the selected transaction with the selected transaction displayed in view mode 6 4 5 Deleting Amount Block Unblock Transaction You can delete only unauthorized Block Unblock transactions in the system 6 26 ORACLE 6 5 6 5 1 To delete an amount block unblock transaction that you have previously entered you must retrieve the same in
134. C refer the section Types of Transaction Requests To understand the flow of events according to which transaction requests are accepted and processed in the FC IS system refer the section Transaction Processing The flow of events To understand how to perform any procedures in respect of transaction processing refer the section Transaction Processing Procedures For a description of all the fields in the Transaction Detail screen refer the section Fields in the Transaction Detail screens Similarly for a description of all fields in the Transaction Summary screen refer the section Fields in the Transaction Summary screens For an exhaustive list of all mandatory information that you need to capture in the transaction screens refer the section Mandatory Information for all transaction types 4 ORACLE 4 3 Types of Transaction Requests IPO Subscription and Subscription When an investor chooses to invest capital into a fund the investment is typically made by buying units in the fund This is also known as subscribing into the fund The investor can subscribe to a fund either during its Initial Public Offering IPO Period or later If the subscription is made during the IPO Period the resulting transaction is an IPO subscription transaction and the unit price for these transactions is fixed generally the par value of the units and not dependent on the prevalent net asset value for the fund If the i
135. C and if the aggregate currency is not specified However if all the funds defined in the screen are having same fund base currency then the system defaults the aggregate currency with the same fund base currency For instance if all the funds defined are having FBC as USD then on saving the details the system will default aggregate currency as USD Note The aggregate currency chosen should be the FBC of at least one of the funds selected oe ORACLE Readjustment Status Display Based on the status of the readjustment the status is displayed here The following are the status available e Not Processed e Transaction Generated e Failure during transaction Generation You can modify the details only if the readjustment status is Not Processed Note For a given unit holder there can be only one Not Processed readjustment Readjustment ID Display On saving the details the readjustment ID is generated Later you can use this number to query the details Cancelled Optional The system will not generate the transactions that are authorized but are yet to be processed This option is enabled only during amending operation Fund ID Mandatory Specify the fund ID You can also select the fund ID from the option list provided The option list displays the valid fund IDs maintained in the system You should at least specify two funds for readjustments and for the given unit holder
136. Date Ez Subscription Price Date iw fumas O TolsinCode sid Subscription Settlement cA Fund Name Short To Fund Name Short Date Subscription Fund Base Fund Base Currency To Fund Base Currency Currency Subscription Fund Name Short Subscription ISIN Code a Document Details Receipt Details SettlementDetails Allocation Details ProjectAllocation Details View Balance Input By DateTime Modification Number Authorized By DateTime Open Authorized In this screen you can maintain the following details Client Information Section Unit Holder ID Mandatory Specify the unit holder who has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder The funds in which the specified unit holder can transact are displayed in the Fund drop down list The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen Transaction Date Mandatory The transaction date is rec
137. Details Section In this section you can specify the document type for the unit holder The document types can be maintained in the System Parameters Maintenance screen This section will be enabled only if your installation is integrated with DMS Document ID Optional You can either enter the document id in this field or choose the document id from the Document Find screen which is opened when you click KYC amp Document tab In the Document Find screen specify the first name and second name of the unit holder whose document you wish to retrieve The various documents stored against the name of the unit holder that you have entered will be displayed Double click on the corresponding document to choose the same You can also click on the document id link to view the scanned document Note If you enter the document id and then click KYC amp Document tab the Document View screen will be opened where you will see the scanned document Document Type Display When you enter or choose the document id this field will be updated Document Description Display When you enter or choose the document id this field will be updated For further information on maintenance of system parameters refer to the chapter Maintaining System Parameters in Volume 1 ai ORACLE 5 1 17 Additional Information Section 5 2 To maintain any additional information for a transaction click on the Transaction Add Info li
138. Enrichment You can specify the exchange rate for exchange rate incomplete transactions in the FCIS Enrich Exchange Rate Detail You can invoke this screen by typing UTDTXNEE in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS Enrich Exchange Rate Detail i New 33 Enter Query Transaction Type UT Operation Mode Ref Type All Exchange Rate Status Select Exchange Rate Source Fund ID Source Name Fund Name Short ISIN Code Product ID To Date Policy Number Policy Txn Number From Date ox Procass Enrich Exchange Rate Details 1of1 E Select Product ID Policy Number Policy Txn Number Transaction Number Transaction Date E Enrich the exchange rate details in this screen as follows ov ORACLE 5 6 3 Transaction type You can choose either UT or LEP If u choose UT only incomplete UT transactions will be displayed for enrichment If you choose LEP and mention the Product ID and Policy Number then all the underlying incomplete UT transactions of the particular policy will be available enrichment Operation Mode You can choose to enrich exchange rates authorize bulk exchange rate enrichment or view enrich exchange rate Ref type The ref types that are available are All Standing Instructions IPO Subscription Subscription Redemption Switch amp Transfer You can choose any of these Select t
139. FLEXCUBE Investor Services system provides the facility of querying and reporting between entities in the system To query about any other entity or report information such as complaints regarding any entity in the system use the Help Desk Detail screen You can invoke this screen by typing UTDHLPDS in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Help Desk Detail New 7 Enter Query Helpdesk Reference No Attended By Reporting Entity Type Query Severity High v Status Open Reporting Entity ID Query Type inquiry Query Category Problem Description Helpdesk Events 1of1 Helpdesk Mode Event Date Time EventMode Event Description Event Image Event Object Available Inquiry Person Yes Input by DateTime Authorized by DateTime Mod No Open Authorized You can use this screen to e Initiate a query regarding any information requested by any entity that is defined in the system e Process or follow up any such queries e Edit view or close any queries Initiating and Processing Queries To initiate or process a query in the Help Desk Detail screen specify the following in the Help Details section a120 ORACLE 5 15 5 e The type of entity that is initiating the query in the Reporting Entity Type field Also select the ID of the reporting entity in the Repo
140. H Portfolio Readjustment Summary Screen wo ceeeet eet tee teeteees 5 117 5 15 4 Initiating and Processing QUELICS cccccceseeeeenneeeeeeeentteeeeseentaeeeeenenaas 5 120 5 15 5 Fields in Help Desk Detail SCr N 2 122 c ccscccccecceeeeeeteetecenentscaeeneeeeeess 5 121 5 15 6 Viewing or Editing Helpdesk Query eceseecceecenteeeeteeenieteeeeeenteeeeeeeaaes 9 123 5 16 Sending and Receiving Messages 0 ccceccceeeeeeeeeteeeeeeeteneeeeeeetaneeeeeeetiaeeeeereea 5 126 5 16 1 SONU MOSSAGCS sirean AE AA O E OREA 5 126 5 16 2 Receive Messages 0 ccsecccccesenesceteseneecesteeebeaeecesenbaceneetaneaseedenneeseenenen 5 127 5 17 Transfer IN Consolidation Out and Transfer Process 5 127 5 17 1 RTA Transfers Summary Screen seeessseeeiinseeeeenreerrrnnreerrnnreerrrnnneen 5 132 5 18 Batch Update of Transaction Date ccccceccecceeeeeeeeeeeeeeeeeaaecaeeeeeeeeeeeeeteees 5 137 5219 Tracking Cheque E eo T AEEA A eee ed eal 5 138 5 19 1 Fields in Cheque Tracking Summary Screen ccccceeeeeeeetttteeeetteee 5 139 Adjustment and Amount Block Transactions cccecceeeeeeeeeeeeeeeeenees 6 1 6 1 Entering Transactions with Specific PriC S 0 cceceeceeeeteeeeeeeeeeeeeeeeteeneeeeeeeeenanees 6 1 6 1 1 Adjustment Transaction Detail Screens ssessisnneeeiinneeeeenseeernnnneennnnnee 6 1 6 1 2 Entering Adjustment Transaction cccccccccssseeeeeenneeeeeeeennieteseeenaeeeeeeeaas 6 1 6 1 3 Fiel
141. ID P Reference Number Advanced Search Reset Records per page 15 v 4089 Authorized Open TypeofTransaction Transaction Number FundID PaymentNumber UnitHolderID Refer In the Edit mode you can edit the existing check number and check date only if the record selected for edit is unauthorized Once a status of Cheque record is marked as CLEARED or REINVESTMENT you cannot edit this record 5 19 1 1 Reinvestment Processing for Expired Cheques The following Unit holder Fund dividend payment records will be considered for processing reinvestments e The option Auto Reinvestment for Unclaimed cheque is checked e Partial or complete Unit holder dividend payment has been done by dividend Cheques e Dividend Payment Status is A ACTIVE e Cheque Date and the Cheque Expiry Period is less than or equal to application date e The option Auto Reinvestment for Unclaimed cheque with Zero Balance is checked Or the option Auto Reinvestment for Unclaimed cheque with Zero Balance is unchecked and Unit holder has a balance in the underlying fund If all the above mentioned conditions are satisfied system initiates a reinvestment transaction for the unit holder Fund combination e If Cheque expiry date is a holiday then system picks up this record on the next business day for reinvestment processing e Transaction date for this reinvestment transaction will be defaulted with t
142. IF customer specify the number of the required unit holder in the Unit Holder field Ga ORACLE CIF Number Alphanumeric Optional If the unit holder that has requested for the transaction is attached to a CIF Customer specify the number of the CIF customer in this field The system retrieves the name of the CIF customer and displays it alongside this field Unit Holders for CIF 12 Characters Maximum Alphanumeric Optional This information is mandatory if you have specified a CIF number Select the unit holder for whom the transaction request is being entered When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list If you have selected a unit holder for the selected CIF using the Find link the name and number of the selected unit holder is displayed here Unit Holder ID 12 Characters Maximum Alphanumeric Mandatory If the transaction is being entered for a unit holder that is not under a CIF Number specify the same in this field If you have selected a unit holder using the Find link the number of the selected unit holder is displayed here If you have specified a CIF Number and selected a unit holder for the CIF then the selected unit holder number is displayed here It cannot be changed The unit holder specified here must belong to the same agency branch from where the adjustment transaction is being
143. IS IPO Subscription Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS IPO Subscription Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 3 5 Authorizing FCIS IPO Subscription Record An unauthorized FCIS IPO Subscription record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS IPO Subscription Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS IPO Subscription Detail screen is displayed Select Authorize operation from the Action List ae ORACLE 4 6 3 6 4 6 3 7 4 6 4 When a checker authorizes a re
144. Interest Amount Display The system computes the interest amount based on the interest calculation days and interest rate provided by you You cannot change the amount displayed Click Calculate button after providing the necessary information for the system to compute the interest amount The interest amount will be calculated and displayed in the field Interest Amount Payment Date Display Only When you make a deposit to the bank the date of payment will be displayed here No of Days Display Only The system displays the number of days the interest calculation has to be done for a policy Note Click Ok button to return to the transaction screen Click Cancel button to withdraw the data entered and you can not save the data Click Calculate button after providing the interest calculation days and interest rate to calculate the interest amount Click Refresh button if you require making any changes to the data provided by you For more details refer to Maintaining Interest Rate Details section which is discussed later in this chapter Override Exchange Rate Check Box Optional Select this option if you want to override the computed exchange rate The Calculate link for exchange rate calculation To compute the exchange rate that will be applied for the transaction select this link The system computes the exchange rate and displays it in the Exchange Rate
145. KYC list until the transaction is completed However if you add additional documents once the All the requested KYC documentation has been received check box has been checked system will uncheck the option Received Check this option to indicate that the investor has submitted the required document Received Date DD MM YYYY Specify the date on which the document was received Tax Document Use this check box to identify the submitted document as tax document During Subscription and IPO Subscription transactions investor should provide Form 60 61 if investor does not have a PAN If investor fails to provide Form60 61 transaction will not be processed and system will throw up an error s21 ORACLE If the account is a joint account then Form 60 61 should be provided for all the joint holders without PAN as well System will not allow you to save the transaction if all the tax documents are not provided by the investor Delete Use this check box to identify any document that must be marked for deletion In the desired row check this box When you have selected all the documents to be deleted click the Delete Row link at the top of the section However you are not allowed to delete documents marked as requested saved and authorized The Add Row link Click add icon to add a new row in this section Chasing Date DD MM YYYY Optional In case the KYC list is incomplete for the transaction and the document has been r
146. O Date GO Transaction Type az AMC ID faz Fund ID az GO Mode z GO Status x Transaction Category az Records per page sie 1of1 Authorized Open GONumber GODate GOTransactionType AMCID FundID GOMode GOStatus Tran Retrieving Global Order Confirmation Record You can retrieve a previously entered Global Order Confirmation Details as follows e Invoke the GO Confirmation Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved GO Number GO Date GO Transaction Type AMC ID Fund ID GO Mode GO Status Transaction Category If you choose the blank space then all the records are retrieved aG ORACLE Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen After retrieving a record you can perform the following actions from the Global Order Confirmation Detail screen View a Record Edit a Record Delete a Record Authorize a Record Close a Record Copy a Record 5 9 2 2 Viewing Global Order Confirmation Record 5 9 2 3 To view a record that you
147. Payment Date Paid Date Payment Amount Bank Code Cheque Date Account Currency Branch Code Check Number Account Holder Name Entity ID Card Details Account Number Payment Type Self X Account Type Credit Card Ref No IBAN Card Number Third Party Details Unit Holder Details Third Party Address Payment Address Details Third Party Reference In Kind Details Third Party US State Third Party Zip Code In Kind Payment Details Fund bank Details Fund ID Bank Account Number ISIN Code Pledgee Branch Account Name Fund Base Currency Description Direct Debit No Close Account No Routing Bank Detail SwiftFormat MT103 Bank Charged Beneficiary Beneficiary Details Beneficiary Beneficiary Add1 Beneficiary BIC Code Beneficiary Code Beneficiary Add2 Beneficiary Acct No Beneficiary IBAN Beneficiary Add3 Beneficiary Info Intermediary Details Intermediary Intermediary Add1 Intermediary BIC Code Intermediary Code Intermediary Add2 Intermediary Acct No Intermediary IBAN Intermediary Add3 Intermediary Info Further Credit Details Reference Further Credit Name Reference Further Credit Acct No Reference2 5 26 ORACLE When you have entered a new IPO or Subscription transaction in this screen you need not specify the payment details before you save the transaction You can subsequently authorize the transaction and then specify the payment details through the Modify operation The transaction will then be subsequently allocated when these paym
148. Phase in Nox Percentage Gross orNet Grossi Phase In Type Not Selected Transaction Mode Amount Generate Auth Txns Yes Phase In Occurances Certificate Required Noi ToFundiD lt Campaign Code Single Certificate Fund Name Dates and Reminders SI Start Date Frequency Not Selected xl Reminder Before Action Nof SI End Date No of SI Transactions Reminder Period Last Processed Date Escalation Details Escalation Start Date Escalation Frequency Not Selected xl Escalation Value Escalation End Date Escalation Type Not Selected Next Escalation Date Input by DateTime Mod No Authorized by DateTime Open Authorized Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Standing Instruction screen Maintaining SI Basic Info The system retrieves the name of the selected unit holder and displays it alongside this field when you click the Validate link Click SI Basic Info tab to enter the details Client Information Section In this section specify the details of the CIF Account or the investor that has requested for the standing instruction To retrieve a CIF Account number or a unit holder number click Find Unit Holder ID Alphanumeric Optional This information is mandatory if you have specified a CIF number Select the unit holder for whom the standing instruction
149. R 5555 USD 6666 then 5555 and 6666 are Load Ids If it is a mono currency installation load Id alone should be stored The load Id should be amount based with the return value as amount Please note that there will not be any check to this effect and you need to maintain appropriate value since it is a one time setup Exchange Rate Source Alphanumeric Mandatory Select the exchange rate source from which the exchange rates are to be derived for the transaction The source specified in the transaction screen is displayed here You can modify this if required Upon modifying the exchange rate source if the payment currency differs from the fund base currency FBC transaction currency TC and if the payment amount is greater than or equal to zero then system computes and displays the FBC Amount in the fund base currency transaction base currency equivalent If both the currencies are same then the payment charges is deducted from the payment amount and displayed as FBC TC amount in case of Subscription transactions For vee ORACLE redemption transactions the payment charges is added to the payment amount and displayed as FBC TC amount FX Rate Mandatory FX rate for the chosen exchange rate source is displayed here On modifying the FX rate if the payment currency differs from the fund base currency FBC transaction currency TC and the FX rate is greater than or equal to zero then system calculates and displays th
150. Section seessesseeeiinneeeennnneernnnnenrrrnseeennnnneeenene 5 46 Mandatory Information for All Transaction TyP S c ccccceeeeeeeeeseeneeeeeeteeneeeeees 5 46 Viewing Fund wise Balances of Unit Holders 0 cccceeeeneeeeeeeetteeeeeeeenteeeeeeeeae 5 47 Contract Notes for Transactions secsi sananing iraa TE EE AE E ARREARS 5 48 Entering Payment Details for Transactions ccceeceeeeeeeeeeeeeeseeneeeeeeeeeenaeeees 5 49 5 5 1 Payment Incomplete Transactions ccccccceceeceeesteeeceeenteeeeeeeeneteeeeeeaas 5 49 5 5 2 Gross Basis and Net Basis Transactions cccccccecccecenteeeeeeenteeeeeeeeaes 5 49 Exchange Rate Incomplete Transactions eccccceceeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeaeeees 5 49 5 6 1 Exchange Rate Enrichment for Exchange Rate Incomplete Transactions 5 50 5 6 2 Performing Exchange Rate Enrichment 00 ccccccceceeeeeeeeettneeeeeeetnteeeeeneae 5 50 5 6 3 Performing Bulk Update of Exchange Rate ccccccssieeeceeetteeeeeeeeaes 5 51 5 6 4 Authorizing Exchange Rate Enrichment 00 ccccsccccsesseeeeeentieteeeeeaaes 5 52 5 6 5 Clearing Payment Instruments sseeeeesneeeeeinnneneennneeennnnenerrnnneernennneeeene 5 53 5 6 6 Fields in Payment Clearing Screen eessinersrinnneeernnrrnrrrirnrerrnnnerrrnnnnne 5 55 5 6 7 Tracking Status of Returned Cheques sseeeeissseerienneesrnnnneernrnnerrnnnne 5 55 5 6 8 Fields in Payment Clearing Screen s eeesssr
151. Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction 4 Select the fund in which the requested transaction is to be put through from the drop down list in the Fund Id field 5 You can select Transaction Mode from drop down list Enter the Transaction Currency in the Transaction Currency Field or select using the LOV 6 Select Transaction Sub Type and Payment Mode from drop down list 7 An IPO transaction can be put through in either an Amount or a Units mode 8 Inthe Transaction Sub Type field specify whether the transaction is an initial purchase After entering all details in Transaction Information section click on ENRICH TRANSACTION button which will default all values from FUND amp Unit Holder 9 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule 10 Select the mode in which the payment for the transaction will be made in the Payment Mode field After entering all values click on Enrich The list of transactions applicable for the Unit Holder selected is defaulted in UH and Fund section
152. The status of the transaction in the Authorization Status field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria e The status of the records in the Record Status field If you choose the blank space then all the records are retrieved e The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e The transaction type in the Transaction Type field If you choose the blank space then all the records are retrieved e The reference number in the Reference Number field e The customer information number in the CIF Number field Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS RTA Transfer Details screen is displayed a ORACLE 5 17 1 4 Deleting RTA Transfer Details You can modify the details of the RTA transfer details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the FCIS RTA Transfer Summary screen from the Browser 1 Specify any or all of the following details in the screen e The status of the transaction in the Authorization Status field If you cho
153. To UH Deals 1 Click on the To UH Deals button to view the details of all the deals set up for the transferee unit holder Enter the relevant search criteria in the Find Options screen The system will display the records that match the search criteria you have specified 2 Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record Other Details KIID Complaint Optional Select if transfer transaction is KIID complaint or not from the drop down list Following are the option available in the drop down list e Yes e No The system will default the KIID compliant at the transaction level upon the selection of the Unitholder and Fund in the transaction screens If the UCITS Fund at the Fund level is Yes and the UH mapping to the Fund in the UH KIID Compliance tab is NO then at the transaction level the system will default the KIID Complaint to No The other combinations is as follows UCITS Fund Yes No UH Mapping at the KIID KIID Complaint at Txn level will Compliance TAB default to Yes No No Yes Yes Yes No NA Blank If the KIID Complaint is set to No the system display the following error message while saving the transaction The Unit holder has not received the KIID If the flag is set to YES
154. Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Order Received Date Date Format Optional Specify the order received date Order Received Time HH24 Ml Time Format Mandatory Specify the order received time Deriving the order received date and time The system will validate the Fund cut off based on the Order received time and not the actual time the Transaction is captured in the system The transaction date will be derived by the system based on these two fields For instance if the Fund Cut off is 14 00 hrs at a Fund level and the transaction is captured at 15 00 hrs in the system with the Order Received time as 13 00 then the system should validate the time maintained at Order Received time and not the time the transaction is actually captured This will be considered as the same day transaction a0 ORACLE If all the below mentioned transactions are captured on 15 Oct 2012 at 16 00 hrs then the transaction dates will be derived as detailed below In case the transaction date is amended then the system has to consider the amended transaction date Post authorisation of the transaction you cannot amend order received date and time Fund Cut off Order Order Transaction Rec
155. Transaction Record An amended FCIS Reissue Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions 4 6 35 Defaulting of Price Date in Transaction Screens Fcis Subscription Transaction Detail New 9 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Find UH Units Applied Transaction Type Transaction Date i Amount Applied Transaction Number Description Percent Applied Payment Mode Select One RRR transaction Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order CIF Number ISIN No UH Deal Fund Name Unit Holder Name Fund Base Currency UH Sianature Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime Authorized While entering a transaction in any of the Transaction Detail screens you will have to select the fund in which the requested transaction has to be put through Once you choose the fund from the option list the field From Price Date will be displayed The table below gives you four sets of conditions that will determine the price date t
156. Transaction User Guide Oracle FLEXCUBE Investor Servicing Release 12 0 4 0 0 Part Number E57474 01 September 2014 ORACLE Table of Contents About This Manual cccccoscisasecsccceccacecscsecserectncscsucvacecpean aces tta aieiai casini 1 1 LIS Produ ana R tapes teas teat LAA AE scapes A EE ARTERA 1 1 1 2 Related DOCUMENMS eccrine aei i a i A aia 1 1 T AUGEN O ar E E A N S 1 1 Tt Iaa A E A AT ate eet eee 1 1 1 5 Conventions Used in this Manual ccccceeeeeceeeeeeeeeceeeeeeeeaeeeeeeenaeeeeeeenaeeeeseeaaes 1 1 1 5 1 General CONVENTIONS seisis iena aaraa ieina eaaa iaa aa aeiia eaa 1 2 1 5 2 Keyboard CONVENTIONS sssriirirrseiiirnrriiii ani nE EEKE R E ANRE E EE 1 2 TO E E EEE E E A T EA A E E OE 1 2 1 7 Abbreviations and ACrOnNymMS sessessssssrsssesrrrssetirrststtnttsstttntnttttnnnnsttnnnasteennnnnnenn 1 2 1S Getma Holm oieni e a E T E E ia ett 1 3 Maintaining Standing Instructions sssssssssssssunnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn 2 1 2 1 What is Standing Instruction eee eee cence ee ee eee ee eeeeaaeeeeeeeaeeeeeeetaeeeeneeaas 2 1 2 2 Initiating Standing INStrUCtIONS eee eee eeee eee eeeeeae eee eeeaaaeeeeeeeaaeeeeeeenaeeeeeneaaes 2 1 2 2 1 Fields in Standing Instruction Detail Screen 0 0 eccceceecceteteeeeeentteteeeeenaes 2 3 2 2 2 UH Deal LINK SUIMUIMNAIY iarere 2 27 2 2 3 Retrieving Deals for INVEStOIS oo ceeeccceteeeeeetnteeeeeetetneeeeeetnaeeeeeetiaaeeeenetae 2 27 2 2 4 Vi
157. Transfers OUT Details Channel Transfers Details Channel Branch Name Transfer Branch Code Broker Name Broker Code Rule Effective Date Remarks Input by DateTime Authorized by DateTime Mod No Open Authorized FCIS provides the facility to transfer an investor along with all the transactions done prior to the transfer to the new channel The following transfers will be allowed under Channel Transfer e Channel to Channel e Channel to Non channel Channel transfers cannot be triggered from non channel agency branches a ORACLE 5 17 1 Transfer Branch Code Specify the branch of the agent to whom the investor is being transferred Branch Name Upon selection of the branch code the associated branch name gets populated Broker Code Select the code of the broker to whom the investor is being transferred Broker Name Upon selection of the broker code the associated broker name gets populated Rule Effective Date Specify the date from when the unitholder transfer that is currently being set up should become effective Remarks Descriptive text about the transfer can be entered here On authorizing the transfer system will check for the following e Any unauthorized transaction exists with previous channel for the specified rule effective date e Any authorized transaction to be allocated on or greater than the specified rule effective date e Any allotted transaction to be cleared or settled on or greater tha
158. User ID of the person from whom the message has come from Message The text of the message that has been received is displayed here Delete Click on Delete Message button to delete the message Transfer IN Consolidation Out and Transfer Process The RTA Transfers Detail In and Out screen captures the details that are present in the RTA incoming interface related data store In the case of a transfer out transaction the transaction is generated and needs to be confirmed by the bank To invoke this screen click on the main menu item Maintenance and then click on Details under the sub menu item RTA Transfer Detail ot ORACLE You can also invoke this screen by typing UTDRTAIO in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS RTA Transfers Detail New 4 Enter Query RTA Transfers Transaction Type Select Reference Number RTA Channel CIF Name Unit Holder ID Show Details Unit Holder Name ESE Transfers OUT Details Channel Transfers Details ai AMC Name AMC ID Fund Identification Number Fund ID Units Fund Name Short Cost Price Transaction Date Amount Folio No Check Digit Entity ID Input by DateTime Authorized by DateTime Mod No Open Authorized The following details can be captured here RTA Transfer Detail Reference Number 16 Character Maximum Alphanumeric Mandatory Specify a reference number for the account This
159. a in the Find Options screen The system will display the records that match the search criteria you have specified If the selected investor is eligible for tax exemption select the tax product in which the investor wishes to redeem units in the Product ID field When you select the product you are indicating to the system that this transaction will affect the used up amount of the non taxable limit set up for the selected unit holder in the Non Tax Limits Setup options If the investor chooses to redeem all taxable holdings then choose ALL in this field 3 Select the fund in which the requested redemption is to be put through from the drop 4 down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund is displayed in the Fund Name field If you have selected a fund for which transaction entry charges or allocation charges or both are applicable then the following fields are enabled for data entry The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields The Fee Payment Details Section The Load Override Section If the document submitted is a tax document then check the Tax Document option Once all the documents required for the transaction have been received check the All the requested KYC doc
160. account type of the transfer account is an eligible account type e Incase Credit on Outflow is No and if there is any redemption linked to this subscription before credit date barring any interim taxation crediting will not happen e CPMF percentage and Lag cannot be modified for System generated authorized transactions e In Subscription screen If Lag basis is Trigger based Lag will be defaulted to 1 and cannot be changed If Lag basis is Transaction date lag will be 0 Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation 4 6 11 7 Viewing Balance Holdings of a Unit Holder 4 6 12 You can view the available fund balance details of a unit holder For this click the View Balance button in the FCIS Subscription Transaction Detail screen The Investor Fund Balance Summary screen is displayed in view mode displaying the unit holder fund balance details Cancelling Transactions An initial purchase subscription transaction entered into by an investor can be canceled at the investor s request through a Cancel operation provided the cancellation period specified for the fund has not elapsed When a cancellation is processed a redempti
161. action along with defaults and transaction number Note Multi currency is not handled in light weight screens and Bulk client defaults should be maintained The Inflow breach factor for IN transactions and Outflow breach factor for OUT transactions are considered for arriving at the fund inflow outflow dilution levy breach limit Fund Corpus Inflow Outflow Breach Factor lt Net Amount in FBC for the day Dilution levy is validated against the gross transaction amount If gross transaction amount is greater than the dilution levy breach limit then a warning message is displayed by the system Dilution levy value can be overridden The overridden value is considered only if the transaction is breaching the dilution levy limit amount If a transaction is saved and if there are overrides while saving such a transaction then the following warning message is displayed by the system Transactions are saved with overrides Entering and Saving Redemption Transactions Enter a redemption transaction request into the system in the following sequence of events Navigate to the Redemption Transaction Detail screen Invoke the FCIS Redemption Transaction Detail screen by typing UTDTXNO3 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for redemption transactions is displayed with all the default ea ORACLE information To enable the fi
162. action have been allocated e After the allocation of units in respect of the same e Within the default amendment period specified in the Defaults Maintenance When you amend a transaction the amended record is saved as an unauthorized transaction with a transaction number that is different from that of the original transaction before amendment Subsequently the amended transaction must be authorized again for it to be effective The authorization of an amended transaction can be done only from the Fund Manager module Note Once a transaction is amended and the amendment has been subsequently authorized it cannot be amended again Allocation of Transactions Once a transaction is authorized the units in respect of it must be allocated to the concerned unit holder The unit holder s balance holdings in the system database must reflect the changes due to the acquisition or the sale of units due to the transaction The allocation processes in the system perform this function iii ORACLE 4 6 4 6 1 To understand how allocation is performed refer to the Allocation chapter in Fund Manager User Manual Allocation can be performed in any or all of the following three ways Online Allocation The allocation is performed at the time the transaction is authorized i e simultaneously with authorization This is true for amended transactions for which the amendment is authorized too Online allocation is only possible
163. adjoining arrow The screen is displayed below Summary Authorized Open Unit Holder ID B Aggregate Currency Re Adjustment Status Re Adjustment ID X Advanced Search Records per page 15 v 41 of 4 a Authorized Open Unit Holder ID Aggregate Currency Re Adjustment Status Re Adjustment ID 5 15 3 1 Retrieving Readjustment Portfolio You can retrieve a previously entered broker deal as follows e Invoke the UH Portfolio Readjustment Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved Se ORACLE 5 15 3 2 The aggregate currency The readjustment ID in the Re Adjustment ID field If you choose the blank space then all the records are retrieved The Readjustment status in the Re Adjustment Status field Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen You can perform Edit Delete Amend and Authorize operation by selecting from the Action list Editing Readjustment Portfolio You can modify the details
164. al Information Details 1of1 Other Info Field Field Value Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime anuni Unauthorized The Add Info Tab Click on the Transaction Add Info Tab to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment 4 20 ORACLE 4 6 2 9 Fee Payment Section Click on Fee Payment tab in the FCIS IPO Subscription Detail screen Fee Payment Details Transaction Fee Transfer Branch Payment Mode Cheque Account Type Current Account Bank Account Number Branch Clearing Date Cheque Number Account Holder Name Cheque Date IBAN 1 If you have selected a fund for which transaction entry charges or allocation charges or both are applicable then the following fields are enabled for data entry 2 Ifa transaction entry charge or transaction time fee is applicable for the fund the transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed 3 If you wish to override this fee specify the overridden value in the Fee after Override field 4 Ifyou have selected a fund for which transaction entry charges or allocation charges or both are applicable
165. alance Holdings of a Unit Holder cccccccesseeeeesteeeeeeeeneees 4 34 4 6 9 Operations supported in FCIS Bulk Transaction screen cccccetee 4 34 4 6 10 FCIS Bulk Transaction Summary SCrOCN Lu ieee eee eeeeteeneeeeeeteenaeees 4 35 4 6 11 Entering and Saving Subscription Transactions in Detail 4 38 4 6 12 Cancelling Transactions cccccccccecceecetetteeeeetncneeeeeetiteeeeeesitaeeeeettnaeeeeeeees 4 46 4 6 13 FCIS Subscription Transaction Summary SCre N c ccc ettteee eee 4 48 4 6 14 Entering Subscription Transactions in Light Weight Detail 00 06 4 51 4 6 15 Entering and Saving Redemption Transactions c ccccccseeteeeeeteeeeeees 4 53 4 6 16 FCIS Redemption Transaction Summary Screen cccccccsteeeteeeeeees 4 63 4 6 17 Entering and Saving Redemption Transactions in Light Weight Detail 4 67 4 6 18 Entering and Saving Switch Transactions cccccccccseeeeetesteeeeetntieeeeees 4 68 4 6 19 Entering and Saving Switch Transactions in Light Weight Detail 4 79 4 6 20 FCIS Transaction Switch Summary Screen ccccccceeeeeteeetteteeteeeatees 4 82 4 6 21 Entering and Saving Transfer Transactions ccccccessceeesseeeeeeeeneeeees 4 85 4 6 22 Entering and Saving Transfer Transactions in Light Weight Detail 4 94 4 6 23 FCIS Transfer Summary Screen 00 ccccccccceceeeteeeneeeeeteeeeeeeeeeeneaeeeeetensaeeees 4 96 4 6 24 Entering and Saving Block TranSa cCtiOnS 0 cecce
166. alent 4 Select the mode in which the transaction request was communicated in the Communication Mode field For check redemption transactions the communication mode selected must be MMF Check You can view the projected allocation details only for funds in which the ageing policy is FIFO first in first out or Transaction Receipts If the prices are not available for redemption transactions on the transaction date the latest available price is picked up for allocation When you do so the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen The following allocation details are displayed e The Fund ID and the ISIN Code e The Product ID e The number of units allocated in the Units field e The Unit Price for the transaction as on the date of the temporary allocation e The total load amount in the Load Amount field e The Gross and Net Amounts in fund base currency e The Settlement Amount in the transaction currency Dilution Levy Processing To arrive at the dilution levy breach limit the inflow breach factor is considered Fund Corpus inflow Breach Factor lt Net Amount in FBC Dilution Levy limit breach is validated against the gross transaction amount If the gross transaction amount exceeds the dilution levy breach limit t
167. an is displayed alongside Note This field will be displayed only if the SI level is Plan Level No Of Consecutive Payment Rejections Display Displays the number of times the SI payments have been consecutively rejected As and when the payment is rejected the count is incremented by one and it is reset to zero when a payment is successful The standing instruction status will be set to Cancel if the number of payment rejected is more than the SI payment rejections allowed In this case the further SI transactions will not be generated No Of Cumulative Payment Rejections Display Displays the total number of times the SI payments have been so far rejected As and when the payment is rejected the count is incremented by one The standing instruction status will be set to Cancel if the number of payments rejected is more than or equal to the SI payment rejections allowed In this case the further SI transactions will not be generated Description Display This field displays the reason for rejection of the SI payments SI Auto Termination Cumulative Counter Optional Specify the maximum number of times the SI payment rejections are allowed before the auto termination If you have not maintained any value then on saving modifying the SI transaction the system defaults the value maintained at the Plan Maintenance screen if the SI level is Plan Similarly if the SI level is Fund then the sys
168. ance minus the un allotted redemptions if any If the transaction value exceeds the balance available the system will throw up an error message It will not save the transaction If the transaction is being put through as a result of a check issued by an investor with the check writing facility in a fund for which the check writing facility is allowed the transaction amount that you specify here must fall within the minimum and maximum limits specified for the fund for check redemption transactions For transactions by gross amount a transaction value that exceeds the Minimum Amount for Tax ID that has been specified in the fund rules the system validates the availability of the PAN Number in the unit holder account profile If the PAN Number has not been specified in the profile you must enter a transaction value that does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction If specified in the General Operating Rules for the fund the End of Day processes perform the minimum holdings validation by picking up all allocated transactions during the business day and grouping according to CIF level or unit holder level as indicated in the General Operating Rules During this the system validates whether the current holdings balance of the investor either equals or exceeds the minimum holdings balance specified in the General Operating
169. and locked and when you specify all the information that is mandatory for initiating a query the reference number is generated by the system when you Save the information If you have retrieved a query for viewing or processing the reference number of the retrieved query is displayed here and it cannot be altered Attended by Alphanumeric Optional Specify the name of the person who is assigned to attend to the details of the query Reporting Entity Type Alphanumeric Mandatory Specify the type of entity that is initiating the query Choose from the drop down list Query Severity Alphanumeric Mandatory Specify the criticality of the query by selecting it from the drop down list This could be one of the following Low Moderate or High ole ORACLE Reporting Entity ID Alphanumeric Mandatory Specify the ID of the entity that is initiating the query Status Alphanumeric Mandatory When you are initiating a new query this field is locked and has a default value Open signifying that the query is yet to be processed Subsequently when you retrieve the record of a query in this screen and edit the same you can update the status of the query by making the appropriate selection in this field A query can be open closed or being followed up Accordingly choose the desired option from the drop down list Query Type Alphanumeric Mandatory Specify the type of query that is being initiated by selecting it from the d
170. and so forth Search by 7 System will fetch all the records whose unit holder ID ends by numeric value 7 For Example AGC17 GSD267 AGC77 and so forth Search by 17 System will fetch all the records whose unit holder ID contains the numeric value 17 For Example GSD217 GSD172 AGC 17 and so forth 6 4 3 Editing Amount Block Unblock Transaction You can modify the details of transaction that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed transactions The Amount Block Unblock screen is displayed Select Unlock Operation from Action list to modify the record Modify the necessary information Click Ok button to save your changes Amount Block Unblock Detail screen is closed and the changes made are reflected in the Amount Block Unblock Summary screen 6 4 4 Viewing Amount
171. andatory Specify the unit holder ID You can also click on FundUH button to select the valid unit holder ID Account Type Optional Select the type of account This adjoining option list displays all valid fund ID maintained in the system You can choose the appropriate one Unit Holder Name Display The system displays the unit holder name Distribution Amount Numeric 8 Characters Optional Specify the distribution amount Tax Amount Numeric 8 Characters Optional Specify the valid tax amount Void Status Optional Select the void status from the adjoining drop down list Following are the options available e Full e Partial e Un Void Distribution Void Amount Alphanumeric 8 Characters Optional Specify the distribution void amount This field is enabled only if you have selected Void Status as Partial Tax Void Amount Alphanumeric 8 Characters Optional Specify the distribution void tax amount This field is enabled only if you have selected Void Status as Partial Remarks Alphanumeric 255 Characters Mandatory Specify remarks if any Validating ISA Void Distribution Void You can maintain partial Voids and full amount void values at a unit holder distribution level using distribution void feature 37109 ORACLE You can mark the distribution record as fully void or partially void by selecting Full Partial option in Void Status field If you select Partial voi
172. andatory if the Transaction Type is Switch Selecting the Phase In Type to Holdings the system will switch out the fund holdings within the specified number of occurrences to the selected fund To Fund ID Select the fund to which the selected unit holder has requested to switch the investment If you specify the code of a fund the ISIN Code of the fund is displayed in the To ISIN field Fund Name Display Only The system displays the fund name of the specified To Fund ID based on the details maintained at Fund Rule Maintenance level Certificates Required Optional For funds that have the certificate option as specified in the Shares Characteristics rules specify whether the selected unit holder has requested certificates for the standing instruction transaction If yes then choose the Yes option in this field and specify the number of certificates requested in the Number of Certificates field Single Certificate Mandatory only if you have chosen the Yes option in the Certificate Required field Select the denomination of certificates whether single or multiple that will be involved in the transaction if certificates have been requested e For IPO and subscription specify whether the unit holder has requested a single certificate or multiple certificates ale ORACLE e For redemption switch and transfer specify whether a single certificate or multiple certificates are being
173. ank Reminder Before Action Mandatory If you select the option as Yes then the Unit Holder will be intimidated before SI generation No Of SI Transactions Specify the number of SI transactions for Monthly Quarterly Half yearly and Yearly frequencies Escalation Details Section Unit holders may need to have the values of transactions generated for a standing instruction to be escalated at a pre defined frequency This is known as escalation Escalation is possible only for certain transaction types like IPO and subscription You can capture the details pertaining to any such desired escalation in the Escalation Details section Escalation Start Date Date Optional Specify the date on which the escalation of the instruction will begin This date has to be later than the SI Start date but earlier than the SI End Date Escalation End Date Date Optional Specify the date on which the escalation of the instruction will cease This date has to be later than the SI Escalation Start Date but earlier than the SI End Date Escalation Frequency Alphanumeric Optional Specify the frequency at which the escalation is to take place You can select the desired frequency format from the drop down list The escalation frequency must always be greater than or equal to the standing instruction frequency ae ORACLE Escalation Type Alphanumeric Optional Specify whether the escalation is an amount units based escalat
174. ansaction Units Confirmed This is the number of units confirmed by the fund manager for the given adjustment transaction Units Rejected This is the number of units rejected if any by the fund manager for the given adjustment transaction Provisional Shares This is the number of provisional shares allocated in respect of the transaction by the Fund Manager Provisional shares are allocated for transactions the payment instrument in respect of which is pending clearance The Document Details tab Document Management System or DMS is used to scan and store documents like Account Opening form Transaction form Identity Proof etc In this section you can specify the document type for the unit holder The document types can be maintained in the System Parameters Maintenance screen For further information refer to the chapter Maintaining System Parameters Access this section through the Document Details section Document ID Optional You can either enter the document ID in this field or choose the document ID from the option list p la ORACLE Document Type Display When you enter or choose the document id this field will be updated Document Description Display When you enter or choose the document id this field will be updated Note The Document Details Section will be enabled only if your installation is integrated with DMS 6 2 Adjustment Transaction Summary Screens The adjustment
175. ansaction The options available are e Amount e Units e Percent Unit Holder ID Specify the unit holder ID You can also click the Find button to list the unit holder IDs maintained in the system Select the required ID Unit Holder Name The name of the unit holder is displayed CIF Number Specify the CIF number of the unit holder for whom you wish to enter multiple transactions You can also click the Find button to list the CIF number maintained in the system Select the required ID Aggregate Currency Conditional Specify the aggregate currency You can also select the currency from the option list provided The list consists of valid and authorised currencies maintained in the system Aggregate currency is used in case of multiple transactions with multiple currencies This currency is used as an intermediate currency to do settlement between outflow and inflow transactions If the fund base currency is same for all the funds involved in the transaction then the system defaults the aggregate currency as the fund base currency However if the currency is different then the system prompts to enter the aggregate currency on save Fund ID Specify the transaction Fund ID Transaction Type Select the type of transaction from the drop down list The options available are e IPO Subscription e Subscription e Redemption e Switch e Transfer e Multi Transaction Aa ORACLE For a unit holder you can capture mu
176. ansaction Type Units Applied ay Amount Applied Transaction Number Description Percent Applied Payment Mode Select One v Enrich Transaction RRB Transaction other intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order CIF Number ISIN No Fund Name Unit Holder Name Fund Base Currency UH Sianature Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime utes Unauthorized You can access this screen if it is contained the menu access privileges given to the user group or user role that your user profile is associated with as set up by the User Administrator for the agency branch installation Typically all users belonging to the Teller user group can enter new transactions in this screen Client Information Section In this section specify the details of the CIF customer or the investor that has requested for the transaction To retrieve a CIF customer number or a unit holder number click Find CIF Number Alphanumeric Optional Specify the number of the CIF customer for whom the transaction is being entered in this field You must select a CIF that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved Unit Holder 12 Characters Maximum A
177. ansfer To Unit Holder ID and To Unitholder Name 12 Characters Maximum Alphanumeric Optional This information is mandatory if you have specified a CIF account Select the unit holder to whom the transfer of ownership is being affected The system retrieves the name of the selected unit holder and displays it alongside this field when you click the Validate link When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list If you have selected a unit holder for the selected CIF using the Find link the name and number of the selected unit holder is displayed here You must select a unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved To CIF Number Alphanumeric Optional Specify the number of the CIF to which the transfer is being affected in this field The system retrieves the name of the CIF account and displays it alongside this field when you click the Validate link You must select a CIF that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved SI Details Section In this section capture all details pertaining to the standing instruction it
178. ansfer account is displayed here In case of third party payment enter the number of the back account that is being used to make the payment Account Type When you select the back account of the unit holder that is being used to make the payment the type of the transfer account is displayed here For third party payments select the type of the transaction account from the drop down list Account Currency Display Only When you select the back account of the unit holder that is being used to make the payment the currency of the transfer account is displayed here oat ORACLE This currency must be the same as the transaction currency If this is not so the unit holder must specify an account in which the account currency is the same as the transaction currency Account Holder Name Display Only When you select the back account of the unit holder that is being used to make the payment the name of the holder of the transfer account is displayed here Transfer Reference Number Alphanumeric Optional Specify the reference number of the transfer that is being used to make the payment Broker ID Mandatory If you have chosen broker as the Payment Type you need to specify the identification code maintained for the broker in the system Routing Bank Details Link Click on this link to view the routing details for the bank The details are picked up from the unit holder level For further information on this screen
179. ansfer in transaction This will be unit based transfer you will not be allowed to enter Amount On authorisation of the record the system will generate an authorized Net Unit based Subscription Transactions at the Fund Level Inspecie Transfer In will be made available for these transactions The settlement mode for these transactions will be In Kind The Current Year ISA Subscription Amount will be used to validate the ISA Limits ot ORACLE 5 12 3 If the ISA transfer in transaction exceeds the ISA allowance limit for the current tax year then on save of the transaction the system displays the following error message Exceeds the ISA allowance for the current tax year The system will consider the current ISA Transfer in transactions at the time of ISA allowance limit computation for the tax year You can record G1 G2 split of units under transfer at fund level Backdated transfers will not be allowed There will be no limit validation for previous year ISA transfer in The previous year ISA transfer in date can be lesser than account opening date First ISA transaction date will also be recorded during transaction capture Specifying ISA Transfer You can specify ISA transfer details using One Legged Transfer screen You can invoke this screen by typing UTDOLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button One Legged Transfer UnitHolderiD OOS
180. anumeric Mandatory Specify a unique reference number that will be used to identify the transaction in the system Typically this number is the number of the application that is used to enter this transaction It will be the initial identification for the transaction before the actual transaction number is generated by the system If the reference number is designated to be a system generated number for the agency branch this field is disabled when you open the screen The system will internally generate and display this number when you save the transaction ae ORACLE Fund Id Alphanumeric Mandatory Select the fund in which the transaction is being requested The funds displayed in the drop down list are authorized funds with a latest prevalent set of fund rules and rule effective date They are also funds for which the type of transaction that you are entering is permissible as defined in the Transaction Processing Rules records for the funds When you select the fund the name of the fund as specified in the Fund Demographics screen is displayed in the Fund name field Also the base currency for the fund is retrieved from the fund rules and displayed in the Fund Base Currency field in this screen Transaction Number 16 Character Maximum Alphanumeric System generated This is a unique number automatically assigned to each transaction by the system It is internally generated upon successful entry of the transaction and after a
181. any function by clicking the help icon provided or by pressing F1 ra ORACLE 2 1 2 2 2 Maintaining Standing Instructions What is Standing Instruction An investor in your AMC may wish to subscribe into any of the funds of the AMC at regular periodic intervals separated by a pre defined frequency The investor may want to withdraw investment from any of the funds at regular periodic intervals These transactions of subscribing or withdrawing investment could be requested by investors could be based on any regular savings plans or withdrawal plans they have decided upon for the purpose of managing their investment and savings Whenever these kind of periodic transactions are to be effected the investor gives the AMC a standing instruction to carry out the same This would mean that according to the preferences of the investor the AMC would automatically enter and process these periodic transactions in the investor s account without manual intervention from the investor A standing instruction given by an investor will always result in a transaction in the investor account Initiating Standing Instructions To enter a standing instruction for an investor into the system you must capture the details of the instruction in the FCIS Standing Instructions Detail screen You can invoke this screen by typing UTDSIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arr
182. aptured This will be considered as the same day transaction If all the below mentioned transactions are captured on 15 Oct 2012 at 16 00 hrs then the transaction dates will be derived as detailed below In case the transaction date is amended then the system has to consider the amended transaction date Post authorisation of the transaction you cannot amend order received date and time Fund Cut off Order Order Transaction Received Date Received time Date 14 00 15 Oct 2012 13 50 15 Oct 2012 14 00 15 Oct 2012 14 10 16 Oct 2012 14 00 14 Oct 2012 13 25 14 Oct 2012 14 00 14 Oct 2012 15 15 15 Oct 2012 Transaction Information Section Reference Number Optional Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Transaction Type Mandatory Select the type of switch transaction requested by the unitholder The available options are e Normal Switch e Pseudo Switch mre ORACLE e CMA Switch e Bed and Breakfast Switch In case of normal switch transaction the following sequence of events occurs e Select the fund from which the requested switching is to be put through from the drop down list in the Fund field You can also specify the ISIN Code of the fund The
183. ase in to Fund 5 and Fund 6 as the process will be duplicated Note The following points need to be considered Ifa particular date a phase in has been scheduled is a holiday the transaction will be generated on the next working day Ifthe From and the To funds belong to two different AMC s the switch will be considered a normal switch and not a pseudo switch Many to Many Funds feature will not be supported for the following Pensions Unit Trust Standing Instructions Example An investor John wants to invest amount 3000 on Funds say FUND1 and FUND2 He has set Phase In Occurrences to 5 and frequency as Monthly i e the fund will be divided into 5 units on monthly basis To Fund Ratio has been set to 50 i e FUND1 is equally divided into FUND 3 and FUND4 Similarly FUND 2 is also equally divided into FUND3 and FUND4 This is displayed in the table as shown From Funds To Funds To Fund Ratio FUND1 FUND3 50 FUND2 FUND4 50 Unit balances can be set for every month manually shown as follows Month Fund Units 4st FUND1 1000 FUND2 2000 gnd FUND1 850 FUND2 1700 3rd FUND1 630 FUND2 1260 4th FUND1 450 FUND2 850 a0 ORACLE 5th FUND1 250 FUND2 500 For the first month the phase occurrence value is 5 The unit for the first month for FUND1 is 1000 5
184. at least one of the funds defined should have the settled unit balance Fund Name Display Based on the fund ID selected the fund name is displayed Fund Base Currency Display Based on the fund ID selected the fund base currency is displayed Holding after Readjustment Mandatory Define the percentage of the readjusted portfolio for the unit holder After readjustment this is the percentage of the total holdings of the settled units for the selected funds The total percentage should added up to hundred percent os ORACLE Transaction Details Section Click Transaction Details tab to view the generated transaction details UH Portfolio Readjustment Detail New 5 Enter Query vein ATE rors Transaction Details I 1of1 a Txn No To Fund ID Ref Type Txn Amount Units Input by DateTime Mod No Authorized by Open DateTime Authorized The following details are displayed e Transaction Number e Transaction Type e Fund ID 5 15 1 2 Error Section During transaction generation if one of the transactions fails then the system will log an error as Transaction Processing Failed It will not generate the partial successful transactions The failed reasons can be viewed under Errors tab Click Errors tab to view the error details UH Portfolio Readjustment Detail D New 433 Enter Query Main Transaction Details Errors Errors 1of1 Description
185. ate button the following fields are displayed GO Date Display The system displays the Global Order date AMC ID Display The system displays the AMC ID Fund ID Display The system displays the fund ID GO Transaction Type Display The system displays the GO transaction type Unit Holder Name Display The system displays the unit holder name oe ORACLE UH Account Type Display The system displays the UH account type GO Mode Display The system displays the GO mode GO Units Alphanumeric 8 Characters Optional Specify the GO units GO Amount Alphanumeric 8 Characters Optional Specify the GO amount Settlement Status Optional Select the settlement status from the adjoining drop down list Following are the option available e GO Settled Sub Payment Mode Mandatory Select sub payment mode from the adjoining drop down list Following are the options available e Money Transfer e Telegraphic Transfer e Wire Transfer Bank Alphanumeric 4 Characters Mandatory Specify the bank code This adjoining option list displays all valid bank code maintained in the system You can choose the appropriate one Branch Code Alphanumeric 4 Characters Mandatory Specify the branch code This adjoining option list displays all valid branch code maintained in the system You can choose the appropriate one Account Type Numeric 3 Characters Mandatory Specify the type of account This adjoining option
186. ate Date Mandatory Enter the transaction date that falls on a Holiday Modified Transaction Date Date Mandatory Enter the new transaction date to which the transactions is to be updated This transaction date is defaulted to the next working day of the current transaction date You are allowed to modify this date The system will freshly calculate the price date for these transactions in case for specific fund price dates Operation Specify the operation for which the update has been enabled Tracking Cheques You can track the status of checks issued for dividend payments as well as redemption incentive payments and entity commission payments in the system You can also view details of cheques uploaded into the system for payment tracking purposes A dividend cheque will be considered as expired if the system date is greater than the cheque date or the sum cheque reissue date and expiry period as specified in PARAMS maintenance Cheque status tracking is allowed for only those type of transaction maintained in PARAMS maintenance S188 ORACLE 5 19 1 Use the Cheque Tracking Summary screen to do this You can invoke this screen by typing UTSCHQTR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Cheque Tracking Summary Authorized Open Type of Transaction X Transaction Number Fund ID ail Payment Number Unit Holder ID as Reference Number
187. ate applied using the transaction currency fund base currency and the value of the switch out settlement value and displays the same here During allocation the system picks up the prevailing exchange rate on the application date and converts the switch out settlement amount in the From Fund base currency to its equivalent in the To Fund base currency as the switch in transaction amount Override Switch In Exchange Rate For Switch transactions only Check Box Optional Select this option if you want to override the computed switch in exchange rate Fee Details In this section specify the transaction time fee details for the requested transaction Calculate Fee Click this link to trigger the computation of the transaction time fee The system computes the fee and displays the fee value both in the base currency of the selected fund as well as in the selected currency for the transaction Fee in Fund Base Currency Display Only When you click the Calculate link the system computes the transaction time fee in the base currency of the selected fund and displays the same in this field mig ORACLE Fee in Transaction Currency Display Only When you click the Calculate link the system computes the transaction time fee in the base currency of the selected fund and displays the same in the Fee in Fund Base Currency field It also computes the equivalent of the same in the currency specified for the transaction and dis
188. ate of the temporary allocation e The total load amount in the Load Amount field e The Gross and Net Amounts in fund base currency e The Settlement Amount in the transaction currency The following Load Details are displayed e The Fund ID and the ISIN Code e The Load ID e The Load Description e The Load Amount After you have viewed the projected allocation details click the Close button to close the screen ats ORACLE 4 6 2 4 Others Section Click on Other tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail les Save Transaction Type jaz Payment Mode Select One f E Description Transaction Category Select f l UH amp Fund Transaction Zejutte Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Settlement Date Maturity Date Remarks O A Cancel Instruction Base Cost Auto Clear Provisional Select One X Payment Allowed CE Balance Fund Price Basis ___ jaa Auto Clear Select One x Tal Reinvestments Completion Date Ea Dealing Date A LOI Transaction Nof EUSD Option Select One CPMF Bonus Percent Price Date E CPMF Credit Lag Campaign Code C Lock In Period for Gain Reversal Code KIID Received Ci Settlement Details Receipt Details ProjectAllocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime Authorized Unauthorized Ok i OEE
189. ated If this option is selected for a standing instruction the system validates that the current holdings of the investor either equal or exceed the minimum holdings value specified in the Limit for Standing Instructions defined for the fund when the subscription transactions in respect of the standing instruction are generated This specification can be maintained only if the Minimum Holdings Check has been indicated as applicable for the fund for which the standing instructions are being entered Price Basis Alphanumeric Mandatory The default price basis defined in the Distributor Price Basis Setup if any for the fund transaction type distributor and investment account type involved in the standing instruction is displayed in this field If no price basis has been maintained in the Distributor Price Basis Setup the default price basis specified for the fund and transaction type for the instruction from the fund rules is displayed here Contribution Percentage Numeric Optional Indicate the percentage of holdings of the transaction that is to be generated in respect of the instruction Contribution Amount Numeric Mandatory Indicate the value of the contribution of the investor for the subscription transaction that is to be generated in respect of the instruction Note The amount specified here should be greater than or equal to the minimum contribution amount specified for the savings plan The sum of the contrib
190. ating in this field In this section specify the period during which the standing instruction is to be processed for the unit holder the minimum contribution amount as well as the frequency at which it must be processed ORACLE 2 4 1 3 Minimum Contribution Amount Numeric Mandatory Indicate the minimum value of the transaction amount that is to be generated in respect of the instruction Contribution Currency Alphanumeric Mandatory From the list select the currency in which the transactions generated in respect of the standing instruction will be processed Contribution Frequency Alphanumeric Mandatory From the list select the frequency at which the standing instruction must be processed The value specified here will be defaulted to all the underlying standing instructions SI Auto Termination Cumulative Counter Optional Specify the maximum number of times the SI payment rejections are allowed before the auto termination SI Auto Termination Consecutive Counter Optional Specify the maximum number of times consecutive SI payment rejections should be allowed before the SI is automatically terminated Minimum Contribution Period Alphanumeric Mandatory From the list select the unit in which minimum period between the Start Date and End Date of the standing instructions is to be reckoned Value Numeric Mandatory Specify the value of the minimum contribution period between the Start Date and End Date o
191. ation However if you wish to enter details specific to a particular transaction you can change the default and make your specification in the Transaction Details section see ORACLE 4 6 5 Transaction Details section You can enter information that is specific to each individual transaction that you wish to enter To add a new transaction click the Add button To delete a transaction that you have entered select the transaction row and click the Delete button The default details that you have specified above are displayed for each transaction However you can change the following details Transaction Date Unit Holder Fund ID Transaction Type Sub Type Transaction Mode Transaction Value Payment Mode Gross or Net To Unit Holder To Fund Id Reference Number Transaction Number Status of the transaction Error Note For multi transactions only redemption and subscription transactions are allowed For multi transaction the transaction date and the unit holder ID are defaulted from the header and you cannot modify the same For subscription transactions you can select the following transaction modes Amount Units Percentage Residual For redemption transactions Residual transaction mode is not applicable You have to maintain different fund IDs for multiple transactions aaa ORACLE 4 6 6 4 6 6 1 4 6 6 2 Specifying Settlem
192. ation Details You can view the allocation details related to a transaction in Transaction Allocation Details screen To invoke this screen click Allocation Details button in Transaction Details screen Allocation Details loft 5 wv Fund ID Allocation Date Alloted Units Unit Price Confirmed Units Settleme F AFUND2 04 24 2012 85 137 85 137 4 Load Details tofi m Fund ID Load Description Load Amount Load Amt In Fee Ccy fv AFUND2 57 57 T AFUND2 45 6 45 6 F AFUND2 46 03 46 03 Performance Fee Details loft LinkTransaction Number In OutFlag Elementidentification Element Description Value The following details related to the allocation are displayed e Fund ID e Allocation date and allotted amount e Unit price and confirmed units e Settlement amount in transaction currency e Gross and Net amounts in Fund Base Currency e Rejected number of units The following details related to Load are displayed e Load Id and description e Load amount e Load amount in fee currency The following details related to Performance Fee are displayed e Linked transaction number e Incoming Outgoing transaction 20 ORACLE e Identification of the data element associated with performance fee e Description associated with the data element e Value associated with the data element Transaction KYC Details Screen You need to specify the list of required KYC documents for this transaction System allows you
193. ation tool bar and clicking on the adjoining arrow button Help Desk Summary bas Authorized v Open v Helpdesk Reference No a Advanced Search Records per page 15 v 1 of 1 Authorized Open Helpdesk Reference No Query Type Problem Description 2 m m r Retrieving a Query Record You can retrieve a previously entered query record in the Help Desk Summary screen as follows e Inthe browser select the Help Desk Summary from the Transaction menu category of the Agency Branch module e The status of the transaction in the Authorized field If you choose the Blank Space option then all the transactions that involve the specified unit holder are retrieved e The status of the Transaction in the Open field If you choose the Blank Space option then all the transactions that involve the specified unit holder are retrieved e The Helpdesk Reference Number After Consolidation Transaction are entered into the system you can perform any of the following operations e Edit or delete them provided they are still unauthorized e Retrieve and view them e Have them authorized by another user Editing a Query Record You can modify the details of a Help Desk record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Inthe main menu invoke the Transaction menu Select Help Desk choose the Summary option The Help Desk Summa
194. ault lock in period for the funds where IOF IRRF are applicable is defaulted here This can however be modified Note Reversals are not allowed post allocation However if there is any judicial blocking partial or full or the subscription is partially redeemed the reversals will not be allowed Reversal Code Optional This field is only available during transaction amendment and you can use it to capture the appropriate rejection code if any for the amendment The codes available in the option list are specific to the transaction type being amended Additionally you can also specify appropriate remarks for the amendment in the Remarks field Cancel Instruction Alphanumeric Optional You can use this field to indicate whether standing instructions defined in respect of a unit holder in the selected fund are to be cancelled If you select this option all standing instructions for the transaction is cancelled including those that are to be generated after an automatic redemption occurs Select the Standing Instruction option in this field to indicate cancellation of standing instructions If this option has been chosen in the General Operating Rules for the fund the automatic redemption process generates redemption transactions for unit holders in the fund with the Cancel Instruction option automatically set If this option has been set for the transaction in this field the End of Day process cancels all stan
195. ay Only When you specify an amount as the transaction value the system computes the equivalent of the same in the base currency of the selected fund and displays it here Interest Amount The system computes the interest amount based on the interest calculation days interest rate provided by you in the Interest Calculation Screen explained below You will be able to change the amount displayed if required Interest Calculator Click Details button in the Transaction tab of the FCIS Subscription Transaction Detail screen to invoke the Interest Calculation Screen interest Details Calculation Type Simple v 1of1 E Amount DepositDate Interest Calc Days Transaction Currency InterestAmount BasisDays Total Interest Amount Calculate The following are the fields in this screen Calculation Type Mandatory Select the calculation type from option list The options available are e Simple e Complex Basis Days Mandatory Numeric Select the interest basis days based on which the interest will be calculated The options available are a ORACLE e 360 days e 365 days Transaction Interest Calculation Section Amount Display Only The transaction value provided by you is displayed here You will not be able to change the amount displayed Transaction Currency Display Only The system displays the transaction currency that is selected in the Subscription screen
196. c clearing of the associated transaction record and convert provisional units into confirmed units 280 ORACLE 5 6 7 1 5 6 8 Debit Received Indicates that information about Cheque rejection is received from Bank Reject Status Awaited Indicates that information about Cheque rejection has been received at AMC TA through return of physical instrument Rejected This means that both rejected cheque and reject information from the bank have been received Once this status is updated system will trigger automatic reversal of the associated transaction record e Specify any relevant remarks in the Remarks field e After marking as many instruments as for tracking click the Save button to save your changes If you select an Instrument Status for one or all of Instruments for a transaction that results in payment transaction rejection system gives the following warning message This will reject the entire transaction Do you want to go ahead Authorizing Tracking Status After you have updated the status of a transaction payment instrument another user must authorize the instrument status for it to be effective in the system data stores To authorize an instrument status in the Payment Clearing screen do as follows e Inthe Selection Criteria section specify the following details as search parameters to retrieve the transaction records for which the status of payment instruments must be authorized
197. cable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance Dealing Date By default the dealing date is derived based on the dealing date maintained for the fund in the Specific Fund Price Date Setup screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific price date fund System will default the transaction date as the dealing date If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities in the Fund Manager User Manual for more details on maintaining alternate trade cycles for a fund Completion Date The date on which the transaction is completed is displayed here EUSD Option The EUSD option specified for the unit holder is defaulted at the tran
198. cable for standing instruction reference type for standing instruction 41 is exempt from the suspension rule If the reference type is exempt from the suspension rule then system checks the value of field Suspension applicability for SI If the value is N New or B Both the system allows the save Else it displays the following error message as Transaction Type is Suspended For more details on maintaining exceptions for suspended transactions please refer the chapter Setting Up Fund Rules II ee ORACLE 2 2 1 2 2 1 1 Fields in Standing Instruction Detail Screen FCIS Standing Instructions Detail SI Fund Info Siintermediary SI Payment SI Delivery Details SI Bank Details SI Routing Details lient Information Unit Holder ID sid CIF Number From UH Deal Unit Holder Name To CIF Number Find UH To UnitHolder ID To Unit Holder Name Find To UH SI Details SI Number Description z3 Plan Code SI Status Not Selected Fund ID SI Level Fund No of Cumulative Fund Name KIID Compliant Ci Payment Rejections No of Consecutive Plan Description SI Auto Termination i Payment Rejections Cumulative Counter SI Auto Termination Transaction Category Select x Consecutive Counter Senarai TEETE No of SI Transaction ransaction Details Transaction Type Subscription Delivery Option Amount Transaction Currency O E First Generation Date Units Currency Description
199. calation frequency in the case of a new amount block or unblock transaction For records retrieved in the Amend mode this date may be altered in the amend session Escalation Paused Optional If you want the escalation to be halted for a while or a hiatus to occur then check this box No more escalation will occur till this box is unchecked Redeeming Units for Unblocked Amounts FC IS provides the facility of redeeming the resulting units for a unit holder when an unblock amount transaction is put through against a Block ID When you enter an unblock transaction for a unit holder against a Block ID you can also specify the fund from which the units may be redeemed when the unblock transaction is authorized and allocated Note In an amount unblock transaction the amount unblocked could be unblocked against a Block ID across all the funds in which the amount was blocked The redemption against this unblock amount can only be initiated in a single specified fund Processing Redemption Transactions against Unblocked Amounts To enable the redemption of units in this way When you enter the unblock transaction in the Adjustment Unblock Amount Transaction screen against a Block ID specify the fund in which the redemption must occur for the unit holder Specify the details of payment for the redemption transaction in the Payment Details section When the amount unblock transaction is authorized on the date of entry a red
200. can modify this field If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance 00 ORACLE Dealing Date By default the dealing date is derived based on the dealing date maintained for the fund in the Specific Fund Price Date Setup screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific price date fund System will default the transaction date as the dealing date If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities in the Fund Manager User Manual for more details on maintaining alternate trade cycles for a fund Completion Date The date on which the transaction is completed is displayed here Specify the Certificate Options if any e If the transferor unit holder has requested transference of a portion of the issued balance then choose Yes in the From Issued Balance field If the transferor unit holder has requested transference of a po
201. cases where the exchange rate for the source selected for the transaction has not been uploaded or is unavailable Whenever you do not enter the exchange rate the transaction is saved as an exchange rate incomplete transaction Further an exchange rate incomplete transaction can be authorized and the exchange rate completed or entered subsequently after authorization oH ORACLE 5 6 1 5 6 2 Exchange Rate Enrichment for Exchange Rate Incomplete Transactions Transaction Enrichment The process of entering the exchange rate for an exchange rate incomplete transaction is known as Exchange Rate Enrichment Why must enrichment be performed A transaction can only be picked up by the End of Day process for allocation of units only if it is authorized and all necessary details are present in the transaction record If the exchange rate is not available the equivalent transaction amount in fund base currency cannot be computed In the event of the transaction being authorized before the exchange rate details are specified it must be made exchange rate complete before it can be picked up subsequently for allocation When to perform enrichment Exchange rate enrichment must be performed as a mandatory procedure before an exchange rate incomplete transaction is allocated Exchange rate enrichment must also be performed for authorized transactions generated due to a standing instruction Performing Exchange Rate
202. ce date fund System will default the transaction date as the dealing date Campaign Code Optional Specify the campaign to be mapped You can also select the campaign code from the option list The campaign codes which are linked to the selected switched in fund ID and whose start and the end dates are in between the transaction date and are displayed in the option list You can modify the campaign code only before the transaction allocation Campaign Description Optional The description of the selected campaign is displayed Note While allotting the transaction with the campaign code the campaign load is considered instead of the normal load Even though the fund is linked with the campaign code no campaign load will be applied if the transaction is not linked with campaign code Normal load return value will be replaced with the campaign load return value at the time of allocation If the campaign load return value is applicable for the transaction a log is maintained in the system to note that the campaign load has overridden the normal load The applicable load return value for a transaction can be defined at the following levels Load Unit holder deal Campaign code Transaction time load override Nocriteria set at the campaign maintenance will be applied to select the campaign load The load applied to the transaction at the time of allocation follows the following priority order 1 Transaction ti
203. ce the price issue is sorted out you should update the correct price in the GO IF GO price is correct then update the fund price On update all the GO will have same price for the transaction date fund transaction type combination Once the price is amended with the correct price you should authorize the transaction from GO Reconciliation screen The mismatch transaction will no longer reflect in the GO Reconciliation screen once authorized GO Confirmed Price Alphanumeric 8 Characters Mandatory Specify the Global Order confirmed price GO Units Display The system displays the Global Order units The confirmation message received from the fund house will be compared with the original message generated Fel ORACLE For a units based order in case if there is a mismatch in the GO Units Value received from the fund house then same will get reflect in the GO Reconciliation screen for manual correction with status message as Confirmed Units Mismatched The correct value will be confirmed from the fund house outside the system Once the units issue is sorted out you need to update the units with correct units in GO Reconciliation screen Once the units are amended with the correct Units you should authorize the transaction from GO Reconciliation screen The mismatch transaction will no longer reflect in the GO Reconciliation screen once authorized GO Confirmed Units Alphanumeric 8 Characters O
204. ceived Time Percent Applied m Transaction Date 01 11 2014 E3 HH24 Ml Enrich Transaction nii Transaction Type z Payment Mode Cash x Description Transaction Category Select f l ME Transaction Other Intermediary Load Override KYC amp Document Addinfo Fee Payment Certificate Limit Order CIF Number ISIN No Fund Name Unit Holder Name Fund Base Currency Settlement Details ReceiptDetails ProjectAllocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime Authorized Unauthorized Open Open Transaction Information 1 Specify the unit holder that has requested the transaction in the transaction Information section From the find UH button specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved 2 When you specify the unit holder e The funds in which the specified unit holder can transact are displayed in the Fund list of values 3 The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to speci
205. ch as the payment type in the Payment Details screen For check redemption transactions no payment details need be entered 2 Ifthe unit holder has requested redemption from the issued or certificate balance you must specify the numbers of the certificates that are being redeemed if any If partial redemption has been requested from any of the certificates check the Partial check box ee ORACLE 4 6 15 7 4 6 15 8 against that certificate in the Certificate Details section Only one of the certificates can be partially redeemed at a time Also you may need to alter the minimum and maximum denominations if so requested An override of these specifications is possible if it is allowed as designated in the fund rules 3 Ifa transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed If you wish to override this fee specify the overridden value in the Fee after Override field 4 Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section KYC and Document Section 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date
206. click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Specify the Communication Mode and Remarks 1 Select the mode in which the transaction request was communicated in the Communication Mode field 2 Specify any remarks for the transaction in the Remarks field Override Fee if necessary and specify Fee Payment Details 1 Ifa transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field 2 Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section Specify the Certificate Details In the Certificate Details section you must specify the numbers of the certificates that are being split if any Partial splitting of certificates is not possible KYC Details 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received 2 Ifthe investor has not co
207. cord details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending FCIS IPO Subscription Record After a FCIS IPO Subscription record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the FCIS IPO Subscription Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS IPO Subscription Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes Authorizing Amended FCIS IPO Subscription Record An amended FCIS IPO Subscription record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transac
208. cord that you want to view in the list of displayed records The FCIS Reissue Transaction Detail screen is displayed in View mode 4 6 34 4 Deleting FCIS Reissue Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Reissue Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Reissue Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 34 5 Authorizing FCIS Reissue Transaction Record An unauthorized FCIS Reissue Transaction record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS Reissue Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that
209. creen e Double click the transaction that you wish to authorize The Plan Maintenance Detail screen is displayed Select Authorize operation from Action When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Savings Plan After a Plan Maintenance record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization e Invoke the Plan Maintenance Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend only authorized records e Specify any or all of the details of the Plan Maintenance in the screen All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Plan Maintenance Detail screen is displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save the changes Changes during amendment During an amendment you can change any of the details of the savings plan except the Plan Id and the Plan Description Authorizing Amended Savings Plan An amended Plan Maintenance record must be authorized for t
210. cted brokers sum up to one hundred percent 3 You can now save the transaction Specify additional information if necessary Click on the Transaction Add Info button to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment FCIS Unblock Transaction Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Unblock Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Unblock Transaction Summary screen by typing UTSTXNO7 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Transaction Number e Fund ID e Unit Holder ID e Transaction Type 4 109 ORACLE e Transaction Mode e Transaction Date e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of t
211. ction Mode NotSelected v Transaction Date e Dealing Date Limt Order pi PaymentMode NotSelected v AMC ID Maker ID Advanced Search Records per page 15 v 1of1 Authorized Open Status Transaction Number Reference Number Fund ID Unit Holder ID Transaction Typi 4 m 4 6 16 2 Editing FCIS Redemption Transaction Record You can modify the details of FCIS Redemption Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Redemption Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Redemption Transaction Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Redemption Transaction Detail screen is closed and the changes made are refl
212. ction Number Reference Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date Dealing Date Limit Order Details Payment Mode Completion Date Agent Code AMC Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note Press F7 Input the Transaction Number Press F8 You can also retrieve the individual record detail from the detail screen by querying in the following manner You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value Example You can search the record for Fund ID by using the combination of and alphanumeric value as follows Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc 4 64 ORACLE Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc FCIS Redemption Transaction Summary Authorized Open Transaction Number 3 Reference Number Fund ID Unit Holder ID Transaction Type Redemption Transa
213. ction record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Unblock Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Unblock Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending FCIS Unblock Transaction Record After a FCIS Unblock Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the FCIS Unblock Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with
214. d option then you can provide the Void Distribution amount and the void Tax amount You can also amend this maintenance and change the status to Blank You can amend the distribution void amount and distribution void tax amount with effective date being the application date The system will store the latest effective date record in the system as latest record which will be available for amending the void record The distribution void processing is only for reporting purpose and will not have any systemic impact on tax credit Tax Credit You can process tax credit transactions by providing the details such as fund ID dividend payment number account type the system will default the tax credit date to the application date Based on this any tax deducted from the unitholder will be credited back to the unitholder In case if the unitholder is marked as void or any transaction belonging to unitholder is marked as Void then the tax credit will not happen the system will mark the record as error and log the details into a table Tax credit Reversal batch will trigger reversal of Tax credit reinvestments and Tax credit payments To reverse the Tax Credit Reinvestment transaction you will have to select the Fund and Processing mode as reverse so that payment number are available for selection On selection of payment number and entering remarks you should run the reversal batch process Payment numbers which are gone through Tax Credit pr
215. d Name Short Fund Identification Number Exchange Details Amount in Fund Base Currency Exchange Rate Source Exchange Rate Applied Override Exchange Rate No Other Details Communication Mode Direct In Person Remarks Maturity Date Auto Generate Unblock Fund Base Currency Allocation Details Input By Calculate UH Sianahire DateTime Open mutase Unauthorized Mod No Authorized By DateTime Specify the Client Information Transaction Date and Reference Number 1 Specify the unit holder that has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field To ascertain the validity click on the Find UH button Enter the information and confirm if the Unit Holder is valid You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder The funds in which the specified unit holder can transact are displayed in the Fund drop down list The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen M3 ORACLE 2 T
216. d documents of this manual Transactions Maintaining Standing Instructions explains the maintenance Chapter 2 ee of standing instructions for an investor account Transactions IRA Plans explains the processes involved in the creation of Chapter 3 retirement plans in retirement investment products for investors Transactions Processing Transaction Requests is intended for the Teller Chapter 4 users and contains guidelines for the initiation and processing of investor transactions Transactions Processing Transactions I explains how to process trans Chapter 5 actions It also explains how to retrieve edit and view the details of a transaction Transactions Adjustment and Amount Block Transactions explains the Chapters processing of adjustment and amount block unblock transactions Conventions Used in this Manual Before you begin using this User Manual it is important to understand the typographical conventions used in it 1 1 ORACLE 1 5 1 General Conventions Convention Type of Information Italic type Functional foreign terms Validations for fields on a screen References to related Headings Users Manuals For emphasis Numbered Bullet Step by step procedures 1 5 2 Keyboard Conventions Convention Type of Information Keys All keys of the keyboard are represented in capital letters For example lt CTRL gt Sho
217. d funds that are effective in the system as on the date of the transaction The date and time on which you enter the transaction request into the system must be within the Start and End Dates and Start and End Times specified for the re quested transaction type in the Transaction Processing Rules Maintenance for check writing facility For investors using check writing facility you must ensure that the following have been maintained before you enter check redemption transactions e For each unit holder who requests use of the check writing facility it must be specified as allowed in the account profile either while creating the account or through an information change e ORACLE e The check vendors who will print the checkbooks for investors using the check writing facility as entities in the system through the Entity Maintenance The vendors must also be associated with the funds for which they would print the checkbooks e Inthe System Parameters you must maintain MMF Check as one of the communication modes through which a transaction request can be entered e The rules that will govern the processing of the check redemption transactions for each fund You maintain these rules in the General Operating Rules for a fund For a detailed description of these rules refer the chapter Setting up Fund Rules in the Fund Setup User manual e The details of checkbooks requested by unit holders for each fund m
218. dates will be derived as detailed below In case the transaction date is amended then the system has to consider the amended transaction date Post authorisation of the transaction you cannot amend order received date and time Fund Cut off Order Order Transaction Received Date Received time Date 14 00 15 Oct 2012 13 50 15 Oct 2012 14 00 15 Oct 2012 14 10 16 Oct 2012 14 00 14 Oct 2012 13 25 14 Oct 2012 4 88 ORACLE Fund Cut off Order Order Transaction Received Date Received time Date 14 00 14 Oct 2012 15 15 15 Oct 2012 Conversion of Transaction Value into Fund Base Currency 1 Select the exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field If the transaction value is specified in units or percentage of holdings then the prevalent price for a transfer transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify th
219. de Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance Dealing Date By default the dealing date is derived based on the dealing date maintained for the fund in the Specific Fund Price Date Setup screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific price date fund System will default the transaction date as the dealing date aM ORACLE If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities in the Fund Manager User Manual for more details on maintaining alternate trade cycles for a fund Specify the Maturity Date for closed end funds If the fund in which the transaction is being put through is a closed end fund then specify the maturity date for the transaction in the Maturity Date field This field is only applicable for AMCs that have opted for the maturity date facility Specify the Letter of Intent Applicability If the unit holder that is subscribing to the fund through IPO is designated as a Letter or Intent i
220. de in the order mentioned above e Account in the specific currency or MCY Multi Currency in the order specified above If neither transaction currency account nor multi currency account is available the transaction is saved as an Incomplete one in case of subscription and IPO transactions You will have to input payment details later to complete it In case of redemption and pseudo switch transactions the system fails the transaction if the Payment Mode is Transfer and allows saving of the transaction if the Payment Mode is Cheque Note The same logic holds true for SI transactions as well If you selected Third Party as the payment type all the banks maintained in the system are available in the option list You must choose the one that will be used to make the payment All those accounts belonging to the account type allowed for the combination of type of transaction and the fund involved will be available Branch When you select the back account of the unit holder that is being used to make the payment the name of the branch of the bank in which the account resides is displayed here In case of third party payment all the branches maintained for the selected bank are displayed in the option list You must choose the one that will be used to make the payment Account Number When you select the back account of the unit holder that is being used to make the payment the account number of the tr
221. dealing date If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities in the Fund Manager User Manual for more details on maintaining alternate trade cycles for a fund Completion Date The date on which the transaction is completed is displayed here Specify the Maturity Date for closed end funds 1 If the fund in which the transaction is being put through is a closed end fund then specify the maturity date for the transaction in the Maturity Date field This field is only applicable for AMCs that have opted for the maturity date facility Specify the Letter of Intent Applicability 1 Ifthe unit holder that is subscribing to the fund is designated as a Letter or Intent investor then specify if the present transaction is to be deemed and processed as a Letter of Intent transaction 2 This specification is only applicable for LOI unit holders that are transacting in a fund ina group for which LOI is deemed as allowed Specifying the Balance and Re Investment Details Select the auto clear provisional balance and select the type of Auto Clear Re Investments form the drop down list Specify if the payment has been allowed for the transaction ante ORACLE Specify the EUSD Option The EUSD opt
222. der Name Account Type zZ Effective Date 01 02 2014 Ez Distribution Void Amount Payment Date Ez Tax Void Amount Distrubution Amount Remarks sD The account can be voided for a given date range Specifying Void Details You can specify the void details by using Distribution Void Detail screen To invoke this screen type UTDDVOID in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button to perform the following operations Tax Amount DateTime Input by Authorized by DateTime Mod No Open Authorized You can specify the following details Fund ID Alphanumeric 6 Characters Mandatory Specify the fund ID This adjoining option list displays all valid fund ID maintained in the system You can choose the appropriate one Payment Number Alphanumeric 8 Characters Mandatory Specify the payment number This adjoining option list displays all valid payment number maintained in the system You can choose the appropriate one Payment Date Date Format Optional Specify payment date Effective Date Date Format Mandatory Specify the application date Distribution Type Alphanumeric 8 Characters Mandatory Select the type of distribution This adjoining option list displays all valid fund ID maintained in the system You can choose the appropriate one S108 ORACLE 5 13 2 Unit Holder ID Alphanumeric 8 Characters M
223. der is a process where a distributor bulks their investor s transactions including Subscriptions Redemptions_and send to the Asset Management Companies or to the Fund Houses as a single Transaction for processing before the funds cut off time on daily basis The distributors generally will have an identification number with the fund houses or AMC s which is called as Nominee Account Number On receipt of a bulk order or GO from the distributor the fund house will confirm the units allotted to this distributor or to the Nominee Account On receipt of confirmation from fund house distributor will then confirm the global order at his end If there is any discrepancy in global order then global order will go through a reconciliation mechanism to address the difference Once the discrepancy if any is resolved distributor will allocate units to underlying unit holders The GO will be grouped according to Fund transaction type subscription and redemption transaction mode units amount Transaction Category Advised Execution and Legacy Account type Indicator gross Net and transaction date This is applicable for daily price 7 ORACLE 5 8 1 Global Order Maintenance Detail H save Global Order Generation Type User Initiated Generation GO Settlement Yes Nominee Account Number Include Back Dated Trades Yes F UH Account Type Account Description funds For non daily price funds the system will generate s
224. differences between the transaction amount and the payment amount you can enter the rounding difference as a separate payment entry with the Payment type as Retained By e Absorbed In case the payment received is more than the amount used for unitization then you can enter a separate payment entry with payment type as Absorbed e Self Use this type if the payments are received from the customer e Third Party If the beneficiary name of the bank account is different from the registered holder s name for redemption payment then the payment type should be defaulted as Third Party In case of subscription if the remitter s name is different from the registered holder s name then the payment type should be defaulted as Third Party If you have selected Cheque or Money Transfer as the mode of payment then you must enter multiple instruments of the same payment type However if the mode of payment is Multi Payment Mode then you can enter multiple instruments of different payment type Instrument Status Display The status of the instrument as indicated in the Payment Clearing screen is displayed here Settled Optional Check this option if the settlement is complete Transactions can be marked as Settled only if all the payment are settled and the sum of the payment amount is equal to the transaction amount in terms of the fund base currency Also the units in Provisional Balance will
225. dilution levy breach limit Dilution levy value can be overridden The overridden value is considered only if the transaction is breaching the dilution levy limit amount If a transaction is saved and if there are overrides while saving such a transaction then the following warning message is displayed by the system Transactions are saved with overrides 4 6 8 Viewing Balance Holdings of a Unit Holder You can view the available fund balance details of a unit holder For this click the View Balance button in the FCIS Bulk Transaction Detail screen The Investor Fund Balance screen is displayed in view mode displaying the unit holder fund balance details investor Fund Balance 43 Execute Query Unit Holder ID Fund balances Detail 1of1 a FundID Fund Name Fund Base Currency Unit Balance Total Blocked Units FBC redeemable FBC Holding 4 Total Blocked Amount or Holdings Total Blocked Amount Total Holdings in UH Currency Total Blocked Units 4 6 9 Operations supported in FCIS Bulk Transaction screen The following operations can be performed for multiple transactions using FCIS Multiple Transaction screen e New You can capture outflows and inflows transactions in this screen This will then be grouped under one transaction e Modify You can modify the unauthorized multi transactions Click Unlock option in the action menu and amend the
226. ding instructions irrespective of the transaction type for the unit holder in the fund after the outflow transactions redemption switch and transfer involving the unit holder have been allocated for the day Note Reversal or amendment of an outflow transaction for which Cancel Instruction has been set to Standing Instruction would re instate the standing instructions Maturity Date Date Format dd mm yyyy Optional If the fund in which the transaction is being put through is a closed end fund then specify the maturity date for the transaction in this field os ORACLE In case of block transactions enter the maturity date of the block transaction If the system date is equal to or greater than the date specified here and the Auto generate Unblock option is checked then system generates an automatic unblock transaction on the date specified here If the maturity date falls on a holiday then the unblock transaction will be generated on the next working day Auto generate Unblock Optional If this option is checked then the transaction will be automatically unblocked by the system on the maturity date This is applicable only for Block transactions Auto Generate unblock will be generated during the EOD process BOD Subscription Transaction Maturity Date Settlements Block ID Mandatory Select the ID of the transaction you wish to unblock The option list displays the ID of all the block transactions mapp
227. djustment transaction in the Adjustment Type field Select the preferred mode of payment in the Payment Mode Description field from the drop down list In the Load Details section specify the Load Description and the Load Amount for each load that is applicable for the transaction If you do not specify the value of any or all of the loads then the value is deemed as zero or nil in the system Specify the payment details according to the selected mode of payment in the Payment Details section The Payment details screen is available on selection of Payment Mode In the Document Details section specify the document id of the unit holder You can either enter the document id or choose the same from the option list provided This section will be enabled only if your installation is integrated with DMS Save the transaction by clicking Ok button Fields in Adjustment Transaction Detail Screens User Information Section In this section specify the details of the CIF customer or the investor that has requested for the transaction Note To retrieve a CIF customer number or a unit holder number click Find UH Toenter a transaction for an investor that is attached to a CIF customer first specify the number of the CIF customer in the CIF Number field and then select the number of the required unit holder in the Unit Holders for CIF field Toenter a transaction for an investor that is not attached to a C
228. ds in Adjustment Transaction Detail Screens cccceceeectettteeeeeentees 6 2 6 2 Adjustment Transaction Summary Screens cece ceeeeee eee eeeeeeeeeeteeeeaeeeeeeenaaees 6 13 6 2 1 Retrieving Transaction in Transaction Summary Screens cccce 6 13 6 2 2 Editing Adjustment Transaction 0 0cccccececccecseeceetnneeeeeeetnneeeeetetnaeeeeeneas 6 14 6 2 3 Viewing Transaction ooo eeceeeetetnteeee eee tnte eee ettnaeeeeeetaaeeeeeetaaaeeeeettaeeeeenees 6 14 6 2 4 Deleting Adjustment TranSa ctiOn ccccccccteieceeceenteeeeeeetnteeeeeeetnaeeeenetae 6 15 6 2 5 Authorizing Adjustment Transactions 0 0 cccccccccecteeeeetnneeeeeeetneeeeenenee 6 15 6 2 6 AMeNding Transaction enserir ieee EEEE EEEE Ei 6 16 6 3 Block or Unblock Transactions by Amounts cecccceeeeeeeeeeeeeeetteeeeeeettaeeeeeeeaaes 6 17 6 3 1 Entering Amount Block or Unblock Transactions 0 cccccesccectntteeeeeenees 6 17 6 3 2 Fields in Amount Block Screens essesneeerrenesrrnnnnrrernnnennrnnnnrerrnnnrrrnnnnnne 6 18 6 4 Redeeming Units for Unblocked Amounts esessseseressesrrssseerrssrtirrrssrrrrrsssrenn 6 24 6 4 1 Processing Redemption Transactions against Unblocked Amounts 6 24 6 4 2 Retrieving Amount Block Unblock Summary ScreenS seeeaneaeeeaea 6 25 6 4 3 Editing Amount Block Unblock TransactiOn 0 0 cccccccccttseteettntteeeeeeee 6 26 6 4 4 Viewing Amount Block Unblock Transaction cseccccecseteeeeeeetnte
229. e payment When you do all the details of the selected account are displayed in the corresponding fields in this section Bank Display Only When you select the back account of the unit holder that is being used to make the fee payment the name of the bank in which the account resides is displayed here Branch Display Only When you select the back account of the unit holder that is being used to make the fee payment the name of the branch of the bank in which the account resides is displayed here Account Number Display Only When you select the back account of the unit holder that is being used to make the fee payment the account number of the transfer account is displayed here Account Type Display Only When you select the back account of the unit holder that is being used to make the fee payment the type of the transfer account is displayed here Account Currency Display Only When you select the back account of the unit holder that is being used to make the fee payment the currency of the transfer account is displayed here This currency must be the same as the transaction currency If this is not so the unit holder must specify an account in which the account currency is the same as the transaction currency oe ORACLE 5 1 12 Account Holder Name Display Only When you select the back account of the unit holder that is being used to make the fee payment the name of the holder of the transfer account is dis
230. e 14 April 2004 can be overridden to the Adhoc Date 12 April 2004 For a transaction captured on 13 the field From Price Date in the subscription transaction will be updated with the date 19 April 2004 as the 17 is an AMC holiday In the above transaction the default price date can be overridden to the Adhoc Date 13th April 2004 as it does not satisfy the cut off days limit But the 14th the Scheduled Price Date can be applied Case 4 The next scheduled price date taking into account the number of cut off days specified You can change this price date and enter the Adhoc Price Date Refer to the chapter Setting Up Fund Rules Il in Volume 2 of the Fund Manager User Manual For further information on the Transaction Detail screens refer to the chapters Processing Transaction Requests and Processing Transaction Requests II in Volume 2 of the Agency Branch User Manual Completing Transaction A transaction is deemed as complete only after it is settled and the required KYC documents have been received from the investor both at the unit holder level and at the transaction level Redemption and Switch Out transactions are allowed even if the linked subscription transactions are not complete However payment will not be allowed If Redemption and Switch out transactions are settled and all the required KYC documents have been received Completion of linked Subscription triggers the Completion of the Redemption or Sw
231. e FBC TC amount based on the payment amount payment charges and FX rate Due Date DD MM YYYY Display Settlement Due date calculation is based on Payment Lag Calendar basis payment lag and dealing date The Payment lag calendar basis determines whether AMC Currency Fund or System Calendar will be considered to identify holidays For redemptions Settlement due date and Settlement date Value date is defaulted based on the Currency Cut Off Time and payment lag for the fund and redemption transaction type For example If the Cutoff time for the currency USD is 11 00 am and the Payment lag is 1 for the fund transaction type and the system time is well below the specified cut off time then system will calculate the settlement due date Settlement date by adding the payment lag 1 Business day of the currency calendar to the dealing date of the transaction If the System time falls after the cutoff time of the currency then settlement date due date will be defaulted with the sum of dealing date payment Lag 1 Business day If this derived date falls on currency holiday then get the next working date based on currency calendar and default it If currency calendar is not maintained then the same date is defaulted For Subscriptions Settlement due date is defaulted based on adding the dealing date for the transaction type and payment lag maintained for the fund and subscription transaction type If the due date falls on a holiday then the nex
232. e Format Mandatory Specify the order received time Deriving the order received date and time The system will validate the Fund cut off based on the Order received time and not the actual time the Transaction is captured in the system The transaction date will be derived by the system based on these two fields For instance if the Fund Cut off is 14 00 hrs at a Fund level and the transaction is captured at 15 00 hrs in the system with the Order Received time as 13 00 then the system should validate the time maintained at Order Received time and not the time the transaction is actually captured This will be considered as the same day transaction If all the below mentioned transactions are captured on 15 Oct 2012 at 16 00 hrs then the transaction dates will be derived as detailed below In case the transaction date is amended dtas ORACLE then the system has to consider the amended transaction date Post authorisation of the transaction you cannot amend order received date and time Fund Cut off Order Order Transaction Received Date Receivedtime Date 14 00 15 Oct 2012 13 50 15 Oct 2012 14 00 15 Oct 2012 14 10 16 Oct 2012 14 00 14 Oct 2012 13 25 14 Oct 2012 14 00 14 Oct 2012 15 15 15 Oct 2012 4 6 15 2 Specifying Details in UH and Fund Section UH Deals Tab 1 Click on the UH Deals button to view the details of all the deals set up for the unit holder Enter the relevant search criteri
233. e Rate Source Specify the source of exchange rate You can also select the source of exchange rate from the adjoining option list This exchange rate source is used to convert aggregate currency to transaction currency and vice versa FX Rate Specify the foreign exchange rate FBC Amount Specify the fund base currency amount ae ORACLE 4 6 6 3 Due Date Specify the due date of the transaction Paid Date Specify the paid date of the transaction Auto Settlement Select Yes option if you require auto settlement Payment Type Select the type of payment e Self e Third Party e Broker e Retained e Absorbed Paid Back e Advanced Payment Settlement Status The status of the settlement is displayed Instrument Status The status of the instrument is displayed Settled Check this option if the transaction is settled Reversed Check this option if the transaction is reversed Txn Mode Select the mode of transaction e Amount e Percent e Units e Residual For multi transactions the Units transaction mode is not applicable Payment Value Specify the value of payment Click Calculate button to calculate the settlement amount Amount Details Settlement Amount The settlement amount is displayed Aa ORACLE 4 6 6 4 4 6 7 Payment Amount The payment amount is displayed Processing Multi Transactions To process the outflow transactions execute the Multiple Transacti
234. e TAB default to Yes No No Yes Yes Yes No NA Blank If the KIID Received is set to No the system display the following error message while saving the transaction ORACLE The Unit holder has not received the KIID If the flag is set to YES there will be no error message and treated as if the UH has received the KIID The system will always look at the latest UCITS fund mapping maintained at the UH level If the transaction is being done in a fund which is not a UCITS Fund then the field KIID received at transaction level will be defaulted to Blank You cannot change this option to either a Yes or No at the transactions level if it is not a UCITS Fund The business user can change the KIID Compliant flag at the transaction from No to Yes and proceed with the transaction capture but visa versa is not possible The record at the Unit Holder level will however not get updated You will have to manually update the same In case of backdated transactions if transaction date is less than effective date system will default the KIID Compliant field to No and then you need to manually override it 4 6 2 5 Intermediary Section Click on Intermediary tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 9 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Unit Holder ID Transaction Date Transaction Type
235. e UT transactions and displays only the corresponding transaction overrides 5 12 5 6 Amending ISA Transfer Details After a fund restriction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the One Legged Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The One Legged Transfer Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 5 13 Voiding ISA Details You can do void processing at UH and transaction level You can specify the unit holder ID or specific transaction number and then that specific UH transaction will be void in system with immediate effect post authorization You can capture void reason during void save at ORACLE 5 13 1 Distribution Void Detail les Save FundiD sid Distribution Type ae Payment Number az Unit Holder ID zZ Void Status Unit Hol
236. e any single transaction that has been retrieved Inthe displayed list select the row of the transaction number and specify the date of completion in the Completion Date field Check the Complete checkbox Then click the Complete Transaction button to complete the operation Note The completion date that you specify here should be less than or equal to the application date and should be greater than or equal to the transaction date allocation date and the settlement date of the transaction In case the KYC list is incomplete for an unsettled transaction Completion date is updated on settlement A settled transaction can be marked as Complete only after marking that all the requested KYC documents have been received If your installation has not requested for KYC checks then the transaction will be automatically marked as completed in the following cases e Allocation happens before clearing settlement In this case during clearing the transaction is marked as completed and the Completion date is defaulted with the Clearing date e Allocation happens after clearing In this case during allocation transaction is marked as completed and Completion date is defaulted with the Allocation date In case of Redemption transactions e Completion should be done through Confirm Redemption after settling the transaction e Completion should be done through Completion option in Transaction Summary Screen afte
237. e available the system will throw up an error message It will not save the transaction For transactions by gross amount a transaction value that exceeds the Minimum Amount for Tax ID that has been specified in the fund rules for either the switched in or switched out fund the system validates the availability of the PAN Number in the unit holder account profile If the PAN Number has not been specified in the profile you must enter a transaction value that does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction If specified in the General Operating Rules for the fund the End of Day processes perform the minimum holdings validation by picking up all allocated transactions during the business day and grouping according to CIF level or unit holder level as indicated in the General Operating Rules During this the system validates whether the current holdings balance of the investor either equals or exceeds the minimum holdings balance specified in the General Operating Rules 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid eee ORACLE transaction currency designated for the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Currency 1 Select the
238. e block unblock transaction in the Authorization Status field If you choose the Blank Space option then all the transactions that involve the specified unit holder are retrieved The status of the block unblock Transaction in the Record Status field If you choose the Blank Space option then all the transactions that involve the specified unit holder are retrieved The unit holder ID The reference number of the amount block unblock transaction in the Amount Block Unblock Transaction Number field The fund ID of the amount Block Unblock transaction The transaction date of the Amount Block Unblock transaction e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual transaction detail from the detail screen by doing query in the following manner Press F7 Input the unit holder ID Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operation by selecting from the Action list You can also search the record by using combination of and alphanumeric value Example aag ORACLE You can search the record for unit holder ID by using the combination of and alphanumeric value as follows Search by A System will fetch all the records whose unit holder ID starts from Alphabet A For Example AGC17 AGVO6 AGC74
239. e fund is entered into the system system throws up an error and does not allow you to save the transaction 7 Select the mode in which the payment for the transaction will be made in the Mode of Payment field 8 Specify any remarks for the transaction in the Remarks field Specify the Settlement Information Payment Type and the bank account for Transfer mode of payment 9 Payment Details button is enabled for payment modes other than Cash and Against 10 Payment Click on the Payment Details button to specify the settlement information If the payment for the transaction is proposed to be made by check credit card debit card transfer in kind or multi payment modes then you must specify settlement instructions in the settlement information screen and the payment details such as the payment type in the Payment Details screen For payments by account transfer you must select the bank account that will be used to make the payment in the Maintained Bank Accounts field in the Payment Details section an ORACLE 4 6 11 3 Dilution Levy Processing To arrive at the dilution levy breach limit the outflow breach factor is considered Fund Corpus Outflow Breach Factor lt Net Amount in FBC Dilution Levy limit breach is validated against the gross transaction amount If the gross transaction amount exceeds the dilution levy breach limit then a warning message is displayed by the system The dilution levy breach
240. e original units allotted The settlement amount after this allocation is the market value of cancellation Market value of cancellation is taken to be Units allotted NAV Bid Offer price Front end load on original purchase The cancellation amount settlement amount due to the transaction is determined as shown below Market Value more than or equal to original Market value less than original invest investment amount ment amount Cancellation amount is equal to the original Cancellation amount is equal to the Mar investment amount ket Value In case of a price increase the difference In this case the difference between the between the cancellation amount and original cancellation amount and the original investment amount is accounted to the fund investment amount is Due to Fund Man ager 4 6 13 FCIS Subscription Transaction Summary Screen 4 6 13 1 You can perform the following operations in this screen Retrieving a Record in FCIS Subscription Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Subscription Transaction Summary screen by typing UTSTXNO2 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details The status of the record in the Authorization Status field If you c
241. e overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Specify the Communication Mode and Remarks 1 Select the mode in which the transaction request was communicated in the Communication Mode field 2 If you wish to indicate that standing instructions in respect of the unit holder must be cancelled you can select the Standing Instruction option in the Cancel Instruction field 3 Specify any remarks for the transaction in the Remarks field Specifying Change in Beneficial Ownership If the transfer involves a change in beneficial ownership indicate this by checking the Change in Beneficial Ownership field Override Fee if necessary and specify Fee Payment Details If a transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed Specify the IBAN International Bank Account Number of the account holder If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section
242. e payment type refers to whether the payment is being made by the unit holder who has requested for the transaction or by an external third party Accordingly select self if the unit os ORACLE holder is making the payment and select third party if the payment is being made by an external party other than the unit holder Maintained Bank Accounts Alphanumeric Mandatory All the bank accounts that have been maintained for the selected unit holder are displayed in the drop down list in this field You must choose the one that will be used to make the payment When you do all the details of the selected account are displayed in the corresponding fields in this section Bank Display Only When you select the back account of the unit holder that is being used to make the payment the name of the bank in which the account resides is displayed here Branch Display Only When you select the back account of the unit holder that is being used to make the payment the name of the branch of the bank in which the account resides is displayed here Account Number Display Only When you select the back account of the unit holder that is being used to make the payment the account number of the transfer account is displayed here Account Type Display Only When you select the back account of the unit holder that is being used to make the payment the type of the transfer account is displayed here Account Currency Display Onl
243. e record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Subscription Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database aray ORACLE 4 6 13 5 4 6 13 6 4 6 13 7 4 6 14 Authorizing FCIS Subscription Transaction Record e An unauthorized FCIS Subscription Transaction record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Subscription Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Subscription Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of
244. e record that you want to view in the list of displayed records The Plan Maintenance Detail screen is displayed in View mode 2 4 6 Deleting Savings Plan You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the Plan Maintenance Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen agy ORACLE 2 4 7 2 4 8 2 4 9 e Double click the record that you want to delete The Plan Maintenance Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Savings Plan An unauthorized Plan Maintenance record must be authorized in the system for it to be processed To authorize a record e Invoke the Plan Maintenance Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the Unauthorized option e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the s
245. e redeemed and provides certificates worth 300 units system will not allow you to save this redemption since the unitholder does not have sufficient scrip less holdings Certificates Required Optional For funds that have the certificate option as specified in the Shares Characteristics rules specify whether the selected unit holder has requested certificates If yes then choose the Yes option in this field and specify the number of certificates requested in the Number of Certificates field Number of Certificates Mandatory only if you have chosen the Yes option in the Certificate Required field Select the denomination of certificates whether single or multiple that will be involved in the transaction if certificates have been requested e For IPO and subscription specify whether the unit holder has requested a single certificate or multiple certificates e For redemption switch and transfer specify whether a single certificate or multiple certificates are being redeemed switched or transferred For transfer transactions specify whether the transferee unit holder has requested single or multiple certificates If you choose the Multiple option in this field then the certificates involved in the transaction will be reckoned in denominations governed by the maximum and minimum certificate denominations specified for the fund in the Shares Characteristics rule Transaction Mode Alphanumeric Mandatory Select the
246. e retrieved according to your specifications are displayed as a list in the Records Matching The Search Criteria grid in the lower portion of the screen For each transaction for which you want to authorize the exchange rate enrichment select the row of the transaction in the list grid In the Auth Status field select the Authorize option to mark the enrichment for authorization After similarly marking as many records as necessary for payment enrichment authorization click Authorize button to effect the authorization Transactions enriched through bulk operation need not be authorized Clearing Payment Instruments The system provides the facility to keep track of the clearing status of payment instruments for transactions or in the case of LEP Life and Endowment Products on a policy level on an online basis To update the clearing status of a payment use the Payment Clearing Detail screen You can invoke this screen by typing UTDPYCLR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Payment Clearing Detail aS D New 4 Enter Query Payment Clearing Date Range 1of1 El Transaction Number Txn Dti Payment Mode Payment Details Clearing Date Clearing Status Drawee Bank Name Pledgee Branc AMC ID Transaction Number ISIN Code Payment Mode ALL Fund ID Fund Name Level Transaction From To a9 ORACLE 5 6 5 1 Updating Clearing Sta
247. e status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the transaction that you wish to authorize The Amount Block Unblock Detail screen is displayed Select Authorize operation from Action When the checker authorizes a transaction details of validations if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Amount Block Unblock Transactions Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module Select the status of the adjustment transaction that you wish to retrieve for amendment You can only amend records of transactions that are authorized Specify any or all of the details of the adjustment transaction in the corresponding fields on the screen All transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the adjustment transaction that you want to amend The Adjustment Transaction screen will be displayed in Amendment mode Click the Unlock operation from
248. e the FCIS Transaction Switch Detail screen by typing UTDTXN04 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for switch transactions is displayed with all the default information aog ORACLE 4 6 18 1 Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Switch Transaction FCIS Transaction Switch Detail H save lient Information Transaction Information Transaction Value Order Received Date E Order Received Time C Transaction Mode Amount Ia Transaction Date 01 02 2014 E2 HH24 Ml Units Applied Transaction Number UnitHolderiD O S Amount Applied Reference Number UH FIND Percentage Applied z Transaction Currency az Fund ID a a Enrich Transaction Transaction Type Normal Switch x To Fund ID 25 Payment Mode Select One Transaction Category Select s w x Lx Weeeucaatucey Exchange Details Other Details Intermediary Details Load Overrides KYC And Document Add Info Fee Payment Details Switch Overrides Certificate Unit Holder Details Unit Holder Name UH Signature rom Fund Details To Fund Details Pseudo Switch Details Price Basis a Switch In Price Basis aZ Subscription Fund ID a From Price Date E Switch In Price Date E3 Subscription Price Basis FA Dealing Date 5 Switch In Dealing
249. e the transaction generation In this case you have to manually amend the campaign code and extend the end date Dates and Reminders Section In this section specify the period during which the standing instruction is to be processed for the unit holder as well as the frequency at which it must be processed SI Start Date DD MM YYYY Date Mandatory Specify the date on and following which the standing instruction must be processed at the defined frequency You can select the date using the system provided calendar SI End Date DD MM YYYY Date Mandatory Specify the date until which the standing instructions must be processed at the defined frequency You can select the date using the system provided calendar Frequency Alphanumeric Mandatory From the list select the frequency at which the standing instruction must be processed within the period defined between the start and end dates anig ORACLE Note If the SI Cut Off Day function is applicable for this installation it will be effective only if the frequency specified in this field is monthly or higher Reminder Period 3 Characters Maximum Numeric Mandatory Enter a value in days to specify the requirement of reminder before the processing of the standing instruction Last Processed DD MM YYYY Date Optional The system displays the date when this standing instruction was last processed For a new standing instruction this field will be bl
250. e time of blocking This value will be validated against the minimum maximum and step values specified for block transactions in the Transaction Processing Rules for the fund It is also validated against the units limit values maintained for both the communication mode selected for the 4 109 ORACLE transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Currency 1 Select the exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field Since the transaction value is specified in units then the prevalent price for a block transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to over
251. e unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Bulk Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 10 6 Amending FCIS Bulk Transaction Record After a FCIS Bulk Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the FCIS Bulk Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Bulk Transaction Detail screen is displayed in amendment mode Select Unlock operation f
252. e unit holder e The funds in which the specified unit holder can transact are displayed in the Fund drop down list e The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen 2 The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules 3 Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the required certificates are to be consolidated from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund as specified in the Fund Dem
253. eceeeeeseeeeeteenteeteteeeneeees 4 99 4 6 25 FCIS Block Transaction Summary Screen cc cece eee teetteeeeteneneees 4 103 4 6 26 Entering and Saving Unblock Transactions cccccecsseeesteeeteeenneeees 4 106 4 6 27 FCIS Unblock Transaction Summary SCION cece estteeeeteenenees 4 109 4 6 28 Checking for Duplicate TranSactiOns ccccccccesteceeenteeeeeeeenieteeeeeenaes 4 112 4 6 29 Entering and Saving Split TrANSACtIONS 0 cccceeett ieee e ee teeeneeeteteeenees 4 113 4 6 30 FCIS Split Transaction Summary Screen cc scent et eeette eee teeeeeeees 4 116 4 6 31 Entering and Saving Consolidation Transactions cccccessseseeees 4 119 4 6 32 FCIS Consolidation Transaction Summary Screen eccceeeeeteees 4 123 4 6 33 Entering and Saving Reissue Transactions ccccccccccseeeetteeeeteeeneeees 4 126 4 6 34 FCIS Reissue Transaction Summary SCIOCN cccccceeeteentteteeteeneees 4 129 4 6 35 Defaulting of Price Date in Transaction Screens c ccccccccceceeeeteeteees 4 133 4 6 36 Completing Transaction cccccccccccseeeeeeeneeeeeeeensieeeeceeniaeeeeseenaeeeeeseaaas 4 135 4 6 37 Processing Back Data Propagation for Transactions ccccccceee 4 136 5 Processing Transactions 1l ccceeeeeeeneeeeeeeeeeeeeeeeeeeeeeeeeeeeeseeneeeneeees 5 1 5 14 Maintaining Details in Transaction Screens ccc eeeeeeee enter cette teneeeeeetneeeenee 5 1 5 2 5 3 5 4 5 5 5 6 5 7 5 8
254. ecified in the General Operating Rules Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Order Received Date Date Format Optional Specify the order received date Order Received Time HH24 Ml Time Format Mandatory Specify the order received time Deriving the order received date and time The system will validate the Fund cut off based on the Order received time and not the actual time the Transaction is captured in the system The transaction date will be derived by the system based on these two fields For instance if the Fund Cut off is 14 00 hrs at a Fund level and the transaction is captured at 15 00 hrs in the system with the Order Received time as 13 00 then the system should validate the time maintained at Order Received time and not the time the transaction is actually captured This will be considered as the same day transaction If all the below mentioned transactions are captured on 15 Oct 2012 at 16 00 hrs then the transaction
255. ecords in the system To delete a record that you have previously entered e Invoke the UH Portfolio Readjustment Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved The readjustment ID in the Re Adjustment ID field If you choose the blank space then all the records are retrieved The Readjustment status in the Re Adjustment Status field e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The UH Portfolio Readjustment Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 15 3 5 Authorizing Readjustment Portfolio Apart from the maker someone else must a
256. ected in the FCIS Redemption Transaction Summary screen 4 6 16 3 Viewing FCIS Redemption Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Redemption Transaction Summary screen as follows oe ORACLE Invoke the FCIS Redemption Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Redemption Transaction Detail screen is displayed in View mode 4 6 16 4 Deleting FCIS Redemption Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Redemption Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen
257. ed exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance View the projected allocation details if necessary under transaction 1 At this stage the transaction is ready to be saved If you wish to see a projected picture of how the transaction would most possibly be allocated then click the Project Allocation Details button in Transaction section You can view the projected allocation details only for funds in which the ageing policy is FIFO first in first out or Transaction Receipts If the prices are not available for IPO transactions on the transaction date the latest available price is picked up for allocation 2 When you do so the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen The following allocation details are displayed e The Fund ID and ISIN Code e The Product ID e The number of units allocated in the Units field e The Spill Over Product ID and the number of spillover units in the Spill Over Units field e The Unit Price for the transaction as on the d
258. ed in it is displayed in this field Partial Select this option to indicate that only a portion of the units contained in the certificate must be used for the transaction For certificates that are being redeemed switched transferred blocked or unblocked you can either use the whole portion of units or a part as requested by the unit holder aN ORACLE For certificates that are being split consolidated or reissued partial usage of the number of units contained in the certificate is not permissible Delete Optional Select this option to mark the selected row as inapplicable for the transaction To delete any given row in the grid check the Delete check box and then click the Delete link at the right bottom of this section The checked rows are deleted If you delete a row in which a certificate number has been specified then that certificate is not reckoned as part of the transaction To add a new row at the bottom of the grid in this section click the Add link The Allocation Details Section After the adjustment transaction has been authorized and the allocation details generated in the system you can view these details in this screen in this tab The following information is displayed Date Allotted This is the date on which the units were allotted by the fund manager for the given adjustment transaction Units Allotted This is the number of units allotted by the fund manager for the given adjustment tr
259. ed percent From Or to leg Mention the start and end point of the transaction date oe ORACLE 5 1 9 Delete Optional Select this option to mark the selected broker as inapplicable for the transaction To delete any given row in the grid check the Delete check box and then click the Delete link at the right bottom of this section The checked rows are deleted If you delete a row in which a broker has been selected then that broker is not deemed as an intermediary for the transaction To add a new row at the bottom of the grid in this section click the Add link Settlement Details Section In this section you can capture the details of settlement and payment made for the transaction in the case of IPO subscription and redemption transactions Payment Details link is displayed on selecting any Payment Mode other than Cash and Against Payment Click the Payment Details link to invoke the Settlement Information screen FCIS Settlement Details eo Settlement Details Settlement Level Settlement Method Gross Amount M Amount Details Payment Details Fund Base Currency Check Draft Details Account Details Settlement Amount Payment Amount Payment Reference Bank Charges Auto Settle No Mene Payment Charges Instrument Status Beneficiary ID Exchange Rate Source Settled Beneficiary Percentage FX Rate mr Sub PaymentMode Select One z FBC Amount iaa Payment Currency Settlement Due Date
260. ed to the unitholder and fund ID specified This is applicable only for Unblock transactions Payment Allowed Optional For redemptions using Cash Direct accounts you can use this field to indicate whether relevant documents related to payment for the redemption transaction have been received at the time of transaction entry By default this box is checked if you wish to withhold payment due to not receiving payment related documents you can uncheck this box Transactions in respect of which this box is unchecked can be allotted but not confirmed Generate Certificates for Spillover Optional If this option is checked and if the last certificate is to be partially redeemed system will generate certificate for spill over units By default this option will be checked If you un check this option then in case of partial outflow if the last certificate is partially redeemed the remaining units will be converted into scrip less holdings System will mark the source of units for the relevant inflow which is redeemed in ageing to indicate the extent of the remaining units as Normal This option is applicable only for Redemption Switch and Transfer transactions Auto Clear Provisional Balance Optional For redemption switch or transfer transactions by 100 you can use this field to indicate that the outflow transaction should include units in provisional balance If the unit holder account has any authorized unauthorized un
261. edit Card Ref No Entity ID SUBPAYMENTMODE IBAN Payment Mode Payment Type The payment details include the following The type of payment i e whether the payment is being made by the unit holder that has requested the transaction or by an external third party The details of the bank and branch of the bank for the payment The details of any payment instruments such as checks the number date and the clearing date In the case of payment by account transfer the details of the bank account to which from which the payment is being made Payment Details for Mode of Payment as Check Capture the following details if the mode of payment chosen is check credit card or demand draft Bank Alphanumeric Mandatory Specify the name of the bank where the payment instrument is drawn if the mode of payment is Check Credit Card or Demand Draft Branch Alphanumeric Mandatory Specify the branch of the selected bank where the payment is drawn if the mode of payment is Check or Demand Draft Check Number Credit Card Number Demand Draft Number 16 Characters Maximum Alphanumeric Mandatory Specify the number of the payment instrument either the check the credit card or the demand draft oe ORACLE Check Date Credit Card Date Demand Draft Date Date Mandatory Specify the date on which the check or demand draft is drawn or the credit card payment is made Clearing Date Date Optional Specify the date on whic
262. eeeeeeeee 6 26 6 4 5 Deleting Amount Block Unblock Transaction cccccccsceteeeeeeenteeeeeeenaee 6 26 6 5 Authorizing Amount Block Unblock Transactions cceeeceeeeeeeeeeeeteeeeeeeeeneees 6 27 6 5 1 Amending Amount Block Unblock TranSa ctiOns 0 cccccccccccsieeeeeeeees 6 27 7 6 5 2 Authorizing Amended Amount Block Unblock Transactions 00 Function ID Glossary sic 2co tie peccecee teste ae chalet eile tee eee 1 1 1 2 1 3 1 4 1 5 1 About This Manual Introduction Welcome to Oracle FLEXCUBE Investor Servicing a comprehensive mutual funds automation software from Oracle Financial Servicing Software Ltd This Oracle FLEXCUBE Investor Servicing User Manual helps you use the system to achieve optimum automation of all your mutual fund investor servicing processes It contains guidelines for specific tasks descriptions of various features and processes in the system and general information Related Documents The User Manual is organized in to various parts each discussing a component of the Oracle FLEXCUBE Investor Servicing system Audience This Fund Manager User Manual is intended for the Fund Administrator users and system operators in the AMC Organization This volume of the Fund Manager User manual is organized under the following chapter sequence About This Manual explains the structure audience organization and Chapter relate
263. een e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The FCIS Bulk Transaction Detail screen is displayed in View mode i ORACLE 4 6 10 4 Deleting FCIS Bulk Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the FCIS Bulk Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed records The FCIS Bulk Transaction Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 10 5 Authorizing FCIS Bulk Transaction Record e An unauthorized FCIS Bulk Transaction record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Bulk Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose th
264. efault Load Detail Load Details 1of1 7 Slab Sequence No From Date To Date FromAmount ToAmount FromUnits To Units 4 Derived Load Details 1of1 Load ID Description Load Percentage Override To Input by DateTime Authorized by DateTime Mod No Open Authorized For further information on this screen refer Deals for an investor Section of the Setting Up Investor Preferences chapter under 2 2 9 Processing Back Data Propagation for SI Transactions You can correct erroneous transactions as well as enter those that have been missed out and compute the effect these have on the current holdings of the unit holder through the back data propagation process To facilitate this propagation process two schemas are used the business or normal schema and the report schema You are required to enter the correct data in the business schema for the required transactions and select these for propagation again from the business schema The transactions will be simulated in the report schema and the results can be viewed in the business schema 200 ORACLE 2 3 2 3 1 2 3 2 Refer the chapter Back Data Propagation for more details on the back data propagation process Operations on Unauthorized Standing Instruction After you have saved a standing instruction record in the Standing Instruction Detail screen you can perform the following operations e Edit the instr
265. eference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the required certificates are to be reissued from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund as specified in the Fund Demographics screen is displayed in the Fund Name field If you have selected a certificate option fund the Certificate Details section is enabled If you have selected a fund for which transaction entry are applicable then the following fields are enabled for data entry The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields e The Fee Payment Details Section e The Load Override Section Note Reissue transactions are only possible in scrip based and certificate option funds In cer tificate option funds only issued balances may be utilized for split transactions Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forwa
266. eived Date Received time Date 14 00 15 Oct 2012 13 50 15 Oct 2012 14 00 15 Oct 2012 14 10 16 Oct 2012 14 00 14 Oct 2012 13 25 14 Oct 2012 14 00 14 Oct 2012 15 15 15 Oct 2012 4 6 2 1 UH and Fund Section UH Deals Button 1 Click on the UH Deals button to view the details of all the deals set up for the unit holder Enter the relevant search criteria in the Find Options screen The system will display the records that match the search criteria you have specified 2 Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record 4 6 2 2 Certificate Section Click on the certificate tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 43 Enter Query Transaction Information Fund ID Unit Holder ID Transaction Date Transaction Number Payment Mode Select One Transaction Currency Reference Number Transaction Type Description Enrich Transaction Transaction Value Transaction Mode Amount Units Applied Amount Applied Percent Applied UH amp Fund Transaction Other Intermediary Load Override KYC amp Document Add Into Fee Payment EMEA Limit Order Certificate Required Yes From Issued Balances Select Min Cert Denomination Certificate Denominations 1of1 Total Units Single Cert
267. elds for entry select New from the Actions menu in the Application tool bar or click new icon FCIS Redemption Transaction Detail H save Transaction Information Transaction Value Fund ID 2 Transaction Number Transaction Mode Amount Unit Holder ID Transaction Currency jaz Units Applied Find UH Reference Number Amount Applied Order Received Date E Order Received Time Percent Applied Transaction Date 01 02 2014 E HH24 Ml Enrich Transaction a i Transaction Type a Payment Mode Cheque Description Transaction Category Select Transaction Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order CIF Number ISIN No Fund Name Unit Holder Name Fund Base Currency Settlement Details ReceiptDetails ProjectAllocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime UOMO LEM gate ERE 4 6 15 1 Specifying Details of Transaction Information Section Specify the unit holder that has requested the transaction in the Transaction Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the
268. elect One Balance Payment Allowed Ha FundPrice Basis ___J3 Auto Clear_ Select One v m Settlement Details Receipt Details ProjectAllocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime Authorized eMart OC Cume Specify the Transaction Information Unit Holder ID Transaction Date and Fund ID Specify the unit holder that has requested the transaction in the Transaction Information section Specify the ID of the unit holder in the Unit Holder field You must select a unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder 1 The IPO funds in which the specified unit holder can transact are displayed in the Fund Id list of values 2 The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The os ORACLE specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules 3
269. elect the code of the AMC in whose funds the investor wishes to invest from the list provided You capture this information for the purpose of identifying the AMC to which the unit holder belongs and in whose database the unit holder account will reside Fund ID Alphanumeric Mandatory Select the fund id into which the unit holder wishes to invest Folio No Check Digit Alphanumeric Mandatory Specify the folio for the AMC if the unit holder does not have prior records of transactions with the AMC specified else is it defaulted depending on the unit holder ID and the AMC ID Transaction Date The default date here would be the application date however you will be able to edit it Amount Numeric Mandatory This is arrived at by multiplying the number of units and the cost price of each seta ORACLE Units Specify the number of units the unit holder wishes to buy Cost Price Specify the cost of each unit Note Conditions required to be fulfilled for validations for transfer in transactions Transfer in is not allowed in case the unit holder does not have folio for the given AMC and transaction is subsequent Back dated and future dated transactions are not allowed If cross branching is No unit holder should belong to the logged in branch Registrar should be mapped to the fund selected Transfer Out Details Click on the Transfer Out tab to invoke the following screen FCIS RTA Transfers Deta
270. em prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 10 2 5 Authorizing Global Order Reconciliation Record Apart from the maker someone else must authorize an unauthorized global order confirmation record deal in the system for it to be processed To authorize a record Invoke the GO Reconciliation Summary screen from the Browser The status of the transaction in the Authorized field Choose the Unauthorized status Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Select the Authorization operation from the Action list to authorize the selected record one ORACLE 5 10 2 6 Copying Global Order Reconciliation Record To create a new record with details similar to a previously created record refer to the following steps e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field I
271. em will display the check number and check date for all checks in the range i e from the starting check till the last check starting check number no of check leaves 1 in the SI Check Payment Details pane in the SI Payments tab The check dates will be derived from the Check Start Date and the Standing Instruction frequency If the frequency has not been specified the dates will not be displayed 220 ORACLE 2 2 1 5 Maintaining SI Delivery Details FCIS Standing Instructions Detail X H save SI Basic Info SI Fund info Si intermediary SI Payment RENEE S Bank Details S Routing Details Delivery Details Delivery Type Select Delivery Type ix IBAN Clearing Agent Custodian aaa az Account Number ze Pees Bank Name pei mie sea ag a Country ainsana Zip Code pi ws COUNTRY ress Line Era Description Certificate Denominations 1 of 1 2 Hele J Certificate Denominations Certificate Description a KA input by DateTime Mod No Authorized by DateTime Open Authorized Specify the following SI delivery details Delivery Details Delivery Type Indicate the type of delivery from the drop down list The options available are e Self e Third Party IBAN Specify the IBAN number Clearing Agent Custodian Bank Specify the clearing agent or custodian bank The adjoining option list displays the valid clearing agent custodian bank list You can choose the ap
272. emitter or must be shared between the two Beneficiary Details Beneficiary Specify beneficiary details Beneficiary Add1 2 3 Enter beneficiary address There are three lines available for this information 2 25 ORACLE Beneficiary IBAN Enter the IBAN account number of the beneficiary Beneficiary BIC Code Enter the BIC code of the beneficiary Beneficiary ACC No Enter the account number of the beneficiary Beneficiary Code Enter the code of the beneficiary Beneficiary Info Enter more information about the beneficiary Intermediary Details Intermediary Specify Intermediary details Intermediary Add1 2 3 Enter Intermediary address There are three lines available for this information Intermediary IBAN Enter the IBAN account number of the intermediary Intermediary BIC Code Enter the BIC code of the Intermediary Intermediary ACC No Enter the account number of the Intermediary Intermediary Code Enter the code of the Intermediary Intermediary Info Enter more information about the Intermediary Further Credit details Further Credit Name Specify the further credit name Further Credit Acc No Specify the further credit account number Reference Reference Provide the first reference Aab ORACLE Reference2 Provide the second reference 2 2 2 UH Deal Link Summary You can view the details of all the deals set up for the unit holder in the Unitholder Deal Su
273. emption transaction for the unblocked amount is initiated in the system for the specified unit holder in the specified fund The date of this redemption transaction is the date of authorization of the amount unblock transaction G24 ORACLE 6 4 2 Note If the amount unblock transaction is a future dated transaction the redemption transaction would be initiated by a Beginning of Day BOD process on the transaction date The date for the redemption transaction would then be the transaction date of the amount unblock transaction The redemption transaction is allocated by the End of Day EOD process on the redemption transaction date The NAV considered for the allocation is the prevalent NAV on the redemption transaction date When an unblock escalation occurs a redemption transaction is inserted for the unblocked amount by the BOD process on the date of escalation and allocated by the EOD process on the date of escalation The NAV considered for the allocation is the prevalent NAV on the date of escalation Retrieving Amount Block Unblock Summary Screens You can perform all these operations through the Amount Block Unblock Transaction Summary screens You can retrieve a previously entered adjustment transaction in the Summary screen as follows e Inthe browser select the Amount Block Summary or the Amount Unblock Summary options from the Transaction menu category of the Agency Branch module The status of th
274. en e Double click the record that you want to delete The Global Order Reconciliation Detail screen is displayed e Click Close from the action list in the Details screen You can re open any closed record at a later point in time 5 11 Maintaining Global Order Settlement Details You can maintain the pending transactions for the settlement using GO Settlement Detail screen oer ORACLE 5 11 1 To invoke this screen type UTDGOSTL in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button to perform the following operations E Global Order Settlement Detail GO Number GO Date GOMode Units AMC ID GO Transaction Type Fund ID GO Units Unit Holder ID GO Amount Unit Holder Name Settlement Status Go Settled 5 UH Account Type SubPayment Mode Select f l Remarks Settlement Amount Settlement Date E Account Currency Payment Mode Transfer Account Holder Name Transaction Category Legacy F Account Number Input by DateTime Authorized by DateTime Mod No Open Authorized Fields in the GO Settlement Detail Screen Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the GO Settlement Detail screen You can enter the following in this screen GO Number Alphanumeric 16 Characters Mandatory Specify the Global Order number If you click on Popul
275. en you save the transaction eat ORACLE 3 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder may wish to redeem an amount or a certain number of units or a percentage of the holdings balance 4 For scrip based funds and scrip less funds for which the ageing is based on transaction receipts as designated in the fund rules the permissible modes are units and percent If the transaction is being put through as a result of a check issued by an investor with the check writing facility in a fund for which the check writing facility is allowed the mode of the transaction is considered by default to be amount It cannot be changed 5 Select the mode in which the payment for the transaction will be made in the Mode of Payment field 6 Once you have entered all the details of the transaction click on Enrich Transaction The relevant details of the transaction are defaulted in the UH and Fund Section Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Note You cannot save transaction category for redemption transactions Order Received Date Date Format Optional Specify the order received date Order Received Time HH24 Ml Tim
276. en from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Transaction Switch Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending FCIS Transaction Switch Record After a FCIS Transaction Switch record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the FCIS Transaction Switch Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to auth
277. en from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The GO Number The GO Date AMCID Fund ID GO Status Latest Sequence Number If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen oo ORACLE 5 12 2 Maintaining ISA Transfer You can maintain ISA transfer details using One Legged Transfer screen This screen supports the following transactions e Transfer out e Transfer in e In Specie Transfer out e In Specie Transfer in Transfer Out This is a one legged transfer which is used to redeem holdings On selecting the transfer out option the system will auto calculate the number of units and will populate the Fund Grid Transfer out will be a Redemption transactions and it will go as per aging logic maintained at fund level The system will generate the underlying Transactions by units on authorisation of the transaction in the Transaction value field of the detail section Und
278. en you enter the transaction Transaction Intermediary The unit holder s default broker or transaction intermediary is displayed here and you can change the broker oH ORACLE 6 1 3 6 1 3 1 Transaction Currency The unit holder s preferred currency is displayed here and will be deemed as the default currency for the adjustment transaction You can change it when you enter the transaction 2 Inthe Transaction Information section specify the following Select the fund from the option list in the Funds Field When you do this the fund base currency is displayed in the Fund Currency field Also all the loads mapped to this fund that have a processing frequency that is different from transaction time loads and allocation time loads are displayed You can also specify the ISIN Code of the fund Specify the number of units in the Units field The specific price for the transaction in the Adjustment Price field When you specify the price on clicking the Calculate button the system calculates the transaction amount and displays it in the Transaction amount field If you specify the amount it must be a multiple of the units and price that you have specified The system obtains the exchange rate applicable and it is displayed in the Exchange Rate Applied field It also calculates the transaction amount in fund base currency and displays it in the Amount Fund Currency field You can override the exchange rate The type of a
279. end authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Split Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 4 6 30 7 Authorizing Amended FCIS Split Transaction Record 4 6 31 An amended FCIS Split Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Entering and Saving Consolidation Transactions To enter a consolidation transaction request into the system perform the following sequence of steps Navigate to the Consolidation Transaction Detail screen Invoke the FCIS Consolidation Transaction Detail screen by typing UTDTXNO8 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button oe ORACLE The Transaction Detail screen for consolidation transactions is displayed with all the default information FCIS Consol
280. ensitive Authorized O H Open C WH GO Number az Transaction Date E GO Transaction Type a5 AMC ID z Fund ID as Transaction Mode a Settlement Status yl Transaction Category la Records per page 1of1 Authorized Global Order Settlement Summary a Open GONumber Transaction Date GO Transaction Type AMC ID Fund ID Transaction Mode S m r 5 11 2 1 Retrieving Global Order Settlement Record You can retrieve a previously entered Global Order Settlement Details as follows e Invoke the GO Settlement Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved GO Number Transaction Date GO Transaction Type The AMC ID The Fund ID Transaction Mode Transaction Category Settlement Status If you choose the blank space then all the records are retrieved aan ORACLE Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen After retrieving a record you can perform the following actions in the Global Order Set
281. ent Details Here you can maintain settlement details only for the multi transactions Click the Settlement Details button to invoke the Settlement Details screen The screen is displayed below FCIS Bulk Transaction Detail Settlement Details Settlement Level Settlement Method Gross Amount v Fund Base Currency Amount Details Settlement Amount Payment Amount Payment Reference Bank Charges Auto Settle Yes Number Payment Charges Instrument Status Beneficiary ID Exchange Rate Source C Settled Beneficiary Percentage FX Rate Sub Payment Mode Select One FBC Amount Mireversedt Payment Currency Settlement Due Date Payment Date Paid Date Payment Amount Payment Details CheckiDraft Details Account Details Bank Cheque Date Account Currency Branch Code Check Number Account Holder Name Entity ID Card Details Account Number Payment Type Self Account Type Credit Card Ref No IBAN Third Party Details In Kind Details Third Party Address In Kind Payment Details Third Party Reference Third Party US State Third Party Zip Code Payment Address Details Unit Holder Details Fund bank Details ISIN No Bank Account Number Fund Base Currency Branch Account Name Fund ID Currency Name Direct Debit Close Account Routing Bank Detail Swift Format MT103 Bank Charged Beneficiary Beneficiary Details Beneficiary Beneficiary Add1 Beneficiary BIC Code Beneficiary Code Beneficiary Add2 Beneficiary Acct No
282. ent details are cleared For a redemption transaction the payment details are mandatory and you can specify the same after you save the transaction in this screen Following are the fields in Settlement Instructions screen Settlement Details Section Settlement Level Display The settlement level currency defined at the segment level is defaulted here You are not allowed to modify this Settlement Method Mandatory The settlement method is the method of comparison between the amount received from the investor and the amount utilized in case of IPO subscription and Subscription transactions Following are the methods available e Gross Amount If you choose this method then the sum of payment amount will be compared with the gross amount of the transaction either in the fund base currency or the transaction base currency as specified e Netof Agent Fees If you choose this option then the sum of Payment amount in FBC will be compared with the difference between the settlement amount and the sum of all load amounts whose From and To Entity Type is Agent Payment Amount in FBC Settlement Amount To Load Amount To Derived Load Amount From Load Amount From Derived Load Amount e Net of FM Fees If you opt for this then the sum of Payment amount in FBC will be compared with the difference between the settlement amount and the sum of all load amounts whose To and From Entity Type is AMC Payment Amo
283. eparate GO which will not include Transaction date in grouping You can maintain Global Order set up using Global Order Maintenance Detail screen To invoke this screen type UTDGOMNT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button O Maintenance Detail AMC ID az Unit Holder Name Unit Holder ID Net Off Distributor Fee Yes GO Differential Distribution To Highest Transaction Amount x Logic Generate GO Generate All UH Account Type Mapping Details 1 of 1 S E Input by DateTime Authorized by Mod No Open Authorized DateTime Fields in the GO Maintenance Detail Screen Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the GO Maintenance Detail screen You can enter the following in this screen AMC ID Alphanumeric 12 Characters Mandatory Specify the AMC for which the GO is maintained You can also select the valid AMC ID from the adjoining option list Unit Holder ID Alphanumeric 12 Characters Mandatory Specify the Unit Holder for which the GO is maintained You can also select the valid Unit Holder ID from the adjoining option list Unit Holder Name Display The system displays the unit holder name for the selected Unit Holder ID FPE ORACLE Global Order Generation Type Optional
284. equested enter the date on which the document chasing action must be initiated Each time a document is requested from the investor you must capture a chasing date for that document After you have entered the required document details click the Close button to close the screen This feature is only available if your installation has requested for it KYC Received Check this option once all the requested documents have been received from the investor You will not be allowed to check this option until all the requested documents have been marked as received You are not allowed to check this option until all the required KYC documents have been received both at the unit holder level and at the transaction level oes ORACLE Viewing Details of UH Deals Setup If you wish to view the details of all the UH deals set up for the unit holder type UTSUHDEL in the field at the top right corner of the Application tool bar and click on the adjoining arrow button The following screen is displayed Unitholder Deal Summary Authorized Open Unit Holder CIF Number Apply At CIF Level Apply Deal At Not Selected bi Load ID a3 Advanced Search Records per page 15 v 1 of 1 a Authorized Open Status Deal Transaction Number Unit Holder CIF Number First Name Apply At CIF Level m m You may wish to view the details of a particular record in which case
285. er You can view Global Order details using GO Maintenance Summary screen To invoke this screen type UTSGOMNT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ae ORACLE 5 8 2 1 Global Order Maintenance Summary amp Search 4 Advanced Search Reset pA Clear All Search Is Case Sensitive Authorized 5 Open z AMC ID Unit Holder ID az Records per page Msie 1of1 Authorized Open AMC ID Unit Holder ID Global Order Generation Type Nominee Account Number 4 w Retrieving Global Order Maintenance Record GO Settlement You can retrieve previously entered Global Order Maintenance as follows e Invoke the GO Maintenance Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID The Unit Holder ID If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen After retrieving a reco
286. er balances e ISIN Code of the fund e Date basis This would indicate whether you wish to view the balances as of a price date or a settlement value date Specifying the date basis is mandatory e The date price date or settlement date as indicated in the Date Basis as of which you wish to view balances Specifying the required date is mandatory e ID of the unit holder for which you wish to view fund wise balances as of the indicated date The following details are displayed in the Fund ID Detail portion of the Unit Holder Balances screen e D of the fund for which the unit holder balances are displayed e CIF of the unit holder whose balances are displayed e ID of the unit holder e Total Unit balance of the unit holder in the fund as of the indicated date e You can view a transaction wise breakup details for the unit balance in the Transaction Details section e CIF of the unit holder e ID of the unit holder e 1D of the fund in which the transaction was put through e Transaction number e Incase of reversals the old transaction number e Transaction date e Date of Allocation e Unit balance due to the transaction e Date as of which the balances are displayed This could be a price date or a settlement date e Old Transaction Number Contract Notes for Transactions Confirmation reports contract notes for transactions allocated on a business day may be obtained by printing them through the Confirmation Report
287. er this One legged Transfer when all transactions are generated successfully a unique reference number will be generated and this reference will be reference number for underlying transactions The system will generate the redemption transactions on authorisation of this one legged transfer While generating if one of the transactions fail due to any of the validations all underlying transactions will be rolled back For failed transaction the system will display an error message The payment preference maintained at the time of Uh creation will be used as settlement mode Transfer out can be used for ISA non ISA accounts Transfer In This is a one legged amount based transfer You can enter the transfer amount and fund details On authorisation the system will generate authorised subscription transactions at the fund Level A new ref type Ol One Legged Transfer In will be available for such transfers The settlement mode for such transactions will be cash The Current Year ISA Subscription Amount will be used to update the ISA Limits The system will validate the ISA amounts against the existing limits if the Unitholder Account already exists If the ISA transfer in transaction exceeds the ISA allowance limit for the current tax year then on authorization of the transaction the system display the following error message Exceeds the ISA allowance for the current tax year The system will consider the current ISA Transfer in transac
288. ers e The status of the transaction in the Authorized field If you choose the Blank Space option then all the transactions are retrieved orig ORACLE 6 2 2 6 2 3 e The status of the Transaction in the Open field If you choose the Blank Space option then all the transactions are retrieved e The unit holder ID e The number of the adjustment transaction in the Adjustment Transaction Number field After adjustment transactions are entered into the system you can perform any of the following operations e Edit or delete them provided they are still unauthorized e Retrieve and view them e Have them authorized by another user Editing Adjustment Transaction You can modify the details of an adjustment transaction that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Inthe main menu invoke the Transaction menu Select Adjustment transaction type choose the Summary option The Transaction Summary screen is opened e Inthe Authorized field select the status of the adjustment transaction that you want to retrieve for modification You can only modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list e To retrieve the adjustment transaction that is to be modified specify any or all of the details of the transaction in the corresponding fields on the scree
289. et rA Clear All Search Is Case Sensitive Unit Holder ID las Transfer Type Transfer Option x Transaction Date Reference Number Authorized x Open Records per page 1of1 Authorized Open Unit Holder ID Transfer Type Transfer Option Transaction Date Reference Number 5 12 5 1 Retrieving ISA Transfer Details You can retrieve previously entered ISA Transfer Details as follows Invoke the One Legged Transfer Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved Unit Holder ID Transfer Type Transfer Option Transaction Date Reference Number If you choose the blank space then all the records are retrieved Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 37104 ORACLE Input the Unit Holder ID Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting
290. ewing Deals for Investors cccccceeeeeeee eee enteeee ee tnnneeeeeetnaeeeeeetiaaeeeeneeae 2 28 2 2 5 Deleting Deals for INVEStOIS cccccceeteeee eee enne eee eetntneeeeeetnteeeeeettaeeeenenae 2 28 2 2 6 Authorizing Deals for INV StOIS 0 0 c ccccceceeeteeeeeeennneeeeeetnneeeeeetnaeeeeetens 2 28 2 2 7 Amending Deals for INVOStOIS ccccccceteteeeeetnne eect tntteeeeeetnteeeeettnaeeeenenae 2 29 2 2 8 Authorizing Amended Deals for INVeStors 1 ccccscccceceeettteeeeeetnieeteeeeeaes 2 29 2 2 9 Processing Back Data Propagation for SI Transactions 100000111000 2 30 2 3 Operations on Unauthorized Standing INStruction 0 ceeceeeeeteeeeeeeetteeeeeeeenaaes 2 31 2 3 1 Standing Instruction Summary SCLOCN cceeccceccentee eee ceentteeeeeeenaeteeeeeeaas 2 31 2 3 2 Retrieving Standing Instruction in Summary Screen ceece ete eet 2 31 2 3 3 Viewing Standing INStrUCtiON cece eee ttte eee eetecneeeeeeennneeeeeettaeeeentnae 2 32 2 3 4 Deleting Standing INStrUCtION 00ccccceceeeeee teen eect tennessee tneeeeeetiaaeeeenttae 2 32 2 3 5 Authorizing Standing Instruction c ccccccceeeeeeeeeeteneeeeeetnnteeeeeetnaeeeeeteae 2 33 2 3 6 Amending Standing INStruCtiOn 0 c ccccccccccceeseeeeeeenneeeeeeentieeeeeetiaeeeeneeee 2 33 2 3 7 Authorizing Amended Standing Instruction cccccccceccteeteeeeeetnteeeeetenee 2 34 2 4 Plan Maintenantey 4 ao canteen cee ned lta AEA 2 34 2 4 1 Fields in Savings
291. exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field 3 Ifthe transaction value is specified in units or percentage of holdings then the prevalent price for a switch transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 4 lf you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance 5 Specify the Communication Mode and Remarks 6 Select the mode in which the transaction request was communicated in the Communication Mode field 7 lf you wish to indicate that standing instructions in respect of the unit holder must be cancelled you can select the Standing Instruction option in the Cancel Instruction field 8 Specify any remarks for the transaction in the Remarks field Specifying the Retain A
292. f the standing instructions Note Minimum Contribution Period and Value should be proportionate to Contribution Frequen cy For example if the Contribution Frequency is Months then the Minimum Contribution Period and value should be above a month s time Bank Details Section In this section you specify details of any bank accounts operated for the savings plan Bank Alphanumeric Optional From the list select the name of the bank in which the account is held 236 ORACLE 2 4 1 4 Branch Alphanumeric Optional From the list select the name of the branch of the bank in which the account is held Account Number Alphanumeric Optional Specify the number of the account for the plan in the selected bank Account Name 100 Character Maximum Alphanumeric Optional Specify the name in which the account is maintained for the plan Pay Code Alphanumeric Optional Enter the pay code of the bank in which the account is held Payment Due Date DD MM YYYY Date Format Optional Specify the date on which the payment is due The payment date cannot be back dated Auto Pay Credit 20 Character Maximum Alphanumeric Optional Specify the auto pay credit number for the savings plan IBAN 36 Characters Only Alphanumeric Optional Specify the IBAN International Bank Account Number of the account holder Fund Details Section Fund ID Alphanumeric Mandatory Select the fund in which the transactions res
293. f FCIS Unblock Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Unblock Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Unblock Transaction Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Unblock Transaction Detail screen is closed and the changes made are reflected in the FCIS Unblock Transaction Summary screen 4 6 27 3 Viewing FCIS Unblock Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Unblock Transaction Summary screen as follows Invoke the FCIS Unblock Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status
294. f a subscription transaction will settle all unsettled redemptions linked to it Fields in Payment Clearing Screen Clearing Status 3 Character Alphanumeric Mandatory Select Clear to mark the check as Cleared Select Reject to mark the check as Returned Rejected Clearing Date Date Mandatory Specify the date on which the clearing takes place By default the clearing date is deemed to be the application date Remarks 255 Characters Maximum Alphanumeric Mandatory Specify any relevant remarks regarding the clearing status Tracking Status of Returned Cheques After a transaction has been allocated the purchase transaction will have a cooling block set which implies that no units can be redeemed from this transaction s lots The cooling block will be removed transaction will be cooled off when the status of the instrument is updated as cleared oe ORACLE You can track the status of the physical instruments using the Payment Clearing screen Payment Clearing Detail New 4 Enter Query Date Range Payment Clearing 1of1 E Transaction Number Txn Dti Payment Mode Payment Details Clearing Date Clearing Status Drawee Bank Name Pledgee Branch AMC ID Transaction Number ISIN Code Payment Mode ALL Fund ID Fund Name Level Transaction From To My To track the status of a payment instrument for a transaction in the Payment Clearing screen do as follows In the Selection Criteria section s
295. f validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 32 6 Amending FCIS Consolidation Transaction Record After a FCIS Consolidation Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization 4125 ORACLE e Invoke the FCIS Consolidation Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Consolidation Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 4 6 32 7 Authorizing Amended FCIS Consolidation Transaction Record 4 6 33 An amended FCIS Consolidation Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch mod
296. f you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The Global Order Reconciliation Detail screen is displayed e Click Copy from the action list in the Details screen to create a new record with the same details 5 10 2 7 Closing Global Order Reconciliation Record To close an authorized record refer to the following steps e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the scre
297. fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the blocked units are to be unblocked from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund as specified in the Fund Demographics screen is displayed in the Fund Name field If you have selected a certificate option fund the Certificate Details section is enabled If you have selected a fund for which transaction entry charges are applicable then the following fields are enabled for data entry The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields The Fee Payment Details Section The Load Override Section Price Date The field From Price Date is enabled when you select the fund in which the re
298. fy a different date 4 Ifyou specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules 5 Select the mode in which the transaction value will be reckoned in the Transaction Mode field 6 Inthe Transaction Sub Type field specify whether the transaction is an initial purchase subsequent purchase or limit order transaction ae ORACLE 4 6 11 1 7 Provided the client country parameter is set to HSBCSPECIFIC for your bank the validation for settlement date being greater than or equal to the transaction date will not be carried out 8 Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction 9 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule 10 Select Transaction mode from drop down list 11 Choose to subscribe to a fund by requesting a number of uni
299. fy the Client Information Transaction Date and Reference Number 1 Specify the unit holder that has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field 4 126 ORACLE You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder e The funds in which the specified unit holder can transact are displayed in the Fund drop down list e The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen 2 The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules 3 Specify the r
300. fy the communication mode as Check Writing Whenever an initial subscription with a mode of communication that is part of the restrictive list maintained for the fund is entered into the system system throws up an error and does not allow you to save the transaction LOI Transaction Alphanumeric Optional If the unit holder subscribing to the fund is designated as a Letter of Intent investor then specify if the present transaction is to be deemed and processed as a Letter of Intent transaction This information is applicable only for IPO subscription and switch in transactions Payment Mode Alphanumeric Mandatory Select the mode in which the unit holder intends to pay the applicable charges levied for the transaction The payment could be made through e Cash e Check e Check Banker s Check e Check Self Check e Draft e Credit Card e Account Transfer e In Kind Payment e Multi Payment Facility For check redemption transactions the payment mode is not applicable Settlement Date Date Format Optional The system computes the settlement date for the transaction according to the payment lag defined for the transaction type in the Transaction Processing Rules for the fund The settlement date is computed as Transaction Date Payment Lag and displayed in this field You can alter the computed date and specify the required date in this field If you have defined a different trade cycle for the fund in
301. geing Specify if you wish to retain the ageing subscription You can edit the same at the transaction level Switch in exchange rate details 1 Select the exchange rate source to be used in the Switch In Exchange Rate Source field 2 Click the Calculate button The applied exchange rate is also displayed in the Applied Exchange Rate field During allocation the system obtains the applicable exchange rate for the application date and computes the equivalent of the switch out settlement value in the fund base currency 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Override Fee if necessary and specify Fee Payment Details If a transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed Specify the IBAN International Bank Account Number of the account holder If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field Bs ORACLE Click the Deta
302. generated and displayed when you invoke the Save operation 4 122 ORACLE 4 6 32 4 6 32 1 Specify additional information if necessary Click on the Transaction Add Info button to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment Specify Broker Details 1 Alternatively the following information may also need to be captured before you save a consolidation transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent 3 You can now save the transaction FCIS Consolidation Transaction Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Consolidation Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Consolidation Transaction Summary screen by typing UTSTXNO in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the
303. h from fund and the Switch to fund in a switch transaction are same In case of Band B switch the following sequence of events occurs e The system bypasses all the check which restricts switching into same fund at the time of allocation if the reftype is BB e The system defaults the Switch To fund to same as Switch From fund You will not be able to edit the same e For the switch subscription leg transaction date will be defaulted with the switch redemption leg transaction date e Fora transaction you will not be able to specify the settlement details for either the redemption leg or the subscription leg e The transaction currency and the fund base currency should be same On enriching the transaction the system defaults the transaction currency to same as the fund base currency As part of EOD batch amount based subscription leg transaction is generated once the allocation of redemption leg is through and it is settled B amp B transaction processing and allocation is similar to that of the pseudo switch transaction type The settlement amount in fund base currency of the redemption transaction will be used as the transaction currency amount for the subscription leg The transaction currency for the subscription leg will be the fund base currency aaa ORACLE Note Allocation for both redemption and subscription transaction is done on the same day Based on the redemption and subscri
304. h fund currency and transaction currency is computed by the system and displayed If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field 2 Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section 41a ORACLE 4 6 34 Specify the Certificate Details In the Certificate Details section you must specify the numbers of the certificates that are to be reissued if any Partial reissue of certificates is not possible KYC Details 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check the Tax Document option 4 Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Save the
305. h the check is expected to be cleared The clearing date should not be earlier than the check demand draft date and must not be a designate holiday in the system Payment Details for Transfer Mode of Payment The following details must be captured if the Mode of Payment chosen is Transfer The default bank account details for the unit holder may be retrieved by clicking the Default button and any other bank accounts defined for the unit holder may be retrieved by clicking the Others button Bank Alphanumeric Mandatory Specify the name of the bank from which the account transfer payment is being made for the adjustment transaction Branch Alphanumeric Mandatory Specify the branch of the selected bank from which the account transfer payment is being made for the adjustment transaction Account Type Alphanumeric Mandatory Select the account type of the transfer account Account Currency Alphanumeric Mandatory Select the currency of the transfer account This currency must be the same as the transaction currency If this is not so the unit holder must specify an account in which the account currency is the same as the transaction currency Account Number 15 Character Maximum Alphanumeric Mandatory Specify the account number of the transfer account Payment Details for Transfer Mode of Payment Capture the following details if the mode of payment chosen is transfer Payment Type Alphanumeric Mandatory Th
306. hanges to a record after authorization ee ORACLE e Invoke the FCIS Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Transfer Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 4 6 23 7 Authorizing Amended FCIS Transfer Record 4 6 24 An amended FCIS Transfer record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Entering and Saving Block Transactions To enter a block transaction request into the system perform the following sequence of steps Navigate to the Block Transaction Detail screen Invoke the FCIS Block Transaction Detail screen by typing UTDTXNO6 in the field at the top right corner of the Application tool bar and clicking on the adjoining arro
307. hat will be updated in the field From Price Date Post Forward Specific Fund Adhoc base Priced Pricing Price Frequency Cut O Basis Price Date Case 1 Yes No NA NA NA Case 2 Yes Yes User Defined Cut Off Based on NA Price Date Case 3 Yes Yes User Defined Cut Off Based on Maintained Price Date Case 4 Yes Yes Any option other Cut Off as an Inde Maintained than User Defined pendent Calendar Note When indicating the Adhoc Price Date you should have specified that the price entered is not meant for reporting alone by not checking the box For Reporting NA wherever present denotes the field is Not Applicable given the set of conditions For each of the set of conditions given in the table above the following will be the date that will be updated in the field From Price Date ele ORACLE Case 1 The next scheduled price date Example For a Fund A which is post priced pricing will be of a daily frequency the system by default the price to the current available price date Case 2 The next user defined price date taking into account the number of cut off days specified Example For a fund A with the following set of maintenances the allocation would be as follows Fund Forward Pricing Scheduled Pricing Name Applicable Price Date Cut Off days FundB Yes 14 Apr 04 2 17 Apr 04 19 Apr 04 21 A
308. he Tax Document option 4 Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify Broker Details 1 Alternatively the following information may also need to be captured before you save a block transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected broker
309. he Broker Details Section of the screen Tes ORACLE Similarly specify the transferee unit holder in the To Client Information section Specify the Transaction Date and Reference Number The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules If the unit holder account of the transferor has a stop instruction i e is frozen then you can only input the transaction if the transaction date is ahead of the Stop Account Release Date specified in the account profile Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the transferor unit holder has holdings that are to be transferred from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base c
310. he ID of the fund or the ISIN Code of the fund in which the exchange rate incomplete transaction was entered in the Fund ID and the ISIN Code fields Select the procedure of operation in the Operation Mode field Select the Enrich Exchange Rate option in the Operation Mode field in the Find Records section of the screen If the transaction for which you are enriching the exchange rate is an unauthorized transaction select the Unauthorized option in the field Exchange Rate Status If the transaction for which you are entering the exchange rate is an authorized transaction for which the exchange rate has not been entered choose the Incomplete option in the Exchange Rate Status field In the Exchange Rate Source field select the exchange rate source specified for the transaction and click Ok button Select the product for which you wish to enrich transactions Select the policy number Select the policy transaction number that should be enriched All transactions that are retrieved according to your specifications are displayed as a list in the Enrich Exchange Rate Details grid in the lower portion of the screen For each transaction that you want to enter the exchange rate select the row of the transaction in the list grid Specify the exchange rate for the transaction Click Ok button Performing Bulk Update of Exchange Rate Bulk Exchange rate enrichment is performed for authorized but un allotted transaction
311. he amendment to be made effective in the system The authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions Aao ORACLE 3 1 3 2 3 IRA Plans IRA Plans Your AMC may offer investors retirement planning products An investor who invests in a retirement planning product invests into the underlying funds in the product portfolio Under each product your AMC may offer different patterns of investment Each such investment pattern is called a plan It is essentially is an investment into the underlying portfolios of the product and lays down the guidelines for the desired pattern of investment A plan inherits the basic attributes defined for the product in which it is purchased After you define the different products that you offer to investors you can accept requests from investors for purchasing or subscribing to plans in the products An investor can purchase plans in any of the active products defined in the system Unit Holders and Unit Holder Accounts Any investor who desires to invest in any of the products by purchasing a plan in a product must be a valid unit holder with an account in the system Therefore you must set up a unit holder account for such an investor in the system through the Unitholder menu in the Browser You can create policies for both authorized and unauthorized
312. he application date e The transaction will be identified with the sub type U Unclaimed Dividend Reinvestment e System will update the check status in ConsolidatedChequeTbl as R Reinvestment for Unclaimed Cheque once the reinvestment is processed e System will not process reinvestments for unclaimed unit holder dividend payments where Fund has been closed on or before the check expiry date aise ORACLE 6 Adjustment and Amount Block Transactions Entering Transactions with Specific Prices The system provides a facility to capture transactions for which a specific price other than the prevalent transaction base price at the time of entry is applicable These transactions are typically representative of holdings of an investor in any external agency of any kind which need to be reflected in the system They are known as adjustment transactions Typically for such transactions no processing is done in the system with respect to computation of charges or fund prices All these computations are done externally and the information is only captured as data in the FC IS system Adjustment Transaction Detail Screens You can capture new adjustment transactions through the Adjustment Subscription for subscriptions into the fund and the Adjustment Redemption screens for redemption from the fund You can invoke the FCIS Adjustment Redemption Transaction Detail screen by typing UTDADJO3 in the field at the
313. he list click the Transaction Intermediary Details Tab that is found at the lower section of the screen Broker Name Display Only When you select the broker code the name of the broker is displayed Parent Broker Name Display Only When you select the broker code the name of the parent broker for the selected broker is displayed Split Percentage Numeric Optional Specify the percentage of total commission that is to accrue to the selected broker The sum of all the percentages specified for any brokers identified for the transaction must equal one hundred percent Delete Optional Select this option to mark the selected broker as inapplicable for the transaction To delete any given row in the grid check the Delete check box and then click the Delete link at the right bottom of this section The checked rows are deleted If you delete a row in which a broker has been selected then that broker is not deemed as an intermediary for the transaction To add a new row at the bottom of the grid in this section click the Add link ot ORACLE The Payment Details Tab Payment Details Payment Details Transaction Number Unit Holder ID Payment Amount Paid Date Check Number Bank Third Party Address Third Party US State Third Party Zip Code Account Currency Account Number Payment Reference Number Cheque Date Pledgee Branch Third Party Reference Account Type Branch Code Transfer Reference Number Cr
314. he screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc e Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc FCIS UnBlock Transaction Summary Transaction Number az Fund ID ai Unit Holder ID a Transaction Type Transaction Mode NotSelected v Transaction Date ai AMC ID a Reference Number ai Authorization Status X Open X Input By a Records per page 15 v 1 of 1 a Transaction Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC ID m m J r Prg ORACLE 4 6 27 2 Editing FCIS Unblock Transaction Record You can modify the details o
315. he sub payment mode and you are not allowed to change it Payment Currency Mandatory Specify the currency in which the payment must be made for the selected payment mode By default it is reckoned to be the Transaction Currency oe ORACLE Payment Date dd mm yyyy Mandatory Enter the date of payment By default the transaction date is displayed If the transaction date is not specified then the application gets defaulted here You can change this if required Note Payment Date cannot be back dated Payment Amount Mandatory Enter the payable amount Amount entered here will be reckoned in the payment currency Bank Charges Numeric Display This is the charges to be borne by the AMC This amount is inclusive of the charges for payment Amount entered here will be reckoned in the payment currency If the mode of payment is Demand Draft or Outstation Cheque based on the load maintained for the combination of AMC and transaction currency the applicable amount slab will be displayed here on tabbing out of the payment amount field While processing settlements the bank charges will be added to the payment amount for settling the transaction This field will be displayed only if the client country parameter BANKCHARGES is set to true for your bank Note DD charges can be calculated in multiple currencies The Load Id for the AMC should be defined in PARAMS maintenance delimited by For example EU
316. he system does not allow the transaction to be saved ii ORACLE When you specify the unit holder e The funds in which the specified unit holder can transact are displayed in the Fund drop down list e The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the required units are to be blocked from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base C
317. he total load amount in the Load Amount field e The Gross and Net Amounts in fund base currency e The Settlement Amount in the transaction currency The following Load Details are displayed e The Fund ID and the ISIN Code e The Load ID e The Load Description e The Load Amount After you have viewed the projected allocation details click the Close button to close the screen Specify additional information if necessary Click on the Transaction Add Info box to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation oat ORACLE Other Details KIID Complaint Optional Select if Switch transaction is KIID complaint or not from the drop down list Following are the option available in the drop down list e Yes
318. he transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules 3 Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system when you save the transaction Specify the Fund Select the fund in which the required certificates are to be split from the drop down list in the Fund field You can also specify the ISIN Code of the fund The base currency for the fund is displayed in the Fund Base Currency field The name of the chosen fund as specified in the Fund Demographics screen is displayed in the Fund Name field If you have selected a certificate option fund the Certificate Details section is enabled If you have selected a fund for which transaction entry charges are applicable then the following fields are enabled for data entry e The Fee Details including the Calc
319. he unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The GO Confirmation Detail screen is displayed Select Unlock operation from the Action list to modify the record Modify the necessary information at ORACLE e Click Save to save your changes The GO Confirmation Detail screen is closed and the changes made are reflected in the GO Confirmation Summary screen 5 9 2 4 Deleting Global Order Confirmation Record You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the GO Confirmation Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space
320. hen a warning message is displayed by the system The dilution levy breach limit amount can be overridden at the transaction level The overridden value is considered only if the transaction attracts dilution levy An EOD batch computes the aggregated net transaction amount at unit holder fund and transaction type level This batch is schedules before the allocation process If the gross aggregated amount for Unit Holder Fund and Transaction type combination is identified breaching then a dilution levy fee is applied on all transactions of that fund Unit Holder and transaction type combination Specifying Details in Other Section During transaction entry the system defaults the settlement date by considering the payment lag defined for the fund in the Transaction Processing Rules The settlement date is computed as Transaction Date Payment Lag and displayed in the Settlement Date field You can override the computed settlement date and specify the required date If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the settlement date from the maintenance o ORACLE Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is appli
321. her fields will be mandatory and you must then make your specifications in all the fields Start Date Date Optional Specify the date on which the first increase or first escalation must occur Beginning from this date the blocked or unblocked amount will be increased as specified at intervals determined by the pre defined frequency that you specify in the Escalation Frequency field End Date Date Optional Specify the date on which the last increase or escalation must occur The start date and end date taken together signify a period during which escalation of the blocked or unblocked amount will occur at the frequency that you define in the Escalation Frequency field Escalation Type Alphanumeric Optional Specify whether the increase is an amount based escalation or percentage escalation Select the desired type from the drop down list pres ORACLE 6 4 6 4 1 Escalation Value Optional Enter the value by which the blocked or unblocked amount must be increased At each instance when the escalation comes into effect the blocked amount will be increased by this value Escalation Frequency Alphanumeric Optional Specify the frequency at which the escalation must occur You can select the desired frequency format from the drop down list Next Escalation Date Display Only This is the date on which the next escalation will take place It is updated by the system based on the escalation start date and the es
322. hoose the Blank Space option then all the records are retrieved The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved Transaction Number Reference Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date Dealing Date Limit Order Details Payment Mode Completion Date Agent Code AMC ane ORACLE e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc e Search by 17 System will fetch all the records whose Fund ID contains the numeric value
323. hoose the Summary option The Help Desk Summary screen is opened e Inthe Authorization Status field select the status of the Consolidation Transaction that you want to retrieve for viewing You can view records of transactions that are e Unauthorized e Authorized To retrieve the Help Desk record that is to be viewed specify any or all of the details of the transaction in the corresponding fields on the screen and click All transactions with the specified details are retrieved and displayed in the lower portion of the screen Select the Help Desk record that you want to view in the list of displayed transactions in the lower portion of the screen The Help Desk Detail screen is opened by double clicking the selected record with the selected record displayed in view mode Deleting a Query Record You can delete only unauthorized Help Desk record in the system To delete a Help Desk record that you have previously entered you must retrieve the same in the Help Desk Summary screen as follows e Fromthe main menu invoke the Transaction Input menu Select Help Desk and choose the Summary option The Help Desk Summary screen is opened e Inthe Authorized field select the status of the Help Desk that you want to retrieve for deletion You can only delete records of transactions that are unauthorized Accordingly choose the Unauthorized option from the drop down list e To retrieve the Help Desk that is to be deleted specif
324. horized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The Distribution Void Detail screen is displayed in View mode 5 13 3 4 Deleting Void Details You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the Distribution Void Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed records The Distribution Void Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 13 3 5 Authorizing Void Details An unauthorized fund restriction record must be authorized in the system for it to be processed To authorize a record e Invoke the Distribution Void Summary screen from the Brow
325. ically deleted from the system database 4 018 ORACLE 4 6 30 5 Authorizing FCIS Split Transaction Record e An unauthorized FCIS Split Transaction record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Split Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Split Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 30 6 Amending FCIS Split Transaction Record After a FCIS Split Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the FCIS Split Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only am
326. idation Transaction Detail D New 3 Enter Query Client Information Fund ID Unit Holder ID EBB intermediary kyc Details Add info Certificates Client Information Unit Holder Name CIF Number Fund Name Short Fund Identification Number Transaction Information Transaction Date Transaction Number Reference Number Transaction Currency Currency Name Exchange Details Amountin Fund Base Currency Exchange Rate Source Exchange Rate Applied Override Exchange Rate Transaction Value Transaction Mode Units Amount Applied Units Applied Percent Applied Other Details Communication Mode Direct In Person Remarks Maturity Date No Enrich Transaction Auto Generate Unblock Fund Base Currency UH Sianature Allocation Details Input By Calculate DateTime fetus Open Auu Unauthorized DateTime Mod No Authorized By Specify the Client Information Transaction Date and Reference Number 1 Specify the unit holder that has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify th
327. idered as the same day transaction If all the below mentioned transactions are captured on 15 Oct 2012 at 16 00 hrs then the transaction dates will be derived as detailed below In case the transaction date is amended then the system has to consider the amended transaction date Post authorisation of the transaction you cannot amend order received date and time Fund Cut off Order Order Transaction Received Date Received time Date 14 00 15 Oct 2012 13 50 15 Oct 2012 14 00 15 Oct 2012 14 10 16 Oct 2012 14 00 14 Oct 2012 13 25 14 Oct 2012 14 00 14 Oct 2012 15 15 15 Oct 2012 View the projected allocation details if necessary 1 Atthis stage the transaction is ready to be saved If you wish to see a projected picture of how the transaction would most possibly be allocated then click the Project Allocation Details button 2 You can view the projected allocation details only for funds in which the ageing policy is FIFO first in first out or Transaction Receipts If the prices are not available for transfer transactions on the transaction date the latest available price is picked up for allocation 3 When you do so the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen The following allocation details are
328. ificate Single Max Cert D Certificate o enomination Details 1of1 E Certificate Lot Size No of Certificates E Certificate Number Units Partial Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By Authorized By DateTime DateTime Mod No anuni Unauthorized 1 If the fund you have chosen is a Certificate Option fund as specified in the Shares Characteristics and the unit holder has requested for certificates then choose Yes in the Certificate Required field ORACLE 2 Specify whether a single certificate or multiple certificates have been requested in the Number of Certificates field If single certificates have been designated for the fund you cannot specify multiple certificates here 3 If you have selected a certificate option fund then all certificate information fields are enabled The fields are Certificate Required Single Certificate From Issued Balances and Max Cert Denomination amp Min Cert Denomination under Certificate Section 4 6 2 3 Transaction Section Click on Transaction tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail C New 9 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Type Description Transaction Date Transaction Number Amou
329. ified fund at the time of transaction entry This value will be validated against the minimum maximum and step values specified for transfer transactions in the Transaction Processing Rules for the fund It is also validated against the amount units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits For transactions by gross amount a transaction value that exceeds the Minimum Amount for Tax ID that has been specified in the fund rules the system validates the availability of the PAN Number in the unit holder account profile for both the transferor and the transferee If the PAN Number has not been specified in the profile you must enter a transaction value that aot ORACLE does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction If specified in the General Operating Rules for the fund the End of Day processes perform the minimum holdings validation by picking up all allocated transactions during the business day and grouping according to CIF level or unit holder level as indicated in the General Operating Rules During this the system validates whether the current holdings balance of the investor either equals or exceeds the minimum holdings balance sp
330. il i New 9 Enter Query RTA Transfers Transaction Type Select T Reference Number RTA Channel CIF Name Unit Holder ID Shaw Derails Unit Holder Name Transfers IN Details IEEE Channel Transfers Details Details 1of1 Fund ID Balance Units NAV MarketValue Select Input by DateTime Authorized by DateTime Mod No Open Authorized Fund ID Display The fund in which the transaction was put through is displayed here Balance Units Display The unit balance of your holding is displayed here SaN ORACLE NAV Display Display the current NAV of your holdings Market Value Display This displays the market value of all your holdings which is derived at by multiplying the Balance Units with the current NAV Select The box needs to be checked against the fields which are to be processed Note Conditions required to be fulfilled for validations for transfer out transactions Fund price needs to be available Sufficient balance is required in the unit holders fund Transfer out transaction amount should be a multiple of step amount as defined in Fund Rule Channel Transfer Details Click on the Channel Transfers Details tab to invoke the following screen FCIS RTA Transfers Detail New 43 Enter Query RTA Transfers Transaction Type Select Reference Number RTA Channel CIF Name Unit Holder ID Show Details Unit Holder Name Transfers IN Details
331. ill also default the bank details maintained at the unit holder level for the beneficiaries if you do not capture settlement details before saving the transaction If multiple beneficiaries have been linked to the unit holder the redemption proceeds will be paid to each beneficiary in the transaction base currency The order in which the beneficiaries will be paid out is derived from the order maintained for the beneficiaries at the unit holder level Settlement Numeric Optional The system will default the percentage for each beneficiary from the unit holder level You can change it if required If the total percentage maintained for all beneficiaries at the unit holder level does not add up to 100 the system will include the main unit holder as a beneficiary and credit the reminder of the payout to him However while modifying the defaulted details if you remove the main unit holder and include another beneficiary and the total payout percentage does not add up to 100 the remaining will not be paid to the main unit holder Instead the system will credit it to the last beneficiary in the list of beneficiaries Note Beneficiary ID and Settlement Percentage fields are applicable only for redemption trans actions Sub Payment Mode Conditional If the mode of payment is Multi payment facility then select the sub payment mode For all other modes of payment payment mode specified for the transaction is defaulted as t
332. ils button and then the Fee Payment Details button Specify the payment details for the fee in this section Specify the Certificate Details If the unit holder has requested switching of a portion of the issued or certificate balance you must specify the numbers of the certificates that are being switched if any If partial switching has been requested from any of the certificates check the Partial check box against that certificate in the Certificate Details section Only one certificate can be partially switched ata time and you cannot change the number of units in the certificate Also you may need to alter the minimum and maximum denominations if so requested An override of these specifications is possible if it is allowed as designated in the fund rules Auto Clear Provisional Balance Check this option to indicate that 100 outflow transaction should include provisionally allotted units This option will be enabled if the transaction mode is Percent and the transaction value is 100 Auto Clear Reinvestments Check this option to indicate that 100 outflow transaction should include freeze held and reinvestment units This option will be enabled if the transaction mode is Percent and the transaction value is 100 KYC Details 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have bee
333. ils of the same in the Allocation Projection screen The following allocation details are displayed e The Fund ID and the ISIN Code e The Product ID e The number of units allocated in the Units field e The Spill Over Product ID and the number of spillover units in the Spill Over Units field e The Unit Price for the transaction as on the date of the temporary allocation e The total load amount in the Load Amount field e The Gross and Net Amounts in fund base currency e The Settlement Amount in the transaction currency The following Load Details are displayed during the allocation e The Fund ID and the ISIN Code e The Load ID e The Load Description e The Load Amount After you have viewed the projected allocation details click the Close button to close the screen Others Section Specifying the Settlement Date By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration The date displayed here can be altered if required and you can specify the requisite settlement date Aa ORACLE If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the settlement date from the maintenance rar nn the CPMF Details By default the CPMF Bonus percentage is displayed here which is arrived a
334. imum Amount for Tax ID that has been specified in the fund rules the system validates the availability of the PAN Number in the unit holder account profile If the PAN Number has not been specified in the profile you must enter a transaction value that does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction Specify whether the amount Field must be reckoned either as a gross value from which the loads will be deducted or as a net value exclusive of the loads in the Gross or Net field Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field If the transaction value is specified in units then the prevalent price for a consolidation transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent Select the exchange rate source to be used in the Exchange Rate Source field Select the mode in which the transaction request was communicated in the Communication Mode field Whenever an initial subscription with a mode of communication that is part of the restrictive list maintained for th
335. ing are the option available in the drop down list e Yes e No The system will default the KIID compliant at the transaction level upon the selection of the Unitholder and Fund in the transaction screens If the UCITS Fund at the Fund level is Yes and the UH mapping to the Fund in the UH KIID Compliance tab is NO then at the transaction level the system will default the KIID Complaint to No The other combinations is as follows UCITS Fund Yes No UH Mapping at the KIID KIID Complaint at Txn level will Compliance TAB default to Yes No No Yes Yes Yes No NA Blank If the KIID Complaint is set to No the system display the following error message while saving the transaction The Unit holder has not received the KIID If the flag is set to YES there will be no error message and treated as if the UH has received the KIID The system will always look at the latest UCITS fund mapping maintained at the UH level a ORACLE 4 6 11 4 4 6 11 5 4 6 11 6 If the transaction is being done in a fund which is not a UCITS Fund then the field KIID received at transaction level will be defaulted to Blank You cannot change this option to either a Yes or No at the transactions level if it is not a UCITS Fund The business user can change the KIID Compliant flag at the transaction from No to Yes and proceed with the transaction capture but vi
336. ing to indicate your preference for overriding from the drop down list e Both e Return Value e Load Amount Derived Load Details The system displays the following details e Transaction Number e Unit Holder ID e Fund ID e Load ID e Parent Load ID e Transaction Amount Iba ORACLE You can check against the transaction number for which transaction is done in the check box Load Maintenance Detail D New 5 Enter Query Basic Information Load ID Load Type Fee Load Description Amount Or Percentage Cumulative loads Consider as Lower PriceBasisLoad Boundary ROA Threshhold For Initial Amount Basis SelectOne Fee Slab Mode UH Deal Maintainable Mode Period basis Load Calculation Method Slab Basis Tables Referred Agent Investor Fund Agency Branch Investor Txn Broker _ Account Officer IFA UH Additional Info Investor Transaction Rule Payment Mode Transaction Details Fund Derived Ok Load Details l 4101 gt bl 3 Slab Sequence No From Date To Date FromAmount ToAmount FromUnits ToUnits FromPeriod Input by DateTime Authorized by DateTime Mod No Open Authorized If the load is criteria based the criteria will be displayed in the Load Details screen If any derived loads are applicable they are also displayed and can be overridden Load Type Display Only The ty
337. intained in the system You can choose the appropriate one New ISA Manager Alphanumeric 8 Characters Optional Specify new ISA Manager details This adjoining option list displays all valid new ISA manager details maintained in the system You can choose the appropriate one First ISA Transaction Date Date Format Optional Specify first ISA transaction date Current Year ISA Amount Alphanumeric 8 Characters Optional Specify the current year ISA amount Prev Year ISA Amount Alphanumeric 8 Characters Optional Specify the previous year ISA amount 2 ORACLE Transfer Option Optional Select the transfer option from the adjoining drop down list Following are the options available e Any Year ISA e Previous Year ISA e Current Year ISA e ISA Partial One Legged Transfer Details Transaction Number Display The system displays the transaction number on authorization Fund ID Alphanumeric 8 Characters Mandatory Specify the fund ID This adjoining option list displays all valid fund ID maintained in the system You can choose the appropriate one Fund Name Display The system displays the name of the fund for the selected fund ID Units Numeric 8 Characters Optional Specify the in specie transfer in units This field is enabled only for in specie transfer in type of transaction G1 Units Numeric 8 Characters Optional Specify the in specie transfer in G1 units This field is enabled only for in s
338. ion Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option ie ORACLE 4 6 27 4 6 27 1 Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify Broker Details 1 Alternatively the following information may also need to be captured before you save an unblock transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all sele
339. ion from the action list Records button to complete the authorization To mark all retrieved records for authorization click the Mark All for Authorize link Then click the Authorize Marked Records button to complete the authorization Amending Transaction After a transaction is authorized it cannot be modified using the Edit operation To make changes to a transaction after authorization you must invoke the Unlock operation which is termed as the Amend operation You can amend an authorized transaction by From the main menu select Agency Branch invoke the Transaction menu From Adjustment Transaction choose the Summary option The Adjustment Transaction Summary screen is opened In the Authorized field select the status of the adjustment transaction that you want to retrieve for amendment You can only amend records of transactions that are authorized Accordingly choose any of the following options from the drop down list Authorized Allotted Un allotted 9 16 ORACLE 6 3 6 3 1 e To retrieve the transaction that is to be amended specify any or all of the details of the adjustment transaction in the corresponding fields on the screen All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Select the transaction that you want to amend in the list of displayed transactions in the lower portion of the screen and double click the selected row The
340. ion Summary screen as follows Invoke the FCIS Split Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Split Transaction Detail screen is displayed in View mode 4 6 30 4 Deleting FCIS Split Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Split Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Split Transaction Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is phys
341. ion is attached to a CIF Customer specify the number of the CIF customer in this field The system retrieves the name of the CIF customer and displays it alongside this field Unit Holder ID 12 Characters Maximum Alphanumeric Optional This information is mandatory if you have specified a CIF number Select the unit holder for whom the transaction request is being entered When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list If you have selected a unit holder for the selected CIF using the Find link the name and number of the selected unit holder is displayed here Unit Holder 12 Characters Maximum Alphanumeric Mandatory If the transaction is being entered for a unit holder that is not under a CIF Number specify the same in this field If you have selected a unit holder using the Find link the number of the selected unit holder is displayed here If you have specified a CIF Number and selected a unit holder for the CIF then the selected unit holder number is displayed here It cannot be changed The unit holder specified here must belong to the same agency branch from where the adjustment transaction is being entered if cross branching is not allowed for the agency branch The system displays the name of the unit holder alongside this field Other Details section Block Unblock ID System Generated Inf
342. ion or a percentage escalation Select the desired type from the drop down list Next Escalation Date Date Optional This is the date on which the next escalation will take place It is updated by the system based on the standing instructions start date and the escalation frequency in the case of a new record For records retrieved in the Amend mode this date may be altered in the amend session If this date is overridden manually then next escalation will take place on the date amended by the user If Next Escalation Date is updated then this field is given priority over Escalation Start Date Note If escalation is requested then you must specify ALL the details in this section as manda tory information to enable the system to process the escalation Escalation Value Optional Enter the value by which the standing instruction transaction value must be escalated ORACLE 2 2 1 2 Maintaining SI Fund Info This section is displayed only if the SI level is Plan Level In this section specify the details of all the funds in which any transactions that would result when the standing instruction is processed in the system will be put through FCIS Standing instructions Detail X H save SI Basic Info RUAME SI intermediary SI Payment SI Delivery Details SI Bank Details SI Routing Details SI Fund Details 1of1 E Tl Fund ID Fund Name From Issued Balances Certificate Required Single Certificate
343. ion specified for the unit holder is defaulted at the transaction level provided the fund is a EUSD In Scope fund However you can modify this value The options available are e With holding tax e Exchange of information e Tax exemption certificate System calculates the EUSD tax based on the option specified here However EUSD tax is deducted from the settlement amount only if the EUSD option is Withholding tax Intermediary The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Intermediary Section of the screen Load Override Section 1 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Exchange Rate Applied field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance 2 Select the auto clear provisional balance and select the type of Auto Clear Re Investments form the drop down list Specify if the payment has been allowed for the transaction KYC and Documents Section 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date o
344. ions is displayed with all the default information FCIS Light Weight Transaction Detail New 453 Enter Query Transaction Type Transaction Type iPOSubscription Transaction Sub Type Description Client Information Unit Holder ID To UnitHolder ID Find UH Find To UH Unit Holder Name To Unit Holder Name Transaction Information Transaction Date Reference Number Fund ID Transaction Mode Amount Transaction Currency Units Transaction Number Amount To Fund ID Percent Subscription Fund ID Payment Mode Fund Identification Payment Mode Number Description Fund Name Payment Details KYC Details Maker ID DateTime Mod NO Checker ID DateTime Record Status Unitholder ID Mandatory Alphanumeric Specify the unit holder id of the unit holder who has requested for the transaction You can select the id from the option list maintained Type of Transaction Mandatory Alphanumeric Specify the type of transaction from the drop down list e IPO Subscription e Subscription e Redemption e Switch From e Transfer Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Transaction Sub Type Select the transaction sub type from the drop down list provided The following are the optio
345. istributor Price Basis Setup the default price basis specified for the to fund and transaction type for the transaction from the fund rules is displayed here You can override the default when you enter the transaction Transaction Type Alphanumeric Mandatory Specify whether the transaction involves an initial purchase subsequent purchase or a limit order buy or sell transaction When the transaction is saved the system checks to see if the balance for the unit holder at a customer investment type is zero or if there is no underlying balance If so and the type of transaction selected is not Initial Purchase the system displays a warning which can be overridden Also if the Initial Purchase option is chosen and the unit holder holds any balance at the customer investment type level or if there is any underlying balance the system displays a warning which can be overridden a ORACLE In case of Switch transactions specify the type of switch the unitholder has opted for The values defined as a part of Parameter Maintenance will be available in the drop down list In case of Transfer transaction you can specify whether the transaction involves scrip less to scrip based conversions and vice versa In case of scrip less to scrip based conversions select the option Book to Certificate and in case of scrip based to scrip less conversion select Certificate to Book Liquidation Indicator
346. itch out transaction A transaction can be redeemed or switched out only if the KYC AML checks have been completed for the linked inflow transaction Completion is possible for IPO subscription subscription redemption switch and transfer transactions Completion of a transaction is possible only under the following circumstances e Transaction has been allotted e All the payments linked with the transaction are settled e All KYC documents have been received from the investor at the unit holder level and at the transaction level e Transaction is confirmed in case of redemptions e Linked inflow transaction is Complete in case of redemptions or switch out transactions You can perform the completion operation as follows e Inthe main menu invoke the Transaction Input menu For the required transaction type choose the Summary option The Transaction Summary screen is opened e Inthe Operation field select the Completion option from the drop down list e You can only complete records of transactions that have been allotted Accordingly the Status field is defaulted with Allotted and you are not allowed to change this TIR ORACLE 4 6 37 e Toretrieve the transaction that is to be completed specify any or all of the details of the transaction in the corresponding fields on the screen All allotted transactions with the specified details are retrieved and displayed in the lower portion of the screen e To complet
347. ith DMS 5 You can now save the transaction Note Pseudo switch transactions can be done for funds belonging to same as well as different AMCs Pseudo switch is not handled in Bulk transactions and standing instructions 4 6 18 3 Viewing Balance Holdings of a Unit Holder You can view the available fund balance details of a unit holder For this click the View Balance button in the FCIS Transaction Switch Detail screen The Investor Fund Balance screen is displayed in view mode displaying the unit holder fund balance details investor Fund Balance 43 Execute Query Unit Holder ID Fund balances Detail 1of1 FundID Fund Name Fund Base Currency Unit Balance Total Blocked Units FBC redeemable FBC Holding Total Blocked Amount or Holdings Total Blocked Amount Total Holdings in UH Currency Total Blocked Units 4 6 19 Entering and Saving Switch Transactions in Light Weight Detail Enter a switch transaction request into the system in the following sequence of events Navigate to the Switch Transaction Light Weight Detail screen Invoke the FCIS Light Weight Transaction Detail screen by typing UTDTXNLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ata ORACLE Specify Switch Form in the Transaction Type field The Switch Detail screen for transact
348. ject Allocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime Anu Unauthorized The following are the fields in the screen Unit Holder ID Specify the Unit holder for the transaction entered To locate a unit holder click on Find Transaction Date Date format dd mm yyyy Mandatory Specify the date on which the transaction request is being entered into the system The application date is displayed here by default and is deemed to be the transaction date You can enter an earlier date for a backdated transaction that falls within the backdating limit specified for the fund in which the transaction is being requested The date that you specify here must not be a designated holiday in the system If you do specify a holiday the system prompts you to specify a different date For check redemption transactions you must specify the issue date of the check here For redemption switch or transfer transactions if the unit holder account has a stop instruction i e is frozen then you can only input the transaction if the transaction date is ahead of the Stop Account Release Date specified in the account profile For transfer transactions this validation is made only for the transferor account In case of future dated transactions the transaction date cannot be greater than the future dating limit specified in the Transaction Processing Rules screen Reference Number 16 Characters Alph
349. k space then all the records are retrieved Unit Holder Name Unit Holder ID Transaction Number 5 108 ORACLE 5 13 3 2 From Date To Date Void Level If you choose the blank space then all the records are retrieved Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Unit Holder ID Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value Example You can search the record for Unit Holder ID by using the combination of and alphanumeric value as follows Search by A The system will fetch all the records whose Unit Holder ID starts from Alphabet A For example AGC17 AGVO6 AGC74 and so forth Search by 7 The system will fetch all the records whose Unit Holder ID ends by numeric value 7 For example AGC17 GSD267 AGC77 and so forth Search by 17 The system will fetch all the records whose Unit Holder ID contains the numeric value 17 For example GSD217 GSD172 AGC17 and so forth Editing Void Details You can modify the Void Details that you have already entered in
350. ked amount transaction specify the date of the unblocking transaction e Specify a unique reference number for the transaction e Ifyou are entering a block transaction specify the pledgor if any to whom the amount is pledged e Specify the amount to be blocked or unblocked for the transaction e If you are unblocking against a previously blocked amount transaction specify the fund from which the units may be redeemed e Specify any relevant details of escalation for the amounts as well as any payment details for the redemption of units due to unblocking e Click Ok button to save the transaction 6 3 2 Fields in Amount Block screens 6 3 2 1 Client Information Section In this section specify the details of the CIF customer or the investor that has requested for the amount block or unblock transaction ORACLE 6 3 2 2 Note To retrieve a CIF customer number or a unit holder number click Find UH button Toenter a transaction for an investor that is attached to a CIF customer first specify the number of the CIF customer in the CIF Number field and then specify the identity number of the required unit holder in the Unit Holders ID field Toenter a transaction for an investor that is not attached to a CIF customer specify the number of the required unit holder in the Unit Holder field CIF Number Alphanumeric Optional If the unit holder that has requested for the transact
351. koned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The oe ORACLE 4 6 18 2 specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules If the unit holder account has a stop instruction i e is frozen then you can only input the transaction if the transaction date is ahead of the Stop Account Release Date specified in the account profile Order Received Date Date Format Optional Specify the order received date Order Received Time HH24 Ml Time Format Mandatory Specify the order received time Deriving the order received date and time The system will validate the Fund cut off based on the Order received time and not the actual time the Transaction is captured in the system The transaction date will be derived by the system based on these two fields For instance if the Fund Cut off is 14 00 hrs at a Fund level and the transaction is captured at 15 00 hrs in the system with the Order Received time as 13 00 then the system should validate the time maintained at Order Received time and not the time the transaction is actually c
352. le for the transaction To delete any given row in the grid check the Delete check box and then click the Delete link at the right bottom of this section The checked rows are deleted If you delete a row in which a certificate number has been specified then that certificate is not reckoned as part of the transaction To add a new row at the bottom of the grid in this section click the Add link Load Override Section In this section you can override or alter the value of any load including derived loads if any mapped to the selected fund and applicable for the transaction type which is to be computed at the time of allocation The frequency of computation for such loads would be allocation This section is only enabled for funds that have allocation time loads mapped to them as applicable for the transaction type When you select the fund in which the transaction is to be put through any mapped allocation time loads are displayed as a list in this section FCIS Subscription Transaction Detail Save Transaction Information Transaction Currency ai Transaction Value Fund ID a3 Reference Number Transaction Mode Amount Unit Holder ID i a Units Applied Transaction Date 04 23 2014 E3 Transaction Type Lae Amount Applied Description Transaction Number PaymentMode Cash Enrich Transaction Percent Applied UH amp Fund Transaction Other Intermediary MAAMEES KYC amp Document
353. liation Summary screen from the Browser e The status of the transaction in the Authorized field Choose the Unauthorized status e Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Select the Authorization operation from the Action list to authorize the selected record 5 11 2 6 Amending Global Order Settlement Record After a global order settlement record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization e Invoke the GO Settlement Summary screen from the Browser ave ORACLE Select the status of the transaction that you wish to retrieve for amendment You can only amend only authorized records Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to amend The GO Settlement Detail screen is displayed in the amendment mode Click the Unlock operation from the Action list to amend the record Amend the necessary information Click the Save button to save the changes 5 11 2 7 Copying Global Order Settlement Record To create a new record with details similar to a previously created record refer to the following steps Specify any or all of the follo
354. licable only for Amend mode If you check this option the following two additional fields will be displayed on the screen e New Cheque Number Enter the number of the re issued cheque e New Issue Date Enter the new date of the re issued cheque The status of the existing cheque will be updated as Invalid Lost Cancelled Stopped Bounced or Duplicate as specified by you and mark the status of new record as ACTIVE Click Ok button The system will fetch all the records that satisfy the search criteria Select New from the Actions menu in the Application tool bar or click new icon To invoke this screen type UTDCHQTR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is displayed Cheque Tracking Detail New 73 Enter Query Type of Transaction Select Fund ID Unit Holder ID Payment Number Drawee Bank Cheque Date Cheque Number Cheque Status Active Input by Authorized by Mod No Reference Number ISIN Code Transaction Number Drawee Branch Cheque Amount Cheque Currency MICR Code DateTime DateTime Open Authorized The following details as specified in the Cheque Tracking Summary screen are displayed e Type of Transaction e Reference Number e Fund ID e Transaction Number e Payment Number 5 141 ORACLE Drawee Bank Alphanumeric Mandatory Select the name of the ba
355. limit amount can be overridden at the transaction level The overridden value is considered only if the transaction attracts dilution levy An EOD batch computes the aggregated net transaction amount at unit holder fund and transaction type level This batch is schedules before the allocation process If the gross aggregated amount for Unit Holder Fund and Transaction type combination is identified breaching then a dilution levy fee is applied on all transactions of that fund Unit Holder and transaction type combination View the projected allocation details if necessary 1 Atthis stage the transaction is ready to be saved If you wish to see a projected picture of how the transaction would most possibly be allocated then click the Project Allocation Details button You can view the projected allocation details only for funds in which the ageing policy is FIFO first in first out or Transaction Receipts If the prices are not available for subscription transactions on the transaction date the latest available price is picked up for allocation For validating dilution levy breach amount the system does a project allocation for the transaction and then calculates the net amount of the transaction 2 When you request the allocation process the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the deta
356. list displays all valid account type maintained in the system You can choose the appropriate one Account Currency Alphanumeric 3 Characters Mandatory Specify the currency details This adjoining option list displays all valid currency code maintained in the system You can choose the appropriate one 8 ORACLE Account Holder Name Alphanumeric 8 Characters Mandatory Specify the account holder name Account Number Alphanumeric 8 Characters Mandatory Specify the account number Settlement Amount Alphanumeric 8 Characters Mandatory Specify the settlement amount Settlement Date Date Format Optional Specify the settlement date Payment Mode Optional Select the mode of payment from the drop down list Following are the options available in the drop down list e Cash e Cheque e Money Transfer Transaction Category Optional Select the transaction category from the adjoining drop down list The available values are e Legacy e Advised Business Only e Execution Only Remarks Alphanumeric 255 Characters Mandatory Specify remarks if any a ORACLE 5 11 2 Viewing Global Order Settlement Details You can view Global Order Settlement details using GO Settlement Summary screen To invoke this screen type UTSGOSTL in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button amp Search oq Advanced Search Reset gA Clear All Search Is Case S
357. ll validations have been made The transaction number generated by the system is in the format TT YYYY JJJ NNNNNNN Where TT Transaction type 01 IPO Subscription and so on YYYY Year of processing JJJ Julian date NNNNNNN Running sequence number for the day ISIN Code 12 Characters Maximum Alphanumeric Mandatory Select the ISIN Code of the fund in which the transaction is being requested from the options provided If you specify the ISIN Code of a fund the ID of the fund is displayed in the Fund field and name of the fund is displayed in the Fund Name field Fund Base Currency Display Only When you select the fund in which the transaction is being entered the base currency of the fund is retrieved from the fund rules and displayed here Price Basis Alphanumeric Mandatory The default price basis defined in the Distributor Price Basis Setup if any for the fund transaction type distributor and investment account type involved in the transaction is displayed in this field If no price basis has been maintained in the Distributor Price Basis Setup the default price basis specified for the fund and transaction type for the transaction from the fund rules is displayed here You can override the default when you enter the transaction a4 ORACLE From Price Date This field is enabled when you select the fund in which the requested transaction is to be put through The price date is arrived at by taking into co
358. lowing steps e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved a8 ORACLE e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The Global Order Confirmation Detail screen is displayed e Click Copy from the action list in the Details screen to create a new record with the same details 5 9 2 7 Closing Global Order Confirmation Record 5 10 To close an authorized record refer to the following steps e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the O
359. lphanumeric 16 Characters Mandatory Specify the Global Order number If you click on Populate button the following fields are displayed GO Date Display The system displays the Global Order date AMC ID Display The system displays the AMC ID Fund ID Display The system displays the fund ID GO Transaction Type Display The system displays the GO transaction type Nominee Account Number Display The system displays the nominee account number 280 ORACLE UH Account Type Display The system displays the UH account type GO Mode Display The system displays the GO mode GO Status Optional Select the Global Order status from the drop down list Following are the options available in the drop down list e Price Mismatch e Amount Mismatch e Unit Mismatch e Confirmed e Rejected The system will compare the confirmation message received from the fund house with the original message generated In case if there is a mismatch in the fund price received from the fund house for this order compared to fund price received for an earlier order having same fund id transaction type transaction date then same will get reflect in the GO Reconciliation screen for manual correction with status message as Confirmed Price Mismatched The correct price will be confirmed from the fund house outside the system If the latest GO price is different from the existing fund price you need to confirm GO price On
360. lphanumeric Optional This information is mandatory if you have specified a CIF number Select the unit holder for whom the transaction request is being entered al ORACLE When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list If you have selected a unit holder for the selected CIF using the Find link the name and number of the selected unit holder is displayed here You must select a unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved To Client Information Section In this section you must specify the unit holder or the CIF unit holder to whom the transfer of ownership is being affected in the case of transfer transactions This section is not applicable to any other transaction type other than transfer CIF Number Alphanumeric Optional Specify the number of the CIF customer to whom the transfer is being effected in this field You must select a CIF that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved Unit Holder 12 Characters Maximum Alphanumeric Optional This information is mandatory if you have specified a CIF number
361. lso validated against the units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits one ORACLE 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Currency 1 Select the exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field Since the transaction value is specified in units then the prevalent price for a split transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and
362. ltiple redemptions for which multiple settlements and subscriptions are captured through one wrapper reference number This wrapper reference will be the reference number for all the subscription and redemption transactions If you select the Multi Transaction option then the system will link all the transactions to one reference number For instance you can capture multiple transactions as follows Outflows e Redeem 1000 units from F1 as R1 e Redeem 5000 USD from F2 as R2 e Redeem 50 from F3 as R3 Inflows e Invest 30 into F4 as S1 e Invest 1000 USD to F5 as S2 e Invest remaining into F6 as S3 All these transactions will be linked to one wrapper reference number Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Fund Name The name of the fund is displayed ISIN Code Specify the ISIN code Payment Mode Select the mode of payment from the drop down list The following are the options available e Cash e Cheque e Money Transfer e Multi Payment Source ID Select the source through which the transactions are routed Remarks You can specify any remarks for the transactions These details are defaulted for all the transactions that you enter through the bulk transaction entry oper
363. made are reflected in the UH Portfolio Readjustment Summary screen 5 15 3 3 Viewing Readjustment Portfolio To view a record that you have previously entered you must retrieve the same in the UH Portfolio Readjustment Summary screen as follows Invoke the UH Portfolio Readjustment Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved aeg ORACLE The readjustment ID in the Re Adjustment ID field If you choose the blank space then all the records are retrieved The Readjustment status in the Re Adjustment Status field e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The UH Portfolio Readjustment Detail screen is displayed in the view mode 5 15 3 4 Deleting Readjustment Portfolio You can delete only unauthorized r
364. mary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified e Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The FCIS Bulk Transaction Detail screen is displayed e Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Bulk Transaction Detail screen is closed and the changes made are reflected in the FCIS Bulk Transaction Summary screen Viewing FCIS Bulk Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Bulk Transaction Summary screen as follows e Invoke the FCIS Bulk Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the scr
365. me load override 2 Campaign code 3 Unit holder deal 4 Load 1 being the highest priority and 4 being the lowest priority If the campaign load is a multiple slab base applicable return value for the transaction amount will be considered Completion Date The date on which the transaction is completed is displayed here acts ORACLE Specify the Certificate Options if any 1 If the unit holder has requested switching of a portion of the issued balance then choose Yes in the From Issued Balance field If the unit holder has requested switching of a portion of the un issued balance then choose No 2 Ifthe unit holder has requested switching of a portion of the issued balance select either the Single or Multiple option in the first Number of Certificates field 3 Ifthe fund being switched to is a Certificate Option fund and the unit holder has requested certificates in the fund then select Yes in the To Certificate Required field 4 Specify whether the unit holder has requested for a single certificate or multiple certificates in the switch to fund by choosing the appropriate option in the To Number of Certificates field 5 Incase of partial outflow the last certificate is partially redeemed indicate whether system should generate certificates for spill over units in the Generate Certificates for Spillover field Specify the Transaction Mode Value and Currency
366. ment Specify Broker Details 1 Alternatively the following information may also need to be captured before you save a split transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent 3 You can now save the transaction FCIS Split Transaction Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Split Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Split Transaction Summary screen by typing UTSTXNO9 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Transaction Number e Fund ID e Unit Holder ID e Transaction Type Arig ORACLE e Transaction Mode e Transaction
367. mmary menu You can invoke this screen by typing UTSUHDEL in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Unitholder Deal Summary Authorized Open Unit Holder CIF Number H Apply At CIF Level Apply Deal At Not Selected v Load ID Advanced Search Records perpage 15 v 1 of 1 Authorized Open Status DealTransactionNumber UnitHolder ClF Number FirstName Apply AtCIF Level 2 2 3 Retrieving Deals for Investors You can retrieve a previously entered record in the Unitholder Deal Summary screen as follows e Specify any or all of the following details in the Unitholder Deal Summary screen e The status of the record in the Authorized field If you choose the Blank Space option then all the record that involves the specified unit holder are retrieved e The status of the record in the Open field If you choose the Blank Space option then all the records that involve the specified unit holder are retrieved e The Unit Holder CIF Number e The Apply At CIF Level e The Apply Deal At e The Load ID Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner Aar ORACLE Press F7 Input the Load
368. mode in which the transaction is being requested An investor can choose to transact using a specific amount or a certain number of units held or a percentage of the units held Accordingly select the appropriate option For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed the mode of the transaction is considered by default to be amount It cannot be changed For redemption transactions involving scrip based and Certificate option funds you can choose to transact using a specific amount Fee Calculation Basis Optional Specify whether the transaction fee should be computed in terms of the fund base currency or the transaction currency If the Fee currency is based on transaction currency then the load amount will be calculated in terms of the transaction currency and all Fund Base Currency equivalents for Settlement ail ORACLE Amount Net Amount and Gross Amount will be calculated after converting the FBC equivalent from Amount in Transaction Currency This option will be displayed only if the fee computation in terms of the transaction currency is allowed for the fund involved in the transaction This option is applicable only for IPO subscription subscription redemption and switch transactions Gross or Net Alphanumeric Mandatory Specify whether the value of the transaction is to be considered as a gross value from which the l
369. mpleted the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check the Tax Document option 4 Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option Ms ORACLE 4 6 30 4 6 30 1 Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify additional information if necessary Click on the Transaction Add Info button to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the seg
370. n Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The Standing Instructions Detail screen is displayed Select Authorize operation from Action When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Standing Instruction After a Standing Instructions record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization e Invoke the Standing Instructions Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend only authorized records e Specify any or all of the details of the Standing Instructions in the screen All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Standing Instructions Detail screen is displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save the changes Changes during amendment During an amendment you can change
371. n All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen e Select the adjustment transaction type that you want to modify in the list of displayed transactions in the lower portion of the screen e The Adjustment Transaction Detail screen is opened by double clicking on the selected row with the selected transaction displayed e To modify the record you can select the Unlock operation form the drop down Actions List You can modify the required details for an unauthorized transaction e The date e The reference number e The unit holder including the To Client Information in the case of transfer transactions Accordingly modify the necessary information and click the Save button to save your changes The Transaction Detail screen is closed and the changes made are reflected in the Transaction Summary screen Viewing Transaction To view a transaction that you have previously entered you must retrieve the same in the Adjustment Transaction Summary screen as follows e From the main menu invoke the Transaction menu Select adjustment transaction type and choose the Summary option The Adjustment Transaction Summary screen is opened e Inthe Authorized field select the status of the adjustment transaction that you want to retrieve for viewing You can view records of transactions that are ae ORACLE 6 2 4 6 2 5 Unauthorized Authori
372. n Mode field Specify any remarks for the transaction in the Remarks field Override Fee if necessary and specify Fee Payment Details If a transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section Specify the Certificate Details In the Certificate Details section you must specify the numbers of previously blocked certificates that are being unblocked if any If partial unblocking has been requested from any of the blocked certificates check the Partial check box against that certificate in the Certificate Details section KYC Details Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received If the investor has not completed the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check the Tax Document opt
373. n redemption and pseudo switch the system will use the spot FX rate where the FX Value date FX deal date and the Transaction date are the same FX Value Date Date Optional The system will display the settlement date in this field For subscription transactions the date will be inclusive of the maximum clearing period for the instrument based on the actual calendar and taking into account TBC holidays For multi payment transactions the settlement date would be inclusive of the maximum clearing period of all the instruments supported in the transactions For redemption transactions the date derived will include the payment lag based on the payment lag calendar basis and after taking into account TBC holidays You can override this value if required Note If the client country parameter FORWARD_FX_RATE is set as false the system will allow only the application date as the FX value date If the system derived FX deal date is greater than the date derived by the system as the FX Value Date or specified by you after overriding the default value the system will default the FX Deal Date here on ORACLE Communication Mode Alphanumeric Optional Specify the mode through which the transaction request was communicated This could either be Direct or Telephone For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed you must speci
374. n received from the investor along with the date on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated 3 If the document submitted is a tax document then check the Tax Document option 4 Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default In the case of a pseudo switch if the UH is KYC non compliant at the time of saving the transaction the system allows the transaction to be saved but holds back the redemption payment Additionally if the pseudo switch is partial the system displays a warning message which you can override The transaction is marked complete only on the UH complying with the KYC requirements The subscription leg of the Pseudo Switch is generated only when redemption transaction is marked as completed The confirmation date of the redemption transaction will be treated as the transaction date for the subscription UH Deals 1 Click on the UH Deals button to view the details of all the deals set up for the unit holder Enter the relevant search criteria in the Find Options screen The system will dis
375. n the Transaction Currency field You can now save the transaction A summary screen will appear showing all the details of the transaction along with defaults and transaction number Refer the session above to know more about the validation of these fields aot ORACLE 4 6 20 4 6 20 1 FCIS Transaction Switch Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Transaction Switch Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Transaction Switch Summary screen by typing UTSTXNO04 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Transaction Number e Fund ID e Unit Holder ID e Transaction Type e Transaction Mode e Transaction Date e Payment Mode e Ref Type e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record de
376. n the specified rule effective date e Any blocked or pledged transaction If any of the above mentioned checks fail system will not allow you to save and authorize the transfer System will also verify if any balance is available in any of the funds involved in the transfer If not system will not allow you to save or authorize the transfer Channel Transfer will be effective on confirmation of the Authorised channel transfer through the RTA Summary screen RTA Transfers Summary Screen After you have all the mandatory RTA Transfer in and out details you can views the details of the RTA Transfers using the RTA Transfers Summary screen You can invoke this screen ea ORACLE by typing UTSRTAIO in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS RTA Transfer Summary Authorized Open Reference Number aJ Transaction Type CIF a Unit Holder ID Advanced Search Records per page 15 v 184 Authorized Open Reference Number RTA Channel Transaction Type CIF Unit Holder ID Transfer Branch C The RTA transfer details maintained must be authorized by another user You can use the FCIS RTA Transfer Summary screen to perform the following operations 5 17 1 1 Retrieving RTA Transfer Details You can retrieve a previously entered RTA transfer details as follows Invoke the FCIS RTA Transfer Summary screen from the Browser Specify any or
377. n to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The GO Reconciliation Detail screen is displayed in the view mode 5 10 2 3 Editing Global Order Reconciliation Record You can modify the Global Order Reconciliation details that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the GO Reconciliation Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria one ORACLE The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The Fund ID in the Fund ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The GO
378. n which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated 3 If the document submitted is a tax document then check the Tax Document option 4 The system checks if the current transaction is an initial purchase or a subsequent one based on the actual transactions carried out by the UH In the case of a subsequent purchase if the UH is KYC non compliant the system displays a warning message which you can override while saving the transaction 5 If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the documents as submitted by default Specify add info if necessary Click on the Add Info Section to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment 1 Alternatively the following information may also need to be captured before you save a subscription transaction You can capture this information by clicking the respective sections 2 Inthe Intermediary section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum u
379. nance Record Apart from the maker someone else must authorize an unauthorized global order record deal in the system for it to be processed To authorize a record e Invoke the Global Order Maintenance Summary screen from the Browser e The status of the transaction in the Authorized field Choose the Unauthorized status e Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Select the Authorization operation from the Action list to authorize the selected record 5 8 2 6 Amending Global Order Maintenance Record After a global order record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization e Invoke the Global Order Maintenance Summary screen from the Browser e Select the status of the transaction that you wish to retrieve for amendment You can only amend only authorized records e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Global Order Maintenance Detail screen is displayed in the amendment mode Click the Unlock operation from the Action list to amend the record 5 8 2 7 Copying Global Order Maintenance Record To create a
380. nauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Alternatively the following information may also need to be captured before you save an IPO transaction In the Intermediary section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent In the Settlement Details under Transaction Section you may need to capture the payment details for the transaction In the Load Override section you may need to override an allocation frequency charge or load There are three options available for such overrides Discount Return Value and Increase Discount will reduce the slab value by the specified percent amount for all slabs Increase will increase the slab value by the specified percent amount for all slabs Return Value will change the return value for all the slabs to the specified percent amount In the Certificate Details section you may need to alter the minimum and maximum denominations An override of these specifications is possible if it is allowed as designated in the fund rules In the Document Details section you may need to capture the document id of the unit holder You can either enter the document id or choose the same from the option list provided This sec
381. ncy are defaulted Payment Details for Mode of Payment as Check Credit Card Debit Card or Draft and for Mode of Payment as Multi Payment Facility with sub mode of payment as Check Credit Card Debit Card or Draft Capture the following details if the mode of payment chosen is check credit card debit card or demand draft oe ORACLE Payment Type Alphanumeric Mandatory The payment type refers to whether the payment is being made by the unit holder who has requested for the transaction or by an external third party Accordingly select self if the unit holder is making the payment and select third party if the payment is being made by an external party other than the unit holder Drawee Branch Alphanumeric Mandatory Specify the name of the bank where the payment instrument is drawn if the mode of payment is Check Credit Card Debit Card or Draft Drawee Branch Alphanumeric Mandatory Specify the branch of the selected bank where the payment is drawn if the mode of payment is Check or Draft Check Number Card Number Draft Number 16 Characters Maximum Alphanumeric Optional Specify the number of the payment instrument the check the credit debit card or the demand draft Check Date Draft Date Date dd mm yyyy Optional Specify the date on which the check or demand draft is drawn Card Reference Number Alphanumeric Optional In the case of payment by credit card or debit card specify the refe
382. nd investing this redeemed capital in the other desired fund This kind of exchange or switch is called a switch transaction In the system a switch transaction is processed as two separate transactions the first involving a redemption from the first fund and the second involving a subscription to the second fund The switching facility in the system provides for switching either between funds in the same fund family or between any two funds of the AMC Switching within the same fund is defined as Bed and Breakfast switch the Switch from fund and the Switch to fund in a switch transaction is same Transfer An investor may choose to transfer ownership of holdings in any fund to another investor This kind of a transfer of ownership is called a transfer transaction A transfer transaction is different from a switch transaction in the sense that in a transfer transaction the fund remains the same whereas the unit holder changes Block Unblock Typically when lien is noted in respect of an investor s holdings in a fund either in part or entirely the concerned units are said to be blocked These blocked units are subsequently and temporarily unavailable to the investor for further transacting Blocking of units could also occur due to any reason other than lien noting The process of blocking units is called a block transaction To release the blocked units for further transacting the investor must unblock
383. nected loads if the From Entity of the one is the same as the To Entity of the other After you exercise a Load Override in this screen and attempt to save the override record the system flashes a warning message if the concerned load is an interconnected one The message also displays the transaction number and the connected loads If you choose Yes in this message box these changes will be reflected during allocation of the transaction e Once a load override is saved in this screen it is removed from the view list To retrieve it you must specify the search criteria again e Ifthe original load is a percentage based load and is loaded to price the original load amount displayed is a per unit figure The following illustration will make this clear Let us suppose that the Transaction Price is 10 and the load percentage is 5 The amount displayed is as follows 5 of 10 0 5 per unit If the load is not loaded to price then the actual load amount is displayed here Considering the same example above If the transaction amount is 1000 currency units and the load percentage is 5 with the load not loaded to price the load amount displayed is as follows 5 of 1000 50 currency units Forcing Recalculation When you open the load override screen for the first time i e before any load overrides have been performed and retrieve some load records the computed load amounts are not displayed in the Amount Return Value fields in the
384. ned The validation fails if the n number of days is specified as zero oe ORACLE 4 6 28 1 4 6 29 For From and To Funds for Switch Transactions Maintaining Parameter Code for Displaying Warning Messages You need to maintain the parameter code DUPWARNINGLAG and the number of days as the Parameter Value in the Parameter Setup screen Refer to the chapter Maintaining System Parameters in Volume 1 of Fund Manager User Manual for further details on maintaining the parameters Entering and Saving Split Transactions To enter a split transaction request into the system perform the following sequence of steps Navigate to the Split Transaction Detail screen Invoke the FCIS Split Transaction Detail screen by typing UTDTXNO9 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for Split transactions is displayed with all the default information FCIS Split Transaction Detail D New 9 Enter Query Client Information Transaction Information Transaction Value Fund ID Unit Holder ID Transaction Date Transaction Number Reference Number Transaction Currency Currency Name Transaction Mode Units Amount Applied Units Applied Percent Applied Find UH Enrich Transaction EBB intermediary kyc Details Add Info Certificates Client Information Unit Holder Name CIF Number Fun
385. ned from the issued balances and No to indicate that it must be reckoned from the non issued balances The issued balances are the portions of the unit holder s balance for which certificates have been issued The non issued balance is that portion for which certificates have not been issued The unit holder can choose to enter into transactions other than IPO and subscription using either portion of the balance but not both in a single transaction If you select the option Both and the selected unitholder has requested certificates system will first try to redeem all the units from the certificates provided If units in excess of the certificates provided are to be redeemed system will first redeem the scrip less holdings using FIFO logic In such cases during transaction entry system will check whether the unit holder has sufficient scrip less certificate balance to process the redemption transaction The following example illustrates this a0 ORACLE Case 1 Assume that a unitholder has 1000 certificate balance and 1000 scrip less balance During redemption entry the investor specifies 1200 units to be redeemed and provides certificates worth 800 units then system will redeem 800 units from the scrip based holdings and the remaining 400 from scrip less holdings Case 2 Assume that the unitholder has 1000 certificate balance and 1000 scrip less balance During redemption entry the investor specifies 1400 units to b
386. neeeteeeeeaes 5 91 Viewing Global Order Status aeessseesssrreeserrrasersnnnesstennnearinnnenetennaatnnneasnnennennnaa 5 95 5 12 1 Retrieving Global Order Status Record ccccccceeeeeeeeetntteeeeetnneeeetennae 5 95 9 12 2 Maintaining ISA TransterF stius iniiaiee nini eiai 5 96 5 12 3 Specifying ISA TANS OT rritar srrart eri Enr ETEA EEEE EERE REE 5 98 3 12 4 Validating ISA TranSa ctiOns sssireiisirerriiioiriietiiiriinii setii ieie irris 5 100 9 12 5 Viewing ISA TONS TET ire aE AAE E TA OEA 5 101 5 13 Voiding ISA DetallS eniris ereader ey et iiie iae diaii ani Pei 5 104 5 13 1 Specifying Void Detalls srs masies riei ay eahan iiias eniri is s rani heaks deat ERARA Eai in 5 105 9 13 2 Validating ISA Voidness tidien riai aE C E AE aiii Eia 5 106 9 13 3 Viewing Void DAA oeren rener O OEO E E E 5 108 5 14 Intra day Checks for TransactionS eeeeeeeeeeeeeeeereessererrsstttrrrsstttrrsstrnrreseren ns 5 111 a141 Folds IN THIS SCO GN iss s a EE E E EN 5 112 5 14 2 Pre EOD Check for Intra day Transaction Validation cccceeeeee 5 112 5 14 3 Intra day Check Example 0 0 seccceccccteceeee eee teeeneeeeteeeeeeeeeeenesaeeeeeeeenaees 5 112 5 15 Readjusting Unit Holder Portfolio ce ceceeceeeeeneeeeeeeenceeeeeeeeaeeeeeeeeneeeeeeeaas 5 113 5 15 1 Fields in the Readjustment of UH Portfolio Screen cece 5 114 5 15 2 Processing Readjustment PortfOliOS cccccccssseeteeesseeeeeteeseeeeeneenaees 5 117 5 15 3 U
387. neerrnnnrsrrnnnererrrenrrrnnnnnnernnnnne 5 57 Transaction Load Override sssi rsrdidirsrn ders retatik EuR ae TATTA AAT AEST ka TERT 5 58 5 7 1 Overriding loads in Transaction Load Override SCree n ccccceeeee 5 59 9 7 2 Forcing ROCalCulation sssaaa a a a aia a AAA i TER 5 60 9 7 3 Fields in Transaction Load Override Detail screen eeiisseeeeeeneeeeenn 5 61 Global Ord eh raria EAEE AE NOE 5 65 5 8 1 Fields in the GO Maintenance Detail Screen cccccceteeteeeeetteeteeeeenaee 5 66 5 8 2 Viewing Global Oder cccceceecceeceenneeeeeeennneeeeeeenaeeeeessneeeeeeeenaeeteseeaaaes 5 68 Global Order Confirmation sssssssessssneessnnsnsesinnessnnnneasrinnnasnnnnandnnnnaneannnnnaannnnaae 5 72 5 9 1 Fields in the GO Confirmation Detail SCr N 0 cece teeeeeeetnnteeeeeeeee 5 73 5 9 2 Viewing Global Order Confirmation Details 00 c cccccccseieeeeeesteteeeeeees 5 76 Maintaining GO Reconciliation Details 0 0 00 eeeeeee eee eeeeeeeeeeeeeeaeeeeeeenaeeees 5 79 5 10 1 Fields in the GO Reconciliation Detail SCr N ccccccceieceeeenteteeeeenaee 5 80 5 10 2 Viewing Global Order Reconciliation Details 0 cccccccccceeeeteeeeenteeeeeeeee 5 84 Maintaining Global Order Settlement Details 2 0 0 0 ccc eceeteeeeeeteeeeeeeettteeeeeeeee 5 87 5 11 1 Fields in the GO Settlement Detail Screen esssssnssrinnnrrirrnnerernnnernnnna 5 88 5 11 2 Viewing Global Order Settlement Details 0 0 ccccccceccsteteeeeee
388. new record with details similar to a previously created record refer to the following steps e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria n ORACLE The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete The Global Order Maintenance Detail screen is displayed Click Copy from the action list in the Details screen to create a new record with the same details 5 8 2 8 Closing Global Order Maintenance Record 5 9 To close an authorized record refer to the following steps Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for
389. nfirmed Price Alphanumeric 8 Characters Optional Specify the Global Order confirmed price The system will consider the confirmation price received against a GO as the fund price for the GO confirmation date GO Price Date Display The system displays the Global Order price date Remarks Alphanumeric 255 Characters Mandatory Specify remarks if any The GO Confirmation Detail screen will support all messages received via Swift Messages and will be enabled for any manual confirmation If no confirmation is received from the fund house then GO will not be reversed however it will reflect GO status as Pending Confirmation in GO Confirmation Detail screen The system will run the pre EOD batch to check if all GOs generated for the day have been confirmed The batch will also include unconfirmed GOs for back dated Only if GO is confirmed the underlying trades will be allotted ae ORACLE 5 9 2 5 9 2 1 Viewing Global Order Confirmation Details You can view Global Order Confirmation details using GO Confirmation Summary screen To invoke this screen type UTSGOCNF in the field at the top right corner of the Application tool bar a nd clicking on the adjoining arrow button to perform the following operations Global Order Confirmation Summary X amp Search Advanced Search 5 Reset gA Clear All Search Is Case Sensitive Authorized x Open x GO Number az G
390. ng amendment of an authorized standing instruction in this screen you can change the status of the record You can e Pause an active instruction by changing the status from Active to Paused in the Instruction Status field In such a case all future processing in respect of the instruction will be held back and not put through till further notice e Cancel an active instruction by changing the status from Active to Cancelled in the Instruction Status field In such a case the instruction is deemed as annulled and future processing and scheduling for the same is stopped indefinitely Once you cancel an active instruction you cannot make it active again e Re activate a paused instruction by changing the status from Paused to Active in the Instruction Status field When you do so processing for the instruction will begin again Authorizing Amended Standing Instruction An amended Standing Instructions record must be authorized for the amendment to be made effective in the system The authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions Plan Maintenance Templates are particularly useful when you are entering standing instructions for multiple funds with the same characteristics for a unit holder wherein options and rules are applicable to all funds belonging to the investor Use the Plan Main
391. ng arrow button and specify any or all of the following details in the corresponding details The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved Transaction Number Reference Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 d ORACLE You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc Search by 17
392. nged Fund ID Select the fund for which the amount needs to be blocked from the list which displays all the funds for which amount blocking is allowed Fund Name Display Explanation required from Dev Testing Team ISIN Code Specify the ISIN code for the fund where the amount needs to be blocked from the list which displays all the funds for which amount blocking is allowed Transaction Currency Alphanumeric Mandatory When you specify the unit holder number in the Unit Holder field the preferred currency of the unit holder is displayed here This will be deemed as the transacting currency by default You can always change it when you are entering a new amount unblock transaction 6 21 ORACLE Fund ID Alphanumeric Optional This field is only applicable for amount unblock transactions and is not visible in the case of amount block transactions Specify the fund from which units must be redeemed if any for the selected unit holder when you initiate the amount unblock transaction You will be allowed to specify only one fund here You must specify a fund in which the unit holder will possess holdings to the extent of the unblocked amount after the unblock transaction has been allocated Refer the second example given at the beginning of this section for a detailed scenario If you do not specify any fund in this field then no redemption will take place in any fund against the unblocked amount Refer to the section
393. nimum transaction amount or minimum number of shares specified for the selected transaction type in the Transaction Processing Rules profile for the fund e It must be less than the maximum transaction amount or maximum number of shares specified for the selected transaction type in the Transaction Processing Rules profile for the fund e It must be factorable by the step amount range or the step units range specified for the selected transaction type in the Transaction Processing Rules profile for the fund e For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed the transaction amount that you specify here must fall within the minimum and maximum limits specified in the fund rules for such transactions op ORACLE For example If the step amount is 10 and the minimum amount is 100 the allowable values are 100 110 120 etc For transactions by gross amount a transaction value that exceeds the Minimum Amount for Tax ID that has been specified in the fund rules the system validates the availability of the PAN Number in the unit holder account profile If the PAN Number has not been specified in the profile you must enter a transaction value that does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction Amount in Fund Base Currency Displ
394. nk in the Transaction input screen You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment The information heads that you maintain are user defined Note The Additional Information section allows you to capture valuation data and has no pro cessing implications Mandatory Information for All Transaction Types The transactions input detailed screen consists of the following sections e Client Information e Transaction Information e Broker Details e Payment Details e Fee Details e Certificate Details e Load Override Details e Allocation Details e Document Details The mandatory information you need to supply before saving the transaction is given below as under each section This is applicable to all transaction types Client Information Section e The CIF Number for the investor or if this is not known the investor number or Unit Holder ID in the Investor field e The Unit Holder ID for non CIF investors Transaction Information Section e The date of the transaction in the Transaction Date field If you are entering a backdated transaction the date must be within the backdating limits specified for the fund in the Transaction Processing Rules e The fund in which the transaction was requested in the Fund field You must also specify the ISIN Code of the fund in the ISIN Code field e The desired mode for the t
395. nk where the cheque is drawn from the drop down list Drawee Branch Alphanumeric Mandatory Select the branch of the selected bank where the cheque is drawn Cheque Number Specify the number of the cheque Cheque Date Date dd mm yyyy Mandatory Specify the date on which the cheque is drawn Cheque Currency Display The date on which the cheque is drawn is displayed here Cheque Amount Display The amount for which the cheque is drawn is displayed here Cheque Status Indicate the status of the Cheque In the New mode only Active status will be allowed MICR Code Alphanumeric Mandatory Enter the MICR code of the cheque In the Amend mode system will display all Cheque Dividend Payments which are not cleared along with details like Cheque number and Cheque Date If you want to re issue a cheque check the option Duplicate In such cases you need to specify the new cheque number cheque date and status of the previous cheque must be specified For dividend cheques date can not be less than the dividend payment date Once a status of Cheque record is marked as CLEARED or REINVESTMENT you cannot amend this record To Sense ORACLE invoke this screen type UTSCHQTR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Cheque Tracking Summary Authorized Open Type of Transaction Transaction Number Fund ID P Payment Number Unit Holder
396. not received on any date the system will show all the transactions with confirmation related columns as BLANK and the Confirmation Status field will show the following message Confirmation message pending 5 10 2 Viewing Global Order Reconciliation Details You can view Global Order Confirmation details using GO Reconciliation Summary screen To invoke this screen type UTSGORCN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button amp Search oq Advanced Search Reset EY Clear All Search Is Case Sensitive Authorized x Open GO Number Price Date Transaction Type AMC ID Fund ID Transaction Mode GO Status Records per page EA 1of1 Authorized Open GO Number Price Date Transaction Type AMC ID Fund ID Transaction Mode GO Status 5 10 2 1 Retrieving Global Order Reconciliation Record You can retrieve a previously entered Global Order Reconciliation Details as follows e Invoke the GO Reconciliation Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved 304 ORACLE
397. ns available e Normal Switch e Psuedo Switch 4 80 ORACLE e Cash Management Account Switch e Bed and Breakfast Switch Note For a Switch From transaction type you cannot opt the Bed and Breakfast Switch sub type Fund Id Mandatory Alphanumeric Specify the fund id for which the requested transaction is to be put through from the option list in the Fund ID field To Fund Id Mandatory Alphanumeric Specify the fund to which the unit holder wishes to switch the investment in the To Fund ID field Transaction Mode Optional Alphanumeric Select the mode in which the transaction value will be reckoned in the Transaction Mode field Note Transaction Mode will be enabled for only Pseudo switch transactions Transaction Value Mandatory Alphanumeric Specify the valid value of the transaction in the Transaction Value field Transaction Date Mandatory Date format By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration The date displayed here can be altered if required and you can specify the requisite settlement date Mode of Transaction Mandatory Alphanumeric Select the mode in which the payment for the transaction will be made in the Mode of Payment field Transaction Currency Mandatory currency Specify the currency in which the amount value for the transaction will be reckoned i
398. nsideration several conditions You can modify the same If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance Note This field is enabled only if you select a fund for which you have indicated forward pricing is applicable Refer the chapter Other Fund Activities for more details on maintaining alternate trade cycles for a fund Price Basis for From Fund For Switch Transactions Only Alphanumeric Mandatory The default price basis defined in the Distributor Price Basis Setup if any for the from fund transaction type distributor and investment account type involved in the transaction is displayed in this field If no price basis has been maintained in the Distributor Price Basis Setup the default price basis specified for the from fund and transaction type for the transaction from the fund rules is displayed here You can override the default when you enter the transaction Price Basis for To Fund For Switch Transactions only Alphanumeric Mandatory The default price basis defined in the Distributor Price Basis Setup if any for the to fund transaction type distributor and investment account type involved in the transaction is displayed in this field If no price basis has been maintained in the D
399. nstructions given for the transactions e Details of any escalation for the standing instruction e Details of any payment made for the processing of standing instructions The Standing Instructions Other Details screen is opened when you click this link Transaction Details In this section specify the details of any transactions that would result when the standing instruction is processed in the system Transaction Type Mandatory From the list select the type of transaction that must be generated when the standing instruction is processed Standing instructions can be processed for the following transaction types IPO Subscription Redemption Switch From and Transfer If you select the option Switch From the following fields will be displayed e To Fund ID e TOISIN e Phase In e Phase In Type These fields have been explained later in this User Manual Note If you have chosen Plan Level as the SI level then the transaction type is defaulted as Subscription You will not be allowed to change this Transaction Currency Alphanumeric Mandatory From the list select the currency in which the transactions generated in respect of the standing instruction will be processed In case the unit holder does not have an account for the transaction currency you can choose the multi currency account in SI Bank Details screen if the mode of payment is Transfer and payment type is Self Gross
400. nt a A pi NS A gi Process the row as A Iprreemts offline lt A n comsobdathion case N Is Folio in FCES eS a present forthe Ak N Fobo Pa A e AA E _ Is PANSALFobo TI w AAAA Ho a Units combination NS ge N present A a a Existing Fobo e kes ia i Fobo in fik AAAA N e i e N A n ai Yes Yes 3 4 Jf Tanet Folio for f Target Folio for F wietine Paitin processing Folio FA of thas record A N N ee Is PINSALF obo N Target Fobos TI ag Units combinat jon pe A present Mark TI PD rows to Not pe to process as a Process P N row amd mark TI PO rows to Not to process Only Consolidation This is a case where the unit holder has invested in an IPO fund of an AMC and later subscribed into another fund of the same AMC The folio number is allocated to the user after subscription confirmation the RTA however allocates a new folio for the IPO subscription In this case a consolidation of folio is required Note No Transfer In type of record would be available in this case as it is just a consolidation of the folio numbers arag ORACLE The flow chart below illustrates the above logic Get all P D type of transactions that are not marked as Not to Process Is Folio in FCIS present forthe Alt Folio Target Folio for processing Existing Folio
401. nt Applied Percent Applied Payment Mode Select One Enrich Transaction UH amp Fund REE Other Intermediary Load Override KYC amp Document Add Into Fee Payment Certificate Limit Order Gross or Net Gross Delivery Option Investment Account Communication Mode Direct In Person Exchange Rate Details Source ID Exchange Rate Applied Amount Applied Override Exchange Rate No FX Deal Date FX Value Date interest Details Interest FBC Interest Settlement Details Receipt Details Project Allocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime utes Unauthorized 1 Specify the net value exclusive of the loads in the Gross or Net field 2 Specify the value of the transaction in the Transaction Value field This value will be validated against the minimum maximum and step values specified for IPO transactions in the Transaction Processing Rules for the fund It is also validated against the amount units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits For transactions by gross amount a transaction value that exceeds the Minimum Amount for Tax ID that has been specified in the fund rules the system validates the availability of the PAN Number in the unit holder account profile If the PAN Numbe
402. nt for the subscription transaction will always be by cash and the redemption transaction settlement will be based on the settlement details you have maintained Reversing multiple transactions is not allowed from the FCIS Bulk Transaction screen However you can reverse the individual transaction from online transaction screen You can modify the individual linked transaction using the online transaction screen In this case the system will display a warning message indicating the transaction is a linked transaction On saving the multi transaction if any transaction fails the system will display an error message However it saves the remaining transactions You can correct the failed transactions and save it again Processing Dilution Levy The Inflow breach factor for IN transactions and Outflow breach factor for OUT transactions are considered for arriving at the fund inflow outflow dilution levy breach limit Fund Corpus Inflow Outflow Breach Factor lt Net Amount in FBC for the day For validating the dilution limit breach a project allocation is done with the available price for the transaction and thereby the net amount of that transaction is calculated oa ORACLE Dilution levy is validated against the gross transaction amount If gross transaction amount is is greater than the dilution levy breach limit then a warning message is displayed by the system as follows The transaction exceeds the
403. number of units applied for by the unit holder in the adjustment transaction oA ORACLE Price Details Numeric Mandatory Specify the details of the price to be applied for this adjustment transaction It will be reckoned to be in the Fund Base Currency Amount Numeric Optional When you specify the units applied and the adjustment price the system computes the adjustment transaction amount and displays it in this field Amount in Fund Base Currency Display Only When you specify an amount as the transaction value the system computes the equivalent of the same in the base currency of the selected fund and displays it here Exchange Rate Source Alphanumeric Mandatory Select the exchange rate source from which the exchange rates are to be derived for the adjustment transaction The default source for the AMC is displayed here from the Defaults Maintenance Override Exchange Rate 1 Character Maximum Boolean Mandatory Select Yes if you want to override the computed exchange rate Calculate link for Exchange Rate Calculation To compute the exchange rate that will be applied for the adjustment transaction click Calculate button The system computes the exchange rate and displays it in the Exchange Rate Applied field Exchange Rate Applied Numeric Mandatory The actual exchange rate applied is computed by the system using the transaction currency fund base currency and the value of the adjustment transac
404. nvestor s subscription is made after the initial IPO Period the resulting transaction is known plainly as a subscription transaction and the unit price for these transactions will vary on a fixed frequency basis depending upon the prevalent net asset value of the fund Redemption When an investor decides to pull investment out of a fund or disinvest in a fund the units held by the investor are sold back to the fund redeemed at the prevalent Net Asset Value on the date of sale This kind of a transaction is known as a redemption transaction An investor can redeem all the holdings complete redemption or part of the holdings partial redemption While redeeming or selling back units to the fund the investor recovers the value of the holdings in the fund at that given point in time It also means that the fund buys back its units from the investor An investor can redeem a specified number of units or a specified amount or a specified percentage of the holdings in any fund The fund may also prompt the investor to partially redeem the holdings under the following circumstances e The minimum registered capital has fallen below the minimum limit defined for the fund in the fund rules In such a case the redemption transaction is not allocated at all e The fund investor category limit falling down to the minimum limit defined for the fund in the fund rules Partial redemption may also occur due to other prevailing ci
405. nvestor then specify if the present transaction is to be deemed and processed as a Letter of Intent transaction This specification is only applicable for LOI unit holders that are transacting in a fund ina group for which LOI is deemed as allowed This specification is only applicable for LOI unit holders that are transacting in a fund ina group for which LOI is deemed as allowed Specify the Price Basis Specify the price basis for IPO transactions for the fund distributor and investment account type for the transaction This information is defaulted for the combination either from the Distributor Price Basis Setup if maintained or from the fund rules for the selected fund and transaction type You can override the default if required KIID Received Optional Select if IPO subscription is KIID complaint or not from the drop down list Following are the option available in the drop down list e Blank e Yes e No The system will default the KIID compliant at the transaction level upon the selection of the Unitholder and Fund in the transaction screens If the UCITS Fund at the Fund level is Yes and the UH mapping to the Fund in the UH KIID Compliance tab is NO then at the transaction level the system will default the KIID Complaint to No The other combinations is as follows UCITS Fund Yes No UH Mapping at the KIID KIID Complaint at Txn level will Complianc
406. o S Transaction Category Seet w Pi it Appli TO Find UH e Enrich Transaction Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Client Information To Client Information CIF Number To CIF Number Unit Holder Name To UHName Fund Details Exchange Details Fund Base Currency Amount in Fund Base ISIN No Serene Exchange Rate Applied Override Exchange Rate Yes Calculate Exchange Rate Source az Fund Name Receipt Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime Authorized Cancel Open Specify the Client Information and To Client Information Specify the unit holder that has requested the transaction the transferor unit holder in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder The funds in which the specified unit holder can transact are displayed in the Fund drop down list The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in t
407. oads would be deducted or as a net figure apart from the loads For check redemption transactions which you enter for an investor with check writing facility in a fund for which check writing is allowed the value of the transaction is considered by default as a net figure and it cannot be changed Transaction Currency Alphanumeric Mandatory Select the currency in which the payments for the transaction will be made or accepted The drop down list contains currencies that are valid as transaction currencies for the fund from the Fund Transaction Currency list in the fund rules If the specified unit holder s preferred currency is a valid transaction currency for the fund it is displayed here by default If not the base currency for the selected fund is displayed here by default In either case you can change these default specifications and make your choice from the list Exchange Rate Source Alphanumeric Mandatory Select the exchange rate source from which the exchange rates are to be derived for the transaction The default source for the AMC is displayed here from the Defaults Maintenance Transaction Value Numeric Optional Specify the value of the transaction here You could express this either as a specific amount a specific number of shares or a percentage of shares as applicable If you specify an amount or a number of shares here the value should fall within the following ranges e Itmustbe greater than the mi
408. obal Order Maintenance Summary screen 5 8 2 4 Deleting Global Order Maintenance Record You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the Global Order Maintenance Summary screen from the Browser e Specify any or all of the following details in the screen 30 ORACLE The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The Global Order Maintenance Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 8 2 5 Authorizing Global Order Mainte
409. ocessing will only be available for reversal processing If Tax Credit Reversal has been performed for a payment such payment number will be available for Tax Credit processing again However such payment number will not be available for Tax Credit Reversal processing until such payment is go through Tax Credit processing subsequently On Reversal of Tax Credit the system will place reversal entries for tax credits reinvested and internally track reversal of tax credit payments You should reverse after the paydate with the system treating the reversal of reinvestment transactions and payments in the same way the distribution reversal process does On successful reversal processing if there are dependent transactions like redemptions switch out and transfer out linked to tax credit Reinvestments then such transactions will not be reversed and these details will be logged In case the dividend is reversed before tax credit processing then such dividends will not come for Tax Credit Processing In case dividend is reversed after tax credit processing you will have to reverse the tax credit separately If Dividend is amended then revised dividends will come for Tax credit processing In such case revised Tax amount will come for credit processing for dividend payments and reinvestments If you amend the dividend after tax credit in such case tax credit will to be reversed and reprocessed Dividend Reversals If dividend is reversed afte
410. oduct ID field When you select the product you are indicating to the system that this transaction will affect the used up amount of the non taxable limit set up for the selected unit holder in the Non Tax Limits Setup options The proceeds of the transaction will also be reflected in the system database as non taxable holdings for the investor 3 Select the fund in which the requested transaction is to be put through from the list of values in the Fund Id field Enter the transaction currency If you have selected a fund for which transaction entry charges or allocation charges or both are applicable then the following fields are enabled for data entry e The Fee Details oe ORACLE The Fee Payment Details Section The Load Override Section Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record 4 6 11 2 Transaction Section Specify the Price Basis 1 Specify the price basis for subscription transactions for the fund distributor and investment account type for the transaction This information is defaulted for the combination either from the Distributor Price Basis Setup if maintained or from the fund rules for the selected fund and transaction type You can override the default if required For transactions by gross amount a transaction value that exceeds the Min
411. of the readjustment portfolio that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the UH Portfolio Readjustment Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved The readjustment ID in the Re Adjustment ID field If you choose the blank space then all the records are retrieved The Readjustment status in the Re Adjustment Status field Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The UH Portfolio Readjustment Detail screen is displayed Select Unlock operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The UH Portfolio Readjustment Detail screen is closed and the changes
412. ographics screen is displayed in the Fund Name field 4120 ORACLE If you have selected a certificate option fund the Certificate Details section is enabled If you have selected a fund for which transaction entry are applicable then the following fields are enabled for data entry The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields e The Fee Payment Details Section e The Load Override Section Note Consolidation transactions are only possible in scrip based and certificate option funds In certificate option funds only issued balances may be utilized for consolidation transac tions Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field Specify the Transaction Mode Value and Currency 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder can consolidate certificates of any denomination into a certificate of higher denomination Accordingly choose the Units option No other mode is pos
413. om the investor For information on setting up KYC lists refer the chapter Maintaining Reference Information in Reference Information User manual This feature is only available if your installation has requested for it Entering and Saving IPO Transactions Enter an IPO transaction request into the system in the following sequence of events Navigate to the IPO Subscription Transaction Detail screen Invoke the FCIS IPO Subscription Detail screen by typing UTDTXNO1 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the IPO Subscription transaction FCIS IPO Subscription Detail al Save Transaction Information Transaction Value Fund ID a Transaction Number Transaction Mode AmountLy Unit Holder ID Transaction Currency aZ Units Applied Reference Number Amount Applied Order Received Date Order Received Time Percent Applied HH24 Ml Transaction Date 01 02 2014 E2 Enrich Transaction Transaction Type Payment Mode Select One l Description Transaction Category UH amp Fund Transaction eua Intermediary Load Override KYC amp Document AddInfo Fee Payment Certificate Limit Order Settlement Date Maturity Date E Remarks C A Cancel Instruction Base Cost Auto Clear Provisional S
414. on All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The Standing Instructions Detail screen is displayed in View mode 2 3 4 Deleting Standing Instruction You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the Standing Instructions Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen aoe ORACLE 2 3 5 2 3 6 e Double click the record that you want to delete The Standing Instructions Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Standing Instruction An unauthorized Standing Instructions record must be authorized in the system for it to be processed To authorize a record e Invoke the Standing Instructions Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the Unauthorized option e Specify any or all of the details of the record in the corresponding fields on the scree
415. on You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify Broker Details Override Allocation Loads and Document Details if necessary 1 Alternatively the following information may also need to be captured before you save a transfer transaction Click the Details button to capture this information and then click on the required section button 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent 3 In the Load Override section you may need to override an allocation frequency charge or load There are three options available for such overrides Disc
416. on Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Subscription Transaction Detail screen is closed and the changes made are reflected in the FCIS Subscription Transaction Summary screen 4 6 13 3 Viewing FCIS Subscription Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Subscription Transaction Summary screen as follows Invoke the FCIS Subscription Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Subscription Transaction Detail screen is displayed in View mode 4 6 13 4 Deleting FCIS Subscription Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Subscription Transaction Summary screen from the Browser Select the status of th
417. on Generation batch as part of EOD process While processing multi transactions settlement will take precedence over the subscription transactions to be generated with the exception of settlement of residual Also while doing settlement or while generating subscription the following will be the precedence order e Fixed Units Not applicable for settlement e Fixed Amount For subscription transaction generation both unit and amount takes same priority e Percentage e Residual The system will either create settlement entries or create subscription transactions as per the multiple transactions Once all the redemption transactions are allocated and settled the subscription transactions are generated by a BOD batch If any of the redemption transaction is not allotted then the system will not pick up the entire wrapper transaction for settlement In this case the subscription transaction is also not created Note Each outflow and inflow transactions are saved as separate transactions but against the same wrapper reference number Backdated and future date transactions are allowed only for the out flow transactions The transaction date for the subscription transaction will be the highest settlement date of the redemption transactions The settlement details entered at the individual transaction level will be overridden by the settlement details maintained at the multi transaction level Settleme
418. on from the drop down list e To retrieve the adjustment transaction that is to be deleted specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All adjustment transactions with the specified details are retrieved and displayed in the lower portion of the screen e Select the transaction that you want to delete in the list of displayed transactions in the lower portion of the screen e The Adjustment Transaction Detail screen is opened by double clicking on the selected row in view mode with the selected transaction displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Adjustment Transactions When you authorize an adjustment transaction it not only acquires the Authorized record status but it also becomes an allotted transaction The number of units applied is allotted with no processing for the load amounts For instance if an adjustment subscription transaction is entered for a unit holder in a fund as follows Units applied 1000 Adjustment price 20 USD 6 15 ORACLE 6 2 6 Transaction amount 20000 USD Load amounts 15 When you authorize this transaction it is allocated immediately as follows Units allocated 1000 Units confirmed 1000 Load amounts 15 No processing is done for the load am
419. on is reversed or cancelled utilized amount will be reset If a transaction is breaching ISA limit maintained at account type level then the system will display a warning message Gross amount in Fund base currency will be used to validate the amount limit breach For user entered transaction there will be online check if the transaction amount is breaching the limit For unit based transactions the system will use the latest available NAV to calculate the amount In case of cross currency transactions latest exchange rate maintained for default source will be used when account type currency is different from fund base currency In case of standing instructions there will be no validations during setup During SI transaction generation the system will validate for overall limit breach and if breaching will not generate the SI transaction it will log in error table Apart from online check there will be limit breach check at allocation level Any transaction breaching the overall limit will not be allocated Viewing ISA Transfer You can view ISA transfer details using One Legged Transfer Summary screen To invoke this screen type UTSOLT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button to perform the following operations e Retrieve e Edit e Delete e Authorize e Amend a ORACLE One Legged Transfer Summary amp Search Sd Advanced Search 9 Res
420. on transaction that annuls the original subscription transaction is generated Upon successful processing of the cancel operation the subscription amount refunded Cancellation is possible only for subscription transactions 4 16 ORACLE To enter a cancellation request you can use the FCIS Cancel Transaction Detail screen You can invoke this screen by typing UTDCNTXN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS Cancel Transaction Detail i New 9 Enter Query Client Information Unit Holder ID Unit Holder Name CIF Number Transaction Cancellation Details ISIN Code Fund ID Cancellation Number Fund Name Cancellation Date Transaction Number Input By DateTime Mod No Authorized By DateTime Open Authorized You need to specify the following details The unit holder that has requested for a cancellation The fund in which the subscription was entered for which a cancellation is being sought The transaction number of the subscription transaction being cancelled The cancellation date which is deemed to be the current date It must fall within the cancellation period for the fund The System checks to see that the transaction being cancelled is an initial purchase and that the unit holder has no holdings in the fund at the time of cancellation also that the cancellation date is within the cancellation period for the fund If
421. or modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified e Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The FCIS Block Transaction Detail screen is displayed e Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Block Transaction Detail screen is closed and the changes made are reflected in the FCIS Block Transaction Summary screen 4 6 25 3 Viewing FCIS Block Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Block Transaction Summary screen as follows e Invoke the FCIS Block Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen i ORACLE Click Search button All records with the specified
422. ord in the system For your amendment changes to be effective the amended re cord must be subsequently authorized When it is authorized it is saved in the system database as an authorized record with the amendment information and is effective You can cancel an existing negotiated deal by changing the status to cancel When you authorize this change the deal set up is nullified You can invoke the Unitholder Deal Maintenance Detail screen by typing UTDUHDEL in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Unit holder deal records matching the search criterion specified is displayed in row lists in the lower grid portion of the screen From this results list choose the unit holder deal that a0 ORACLE you want to view by double clicking on a record The Unit Holder Deal Setup screen is invoked in View mode as shown below where you can view the details of the record Unitholder Deal Maintenance Detail New 5 Enter Query Client Information Unit Holder CIF Number Find Unit Halder Deal Details Deal Transaction Number Status Active Apply AtCIF Level No Product ID Apply Deal At Load Level Product Name Fund ID Deal Based On Fund Name Description Policy Number Effective End Date Effective Start Date Group ID Tax Type Select Load Load ID Load Calculation Method Default Load Details Amount Or Percentage y
423. orize The FCIS Transaction Switch Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes oat ORACLE 4 6 20 7 Authorizing Amended FCIS Transaction Switch Record 4 6 21 An amended FCIS Transaction Switch record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Entering and Saving Transfer Transactions To enter a transfer transaction request into the system perform the following sequence of steps Navigate to the Transfer Transaction Detail screen Invoke the FCIS Transfer Detail screen by typing UTDTXNO3 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for Transfer transactions is displayed with all the default information FCIS Transfer te Save Transaction Information mn Transaction Value Order Received Date amp Fund ID as Transaction Date 01 02 2014 E2 Order Received Time C ee Transaction Mode Amoun Transaction Number Transaction Type Not Selected lw Units Applied BeH Transaction Currency as Amount Applied TounitHoder
424. ormation Each amount block transaction that you enter is also given what is called a Block Unblock ID which is used to track any future amount unblock transactions that would be requested against this amount block transaction At the time of transaction entry of an amount block transaction it is the same as the Block ID and is generated using the same logic as the Block ID oy ORACLE For a single Block ID multiple unblock transactions can be entered and processed At the time of entering an amount unblock transaction the Block ID will be available for selection in the dropdown Block ID after selecting the external system and after the saving of Unblock Transaction the Unblock ID is generated by the system Block ID System Generated Information This is a unique number automatically assigned to each amount block transaction by the system It is internally generated upon successful entry of the transaction and after all validations have been made Therefore when you enter a new amount block transaction this field is disabled The transaction number generated by the system is in the format TT YYYY JJJ NNNNNNN Where TT Transaction type 11 for amount block transactions 12 for amount unblock transactions YYYY Year of processing JJJ Julian date NNNNNNN Running sequence number for the day If an agency branch goes offline during transaction entry the validations cannot be made and the transaction number cann
425. ose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria e The status of the records in the Record Status field If you choose the blank space then all the records are retrieved e The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e The transaction type in the Transaction Type field If you choose the blank space then all the records are retrieved e The reference number in the Reference Number field e The customer information number in the CIF Number field 3 Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen 4 Double click the record that you want to modify in the list of displayed records The FCIS RTA Transfer Details screen is displayed 5 Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 17 1 5 Authorizing RTA Transfer Details Apart from the maker someone else must authorize an unauthorized RTA transfer details in the system for it to be processed To authorize a record Invoke the FCIS RTA Transfer Summary screen from the Browser The status of the transaction in the Autho
426. ot be generated In such a case the reference number is the identification for the transaction till the system goes online and the validations can be made Note For a single Block ID multiple unblock transactions can be entered and processed When you are entering an amount unblock transaction the Block ID field is enabled and you can select the Block ID against which the unblock transaction is being entered from the drop down list Block Currency The currency of the amount that is allocated for the amount block External System Alphanumeric Mandatory The options are SPB FCC ONLINE The option list should be parameterized in the system parameters under Amount Block External System Code Reference Number 16 Characters Alphanumeric Mandatory Specify a unique reference number that will be used to identify the amount block transaction inthe system Typically this number is the number of the application that is used to enter this 6 20 ORACLE transaction It will be the initial identification for the transaction before the actual Block ID is generated by the system If the reference number is designated to be a system generated number in the Defaults Maintenance the system will internally generate and display this number when the transaction screen is opened and this field is disabled Amount Numeric Mandatory Specify the amount to be blocked against this amount block or unblock transaction For
427. ount Return Value and Increase Discount will reduce the slab value by the specified percent amount for all slabs Increase will increase the slab value by the specified percent amount for all slabs Return Value will change the return value for all the slabs to the specified percent amount one ORACLE 4 Inthe Document Details section you may need to capture the document id of the unit holder You can either enter the document id or choose the same from the option list provided This section will be enabled only if your installation is integrated with DMS 5 You can now save the transaction 4 6 21 1 Viewing Balance Holdings of a Unit Holder You can view the available fund balance details of a unit holder For this click the View Balance button in the FCIS Transfer Detail screen The Investor Fund Balance screen is displayed in view mode displaying the unit holder fund balance details investor Fund Balance 43 Execute Query Unit Holder ID Fund balances Detail 1of1 FundID Fund Name Fund Base Currency Unit Balance Total Blocked Units x FBC redeemable FBC Holding Total Blocked Amount or Holdings Total Blocked Amount Total Holdings in UH Currency Total Blocked Units 4 6 22 Entering and Saving Transfer Transactions in Light Weight Detail Enter a transfer transaction request into the system in the following sequence of events
428. ounts and the prevalent transaction base price at the time of allocation is not used The adjustment price is used To authorize an adjustment transaction you must first retrieve the same in the Summary screen You can retrieve a previously entered transaction in the Summary screen as follows Inthe Operation field select the Authorize option from the drop down list If you choose the Blank Space option then all the adjustment transactions that involve the specified unit holder are retrieved Inthe Status field select the status of the transaction that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list If you choose the Blank Space option then all the adjustment transactions that involve the specified unit holder are retrieved Ifyou are a Fund Manager Component user and you are authorizing transactions that have been amended then only two options are available in this field Amended before Allocation and Amended After Allocation Choose the required option To retrieve the transaction that is to be authorized specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen To authorize any single transaction that has been retrieved Click the Authorize opt
429. ow button Note You can enter details regarding standing instructions provided you have checked the Allow Systematic Plans Option in the Transaction Processing Rules screen In this screen you must capture the following details for the instruction as given by the investor e The unit holder ID of the investor that is requesting the standing instruction e The description of the standing instruction e The level at which you are entering the standing instruction plan level or fund level e If you have chosen Plan Level indicate the funds in which the transactions resulting from the standing instruction would be put through in the investor s account However if you are entering the standing instructions for a single fund then indicate the SI Level as fund Level and indicate the fund in which the transactions resulting from the standing instruction would be put through in the investor s account e At this stage all the fields will be available in the screen e The type of transaction that would result when the standing instruction is processed e Whether the processing of the standing instruction must result in the generation of authorized transactions in the investor s account e The mode in which the resulting transaction of the specified type must be accepted e The currency for the resulting transaction e The value of the transaction to be reckoned in the preferred mode a ORACLE Whether the loads for the
430. ower portion of the screen e Double click the record that you want to delete in the list of displayed records The FCIS Transfer Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 23 5 Authorizing FCIS Transfer Record e An unauthorized FCIS Transfer record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS Transfer Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 23 6 Amending FCIS Transfer Record After a FCIS Transfer record is authorized it can be modified using the Unlock operation from the Action List To make c
431. p to one hundred percent a ORACLE 3 In the Load Override section you may need to override an allocation frequency charge or load There are three options available for such overrides Discount Return Value and Increase Discount will reduce the slab value by the specified percent amount for all slabs Increase will increase the slab value by the specified percent amount for all slabs Return Value will change the return value for all the slabs to the specified percent amount 4 Inthe Certificate Details section you may need to alter the minimum and maximum denominations An override of these specifications is possible if it is allowed as designated in the fund rules 5 In the Document Details section you may need to capture the document id of the unit holder You can either enter the document id or choose the same from the option list provided This section will be enabled only if your installation is integrated with DMS 6 You can now save the transaction Campaign Code Optional Specify the campaign to be mapped You can also select the campaign code from the option list The campaign codes which are linked to the selected fund ID and whose start and the end dates are in between the transaction date are displayed in the option list You can modify the campaign code only before the transaction allocation KIID Complaint Optional Select if Subscription is KIID complaint or not from the drop down list Follow
432. p units If the AMC confirmed units are more than the system allotted then system calculates Negative ve differential units If the AMC confirmed units are less than the system allotted then system calculates Positive ve differential units Once the rounding difference is sorted out this transaction will no longer reflect in the GO Reconciliation screen The difference units distributed based on the logic will be tracked separately during allocation Based on the logic system will update the allocated units with extra or reduced units abe ORACLE GO Amount Display The system displays the Global Order amount GO Confirmed Amount Alphanumeric 8 Characters Optional Specify the Global Order confirmed amount The confirmation message received from the fund house will be compared with the original message generated For an amount based order In case if there is a mismatch in the GO Amount Value received from the fund house then same will get reflect in the GO Reconciliation screen for manual correction with status message as Confirmed Amount Mismatched The correct value will be confirmed from the fund house outside the system Once the Amount issue is sorted out you need to update the amount with correct amount in GO Reconciliation screen Once the amount are amended with the correct amount you should authorize the transaction from GO Reconciliation screen The mismatch transaction will no longer
433. pe of load indicating whether it is a fee or an incentive is displayed here one ORACLE 5 7 3 4 5 8 Transaction Amount Display Only The transaction amount of the given transaction is displayed here Calculation Method Display Only This Field displays the Calculation Method either Slab Linear or Weighted for the particular Load Amount Percent Display Only This Field displays whether the Return Value is displayed in Amount or Percentage Load Details Original Return Value Display Only The original return value of each of the applicable loads before the override is displayed here either as a percentage or a load amount Authorizing load Override A user other than the one who performed the override must authorize any override of a load To authorize a load override use the Transaction Load Override Authorization screen You can access this screen by clicking the Summary option in the Txn Load Override menu item in the Transactions Input menu category of the Agency Branch main menu When you open this screen the load overrides that have been exercised that are pending authorization are displayed along with their details Mark each override you want to authorize by selecting the Authorize option in the Authorize field against the required override row After you have marked as many records as necessary for authorization click the Authorize button to effect the authorization Global Order Global Or
434. pecie transfer in type of transaction G2 Units Numeric 8 Characters Optional Specify the in specie transfer in G2 units This field is enabled only for in specie transfer in type of transaction 5 12 4 Validating ISA Transactions Any IN transaction captured for unitholder ID having account type as ISA will be validated for breach of overall limit within the date range maintained for the account type in Account Type Maintenance screen The validation will be based on transaction date This validation is only for the mapped ref types If any backdated transactions are entered for previous year less than from date the system will display the following warning message a 108 ORACLE 5 12 5 Entered transaction does not belong to current period Do you wish to continue Limit validations will be done for transactions entered for previous ISA year If any future dated transactions are entered for coming tax year greater than To date the system will display the following warning message Entered transaction does not belong to current period Do you wish to continue Limit validations will be done for transactions entered for coming ISA year ISA validations will again be subject to appropriate ref type being mapped in the Account Type Maintenance screen If ref type is not mapped in Account Type Maintenance screen the transaction will not be validated for limit breach validation If an IN transacti
435. pecify the following details as search parameters to retrieve the transaction records for which the payment instruments must be tracked In the Mode field select the New option In the Level field select the Settlement option You can search for a record using any of the following criteria Fund ISIN Fund Id AMC Id In the Payment Mode field select the mode of payment specified for the transaction for which you want to update the status of the payment instrument Only Cheque Demand Draft and Money Transfer payment modes are applicable To clear a specific payment instrument enter the number of the instrument in the Specific Number field In the Date Range fields specify a range of dates that would signify the period between which the transaction date the allotted date or the payment date of the transaction would be found Click on the Show button All transactions with payment instruments that match your search criteria are displayed in the lower grid portion of the screen in a list All necessary information such as transaction number payment mode clearing date payment currency payment amount etc is recorded Click on the Payment Details link to view the Settlement Information screen The payment details of all legs involved in the transaction is displayed Specify the status of the instrument in the Instrument Status field The options Credit Received Once this status is selected system triggers automati
436. pen field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The Global Order Confirmation Detail screen is displayed e Click Close from the action list in the Details screen You can re open any closed record at a later point in time Maintaining GO Reconciliation Details The system will compare the confirmation message received from the fund house with the original message generated If there is a mismatch in the fund price received from the fund house for this order compared to fund price received for an earlier order having same fund ID transaction type transaction date then same will get reflect in the GO Reconciliation screen You can manually correct the status message as Confirmed or Rejected which will be confirmed from the fund house If the latest GO price is different from the existing fund price then you need to confirm the GO price Update the correct price in the GO once the price issue is sorted out On updating the correct price all
437. play the records that match the search criteria you have specified are ORACLE 2 Choose the unit holder deal that you want to view by clicking on the View button alongside the record The Unit Holder Deal Setup screen is invoked in View mode where you can view the details of the record View the projected allocation details if necessary 3 At this stage the transaction is ready to be saved If you wish to see a projected picture of how the transaction would most possibly be allocated click the Project Allocation Details button You can view the projected allocation details only for funds in which the ageing policy is FIFO first in first out or Transaction Receipts If the prices are not available for switch transactions on the transaction date the latest available price is picked up for allocation 4 When you do so the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen The following allocation details are displayed e The Fund ID and the ISIN Code e The To Fund ID and the ISIN Code e The Product ID e The number of units allocated in the Units field e The Spill Over Product ID and the number of spillover units in the Spill Over Units field e The Unit Price for the transaction as on the date of the temporary allocation e T
438. played here Certificate Details Section Click on the Certificates tab of the FCIS Block Transaction Detail screen You can capture details of certificates involved in a transaction in this section FCIS Block Transaction Detail New 433 Enter Query Client Information Transaction Information Transaction Value Fund ID Transaction Date Transaction Mode Amounts Unit Holder ID Transaction Number Amount Applied Reference Number Units Applied Transaction Currency Enrich Transaction Currency Name Details Intermediary KY Details Add Info Pledge MEMMEN Min Cert Denomination Max Cert Denomination From Issued Balances NotSelected No of Certificates Not Selected Certificate Details 1of1 Certificate Number No Of Units Partial Allocation Details Input By DateTime Eu open utes Unauthorized Exit Mod No Authorized By DateTime You must capture the certificate details as mandatory information for a transaction in the following circumstances e For all transactions involving scrip based funds e For all scrip less funds in which the certificate option is available and the unit holder requests for the issue of certificates The minimum and maximum certificate denominations maintained for the fund in which the transaction is being put through are retrieved and displayed here If user overrides are designated as available in the Shares
439. plays the same in this field Override Fee Optional Select this option to indicate to the system that you want to override the computed transaction fee component Fee after Override Numeric Optional If you are overriding the computed transaction time fee then indicate the changed value for the fee in this field The Save Button Click this button to save the details you have specified If there are any mandatory details that you have not supplied the system does not save the transaction but prompts you to specify the same before you can click the Save button again When you save a new or amended transaction by clicking this button the transaction number for the transaction is generated and displayed Cancel Click this button to clear the details that you have specified from the screen A newly opened screen with only the default information is displayed so that you can make your specifications afresh Viewing Details of Projected Allocation If you wish to see a projected picture of how the transaction would most possibly be allocated before you actually save the transaction then click the Project Allocation Details link ou ORACLE When you do so the system temporarily saves the transaction into temporary stores in the database and gives it a unique key string The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen
440. pr 04 For a transaction captured on 12 the field From Price Date in the subscription transaction will be updated with the date 44th April 2004 For a transaction captured on 13 the field From Price Date in the subscription transaction will be updated with the date 19t April 2004 as the 17 is an AMC holiday Note For the transaction captured on the 13 in the above example the default price date can not be overridden to the adhoc date as it is not maintained but can be overridden to the 14t the Scheduled Price Date though it does not satisfy the pricing cut off limit Case 3 The next user defined price date taking into account the number of cut off days specified You can change this price date and enter the Adhoc Price Date Example For a fund A with the following set of maintenances the allocation would be as follows Fund Forward Scheduled Pricing Adhoc Date Adhoc Cut Name Pricing Price Date CUt Off Subscription Off days Applicable days P y Fund B Yes 14 Apr 04 Z T2 Apr 04 0 17 Apr 04 13 Apr 04 7 T9 Apr 04 15 Apr 04 2 Flagged for reporting 21 Apr 04 16 Apr 04 3 Assume 15 is a Fund holiday and 17 April 2004 is a AMC holiday wee ORACLE 4 6 36 For a transaction captured on the 12th the field From Price Date in the subscription transaction will be updated with the date 14th April 2004 The above defaulted price dat
441. propriate one Account Number Specify the account number Account Name Specify the account name Bank Name Specify the name of the bank aa ORACLE 2 2 1 6 Address Type Specify the address type City Indicate the name of the city BIC Code Enter the BIC code Country Indicate the name of the country Description The system displays the description of the specified country Address Line1 2 Specify the address information in the two lines available Zip Code Specify the zip code Certificate Denominations Certificate Denominations Enter the certificate denominations Certificate Description Enter a description of the certificate Maintaining SI Bank Details The details of the payments made for the standing instruction transactions can be captured here This information is only applicable for IPO Subscription and Redemption transaction types 2 22 ORACLE Click SI Bank Details tab to enter the details SI Basic Info SI Fund Info SI Intermediary SI Payment SI Delivery Details KJEE We EUEE SI Routing Details Payment Details Mode Of Payment Not Selected x PaymentType Self PaymentBankCode f PaymentBranch P Bank Name Branch Name ransfer Details Account Type a Account Number PH Account Holder Name IBAN hird Party Details Third Party Reference Pe Third Party Address Line 1 Third Party Address Line 2 Third Party Address Line Third
442. provided in the unit holder s account profile Only those funds that contain the country of domicile of the unit holder in their Fund Residency list are populated here Only funds that belong to the AMC of the specified unit holder are populated here Fund Name When you specify the name of the fund the Name of the fund is displayed in the Fund Name field ISIN Code Fund Identification Number 12 Characters Maximum Alphanumeric Mandatory Select the Fund Identification Code of the selected fund If you specify the Code of a fund the name of the fund is displayed in the Fund field Fund Base Currency Display Only The base currency of the specified fund is displayed here Transaction Currency Alphanumeric Mandatory Select the currency in which the payments for the adjustment transaction will be made or accepted The drop down list contains currencies that are valid as transaction currencies for the fund from the Fund Transaction Currency list If the specified unit holder s currency is a valid transaction currency for the fund it is displayed here by default If not the Fund Base Currency is displayed here by default In either case the unit holder can alter the currency and specify any currency from the list Currency Name Display only Once you have specified the Transaction currency applicable for the adjustment transaction the name of the currency is displayed in this field Units Numeric Mandatory Specify the
443. provided it has not been subsequently authorized You can perform this operation as follows Invoke the GO Settlement Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The Fund ID in the Fund ID field If you choose the blank space then all the records are retrieved oe ORACLE e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The GO Settlement Detail screen is displayed e Select Unlock operation from the Action list to modify the record Modify the necessary information e Click Save to save your changes The GO Settlement Detail screen is closed and the changes made are reflected in the GO Settlement Summary screen 5 11 2 4 Deleting Global Order Settlement Record You can delete only unauthorized records in the system To delete a
444. ption allocation price the subscription leg allotted units could be different from the redemption leg allotted units The Bed amp Breakfast subscription transaction is generated only after its linked re demption and its original subscription transaction status is complete Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Specify the Price Basis for both From and To Funds Specify the price basis for switch transactions for both from and to funds distributor and investment account type for the transaction This information is defaulted for the combination either from the Distributor Price Basis Setup if maintained or from the fund rules for the selected fund and transaction type You can override the default if required Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field If you have defined a different trade cycle for the fund in the
445. ption in the Number of Certificates field In case of partial outflow the last certificate is partially redeemed indicate whether system should generate certificates for spill over units in the Generate Certificates for Spillover field 4 6 15 10 Additional Information Section Click on the Transaction Add Info box to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment The following Load Details are displayed once you have specified all additional information e The Fund ID and the ISIN Code e The Load ID e The Load Description e The Load Amount After you have viewed the projected allocation details click the Close button to close the screen For redemption transactions being put through as a result of a check issued through the check writing facility it is not possible to view the projected allocation details through the Project Allocation Details button Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If no
446. ptional Specify the Global Order confirmed units Once the GO is confirmed all the underlying transactions will be picked up for allocation by allocation batch Once the underlying GO trades are allocated during EOD the system will do a reconciliation of allotted units against confirmed units If there is a difference in the allotted units the same will be reflected in the GO Reconciliation screen with a status message GO Allotted Units Mismatched This will be before rounding difference process To sort the difference the system will calculate the threshold units in Fund Rules screen If the difference units are more than the threshold units maintained you need to manually round off the units If the difference units falls under the threshold units maintained the system will automatically rounded off using a distribution logic with values as To Highest Transaction Amount and Highest Transaction Amount to Lowest This distribution logic are applicable to funds which fall under the AMC for which Distribution logic has been maintained If user maintained distribution logic as To Highest Transaction Amount then the system will adjust the differential units to the transaction which has the highest transaction amount If user maintained distribution logic as Highest Transaction Amount to Lowest then system will distribute the difference amount from the highest transaction amount to the lowest in step u
447. quested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field Specify the Transaction Mode Value and Currency 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder can unblock a portion of the blocked unit balance in any fund so accordingly choose the Units option No other mode is possible for unblock transactions 2 Specify the value of the transaction in the Transaction Value field The unit holder must have the required blocked unit balance in the fund at the time of unblocking This value will be validated against the minimum maximum and step values specified for unblock transactions in the Transaction Processing Rules for the fund It is also validated against the units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for
448. r ID of the investor that has requested the transaction for which you want to override a load The number of the transaction for which you want to override a load The fund in the Fund field in which the transaction was put through for which you want to override a load You can also specify the ISIN Code of the fund The agency branch where the transaction was put through in the Agent and Branch fields In each field you can choose the ALL option so that you can obtain a list of all transactions for which a load override can be performed e When you have specified your criteria click OK e The transactions retrieved from the database as a result of the search are displayed in the lower grid portion of the screen To override a load click the Over Ride button at the extreme right end of the required row The Txn Load Override screen is displayed with the existing return value and the amount value of the load shown e Inthe Override field specify either the new overridden return value or the overridden amount and click OK e Click the OK button to save your changes The following must be borne in mind at a general level while carrying out load overrides in this screen e Any load that is a tax cannot be overridden A particular Load is deemed a tax if the fund load mapping record has a value specified for the Apply Return Value On field e Interconnected Loads e Inthe system two loads are deemed to be intercon
449. r has not been specified in the profile you must enter a transaction value that does not exceed the Minimum Amount for Tax ID value or make a change to the unit holder account and specify the PAN Number and then attempt to input the transaction 3 Select the exchange rate source to be used in the Exchange Rate Source field 4 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Override Exchange Rate field Specify the Settlement Information Payment Type and the bank account for Transfer mode of payment 5 Payment Details button is enabled for payment modes other than Cash and Against Payment Click on the Payment Details button to specify the settlement information If the ia ORACLE payment for the transaction is proposed to be made by check credit card debit card transfer in kind or multi payment modes then you must specify settlement instructions in the settlement information screen and the payment details such as the payment type in the Payment Details screen 6 For payments by account transfer you must select the bank account that will be used to make the payment in the Maintained Bank Accounts field in the Payment Details section If you wish to override the appli
450. r marking that all KYC documents have been received Processing Back Data Propagation for Transactions You can correct erroneous transactions as well as enter those that have been missed out and compute the effect these have on the current holdings of the unit holder through the back data propagation process The following transactions are covered as part of this feature e IPO e Subscription e Redemption e Normal Switch and Pseudo switch e Transfer e Sl transactions To facilitate this propagation process two schema are used the business or normal schema and the report schema You are required to enter the correct data in the business schema for the required transactions and select these for propagation again from the business schema The transactions will be simulated in the report schema and the results can be viewed in the business schema Refer the chapter Back Data Propagation in the Fund Manager User Manual for more details on the back data propagation process a8 ORACLE 5 1 5 1 1 5 Processing Transactions Il Maintaining Details in Transaction Screens For any transaction type you can use the Transaction Detail screen to enter new transactions into the system FCIS Subscription Transaction Detail New 9 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Find UH Transaction Date Tr
451. r tax credit the dividend reversal or dividend reprocess batch will not trigger the reversal of Tax Credit transactions because Dividend reprocessing and Tax SVE ORACLE Credit batch is independent activities You will have to manually trigger tax credit reversal batch 5 13 3 Viewing Void Details You can view void details using Distribution Void Summary screen To invoke this screen type UTSVOID in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button to perform the following operations e Retrieve e Edit e Delete e Authorize e Amend Void Maintainence amp Search oq Advanced Search 9 Reset pA Clear All Search Is Case Sensitive Unit Holder ID From Date Records per page Authorized X Open x To Date E Void Status 5 Void Level x sie 1of1 Authorized Open Unit Holder ID From Date To Date Void Status Void Level Remarks 5 13 3 1 Retrieving Void Details You can retrieve a previously entered void Details as follows e Invoke the Distribution Void Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blan
452. rade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the dealing date from the maintenance Refer the chapter Other Fund Activities for more details on maintaining alternate trade cycles for a fund Completion Date Display The date of completion of the transaction is displayed here If your installation has not requested for KYC checks then e Allocation happens before clearing settlement In this case during clearing the transaction is marked as completed and the Completion date is defaulted with the Clearing date e Allocation happens after clearing In this case during allocation transaction is marked as completed and Completion date is defaulted with the Allocation date The Completion Date can only be viewed in modes other than the New Mode Completion Date is applicable only for subscription redemption switch and transfer transactions Change in Beneficial Ownership For transfer transactions check this box to indicate that the transaction involves a change in beneficial ownership of transferred units oe ORACLE Remarks 255 Characters Maximum Alphanumeric Optional Descriptive text about the transaction can be entered here During transaction amendment you can capture any appropriate remarks for the amendment here Lock in Period for Gain Days Numeric Optional The def
453. ransaction in the Transaction Mode field e The currency for the transaction in the Transaction Currency field e The volume of the transaction in terms of the selected transaction mode in the Transaction Value field e The mode of communication that was used to request the transaction in the Communication Mode field oe ORACLE e The desired mode of payment for the transaction in the Payment Mode field for IPO subscription and redemption transactions e Whether the applicable exchange rate that is prevalent at the time of transaction entry must be overridden in the Override Exchange Rate field e Whether the transaction is to be initiated by gross amount units or net amount in the Gross Net field for IPO subscription and redemption transactions e The exchange rate source to be used in the Exchange Rate Source field e Whether the transaction is an LOI transaction in the LOI Transaction field e The maturity date for the transaction if any in the Maturity Date field e Whether the fee for the transaction is to be overridden in the Override Fee field e The Price Basis for the transaction Payment Details Section a e For redemption transactions all the details in the Payment Details section e For IPO and subscription transactions the payment type in the Payment Type field Fee Payment Details Section i e ffees are applicable then all the details of fee payment in the Fee Payment Details section
454. ransaction Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information P ORACLE Click Save to save your changes The FCIS Consolidation Transaction Detail screen is closed and the changes made are reflected in the FCIS Consolidation Transaction Summary screen 4 6 32 3 Viewing FCIS Consolidation Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Consolidation Transaction Summary screen as follows e Invoke the FCIS Consolidation Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The FCIS Consolidation Transaction Detail screen is displayed in View mode 4 6 32 4 Deleting FCIS Consolidation Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered e Invoke the FCIS Consolidation Transaction Summary screen
455. ransactions if transaction date is less than effective date system will default the KIID Compliant field to No and then you need to manually override it Specify Broker Details Override Allocation Loads and Document Details if necessary 1 Alternatively the following information may also need to be captured before you save a switch transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent 3 In the Load Override section you may need to override an allocation frequency charge orload There are three options available for such overrides Discount Return Value and arg ORACLE Increase Discount will reduce the slab value by the specified percent amount for all slabs Increase will increase the slab value by the specified percent amount for all slabs Return Value will change the return value for all the slabs to the specified percent amount 4 Inthe Document Details section you may need to capture the document id of the unit holder You can either enter the document id or choose the same from the option list provided This section will be enabled only if your installation is integrated w
456. rcumstances The AMC can set a limit on the total volume of redemption transactions that would be accepted for a fund on a given business day The limit could be specified in terms of a percentage or an amount Redemption transactions that are requested which result in exceeding the limit set for the fund will not be accepted in such a case In the system if the investor s balance reduces to zero as an account of a redemption transaction the investor s account will be marked as pending closure Redemption through check writing An investor may also request for the check writing facility for usage of holdings in any of the funds In such a case a checkbook is issued to the investor for each fund The investor may issue checks for payments to any third party When these checks are presented at the specified bank they are sent to the appropriate clearing house The bank then sends a file to the AMC containing used check information from the clearing house 2 ORACLE When the AMC receives details of used checks from the bank a redemption transaction is initiated in the investor s account and units are redeemed in the fund for which the checkbook was issued to the extent of amount used on each check No payment details are required for such redemption transactions Switch An investor may choose to switch the investment in one fund to another fund for any reason This would mean redeeming the investment in one fund a
457. rd pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field one ORACLE Specify the Transaction Mode Value and Currency 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder can request reissue of any number of certificates Accordingly choose the Units option No other mode is possible for reissue transactions 2 Specify the value of the transaction in the Transaction Value field This is the number of units contained in the certificate s that are to be reissued This value will be validated against the minimum maximum and step values specified for reissue transactions in the Transaction Processing Rules for the fund It is also validated against the units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Cu
458. rd you can perform the following actions in the Global Order Maintenance Detail screen e View a Record e Edit a Record e Delete a Record e Authorize a Record e Amend an Authorized Record e Close a Record e Copy a Record 5 69 ORACLE 5 8 2 2 Viewing Global Order Maintenance Record To view a record that you have previously entered you must retrieve the same in the Global Order Maintenance Summary screen as follows e Invoke the Global Order Maintenance Summary screen from the Browser e Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records The Global Order Maintenance Detail screen is displayed in the view mode 5
459. rds whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc Fund ID Transaction Type Unit Holder ID Not Selected v Transaction Date Reference Number ala AMC ID A Open X Laz Input By Advanced Search 1 of 1 FundID Unit Holder ID AMC ID Transaction Type Transaction Mode Transaction Date m af am 4 6 32 2 Editing FCIS Consolidation Transaction Record You can modify the details of FCIS Consolidation Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows Invoke the FCIS Consolidation Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records that are unauthorized Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Consolidation T
460. red in FCC and a corresponding redemption transaction is triggered in FCIS Note Sweep In transactions are applicable only for Retail teller transactions You will not be allowed to reverse subscription redemption transactions generated due to the Sweep In Sweep Out Sweep In Sweep Out is originated from the de fault bank accounts maintained for the unit holder in FC IS Transaction Processing Flow of Events A transaction is processed in the system in the following sequence of events Unauthorized Stage The transaction is first initiated into the system database when it is entered into the Transaction Detail screen for the required transaction type In this screen it is saved as an unauthorized transaction which means that it is not reflected in the system s financial data stores as yet The transaction is given a unique identification called the Transaction Number During this unauthorized phase of the transaction you can edit the details of the transaction as many times as is deemed necessary using the Edit operation through the Transaction Summary screen The transaction number is not changed when you edit a transaction An unauthorized transaction can only be edited by the user who initiated it into the system q4 ORACLE 4 5 2 Due to various reasons the supervisor can also reject transactions Any such rejected transaction can also be edited Authorized Stage When the transaction is
461. reflect in the GO Reconciliation screen once authorized GO Price Date Display The system displays the Global Order price date Remarks Alphanumeric 255 Characters Optional Specify remarks if any Amend Transaction Mandatory Select this option if you want the system to automatically amend the underlying transactions Once the GO is confirmed all the underlying transactions will be picked up for allocation by allocation batch Once the underlying GO trades are allocated during EOD system will doa reconciliation of allotted units against confirmed units If there is a difference in the allotted units the same will be reflected in the GO Reconciliation Detail screen with the following status message GO Allotted Units Mismatched This will be before rounding difference process If the AMC confirmed units are more than the system allotted then the system will calculate Negative ve differential units If the AMC confirmed units are less than the system has allotted then the system will calculate Positive ve differential units es ORACLE Once the rounding difference is sorted out this transaction will no longer reflect in the GO Reconciliation Detail screen The GO Reconciliation screen will show any unconfirmed global orders and those with a price mismatch or those where the allotted units does not match the confirmed number of units during de aggregation In case the confirmation message is
462. rence number of the credit card debit card that is being used to make the payment Unit holder Address Alphanumeric Optional You may specify the address of the unit holder involved in the transaction Payment Details for Transfer Mode of Payment and for Mode of Payment as Multi Payment Facility with sub mode of payment as Transfer or as Advice Capture the following details if the mode of payment chosen is transfer Payment Type Alphanumeric Mandatory The payment type refers to whether the payment is being made by the unit holder who has requested for the transaction or by an external third party or by a broker Accordingly select self if the unit holder is making the payment third party if the payment is being made by an external party other than the unit holder and select broker if the payment is being made by a broker Faa ORACLE Maintained Bank Accounts Alphanumeric Mandatory If you have chosen Self as the payment type bank details are defaulted based on the combination of transaction type fund Id payment mode and transaction currency maintained for the unit holder The system displays the accounts available for a unit holder in the option list for IPO subscription subscription and redemption transactions in the following order e Account maintained for All funds and All transaction types e Account for the specified fund and transaction type e Account for the specified payment mo
463. request is being entered The system retrieves the name of the selected unit holder and displays it alongside this field when you click the Validate link When you specify the CIF Number all the unit holders that fall under the CIF are displayed in the drop down list in this field You can make your choice from this list oe ORACLE You must select a unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved Unitholder Name The system retrieves the name of the selected unit holder and displays it alongside this field when you click the Validate link CIF Number Alphanumeric Optional Specify the number of the CIF for whom the standing instruction is being entered in this field The system retrieves the name of the CIF Account and displays it alongside this field when you Click the Validate link You must select a CIF that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved You can specify the unit holder or the CIF unit holder to whom the transfer of ownership is being affected in the case of transfer transactions being generated by the standing instruction in the following fields This section is not applicable to any other transaction type other than tr
464. ric Optional Specify the name of the bank where the fee payment instrument is drawn if the mode of payment is Check Credit Card or Draft Drawee Branch Alphanumeric Optional Specify the branch of the selected bank where the fee payment is drawn if the mode of payment is Check or Draft Check Number Card Number Draft Number 16 Characters Maximum Alphanumeric Optional Specify the number of the fee payment instrument being either check the credit card or the demand draft Check Date Credit Card Date Draft Date Date dd mm yyyy Optional Specify the date on which the check or demand draft is drawn or the credit card payment is made oar ORACLE Clearing Date Date dd mm yyyy Optional Specify the date on which the check draft is expected to be cleared The clearing date should not be earlier than the check draft date and must not be a designated holiday in the system Card Reference Number Alphanumeric Optional In the case of fee payment by credit card specify the reference number of the credit card that is being used to make the fee payment Fee Payment Details for Transfer Mode of Payment Capture the following details if the mode of fee payment chosen is transfer Maintained Bank Accounts Alphanumeric Mandatory All the bank accounts that have been maintained for the selected unit holder are displayed in the drop down list in this field You must choose the one that will be used to make the fe
465. ride the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button Specify the Communication Mode and Remarks 1 Select the mode in which the transaction request was communicated in the Communication Mode field 2 Specify any remarks for the transaction in the Remarks field Specify the maturity Date and Auto Generation preferences Enter the maturity date of the block transaction If the system date is equal to or greater than the date specified here and the Auto generate Unblock option is checked then system generates an automatic unblock transaction on the date specified here Automatic unblock transactions will be generated on the maturity date only if this option is checked Override Fee if necessary and specify Fee Payment Details If a transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed If you wish to override
466. rization Status field Choose the Unauthorized status Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Select the Authorization operation from the Action list to authorize the selected record 5 17 1 6 Amending RTA Transfer Details The RTA transfer details can be modified using the Unlock operation from Action list To make changes to a record Invoke the FCIS RTA Transfer Summary screen from the Browser Select the status of the transaction that you wish to retrieve for amendment You can only amend only unauthorized records o188 ORACLE Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the scree Double click the record that you want to amend The FCIS RTA Transfer Details screen is displayed in the amendment mode Click the Unlock operation from the Action list to amend the record Amend the necessary information Click the Save button to save the changes 5 17 1 7 Consolidation of Portfolios The flow chart below explains how the RTA interface would handle transfer and consolidation of portfolios Transfer with Consolidation Logic Get all TI type of transactions L i N A na i No IsPIDIALFobof N Folios TI Urats S Yes combanataon prese
467. rized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen aes ORACLE Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The FCIS Transaction Switch Detail screen is displayed in View mode 4 6 20 4 Deleting FCIS Transaction Switch Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS Transaction Switch Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The FCIS Transaction Switch Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 4 6 20 5 Authorizing FCIS Transaction Switch Record 4 6 20 6 An unauthorized FCIS Transaction Switch record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS Transaction Switch Summary scre
468. rom the Action List to amend the record e Amend the necessary information and click on Save to save the changes 4 6 10 7 Authorizing Amended FCIS Bulk Transaction Record An amended FCIS Bulk Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions oa ORACLE 4 6 11 Entering and Saving Subscription Transactions in Detail Enter a subscription transaction request into the system in the following sequence of events Navigate to the Subscription Transaction Detail screen Invoke the FCIS Subscription Transaction Detail screen by typing UTDTXNO2 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for subscription transactions is displayed with all the default information Select New from the Actions menu in the Application toolbar or click new icon to enter the details of the Subscription transaction FCIS Subscription Transaction Detail tes Save Transaction Information Transaction Value Fund ID az Transaction Number Transaction Mode Amount Unit Holder ID Transaction Currency a Units Applied Find UH Reference Number Amount Applied Order Received Date Ea Order Re
469. rop down list This could be one of the following Inquiry or Complaint Query Category Alphanumeric Mandatory Specify the subject of the query by selecting it from the drop down list Problem Description 255 Characters Maximum Alphanumeric Optional Narrate the problem if any or the statement of the query in a few words Helpdesk Events Section You must specify the details of the modes in which any query is initiated or followed up in this section Helpdesk Mode For new queries the mode specified here must be Inquiry When you are capturing details of action taken or following up a query the mode specified here could be Action or Inquiry as is applicable Event Date Time The time at which the query follow up action was received is displayed here Event Mode Specify the mode through which the query follow up action was received Event Description Give a brief description if any about how the query follow up action was received Event Image If the details of the query follow up action is contained in a document specify the path to the same here Event Object Available Indicate from the drop down list if the event object is available or not anle ORACLE 5 15 6 5 15 6 1 5 15 6 2 Viewing or Editing Helpdesk Query To view or edit a helpdesk query use the Help Desk Summary screen You can invoke this screen by typing UTSHLPDS in the field at the top right corner of the Applic
470. rrency 1 Select the exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field Since the transaction value is specified in units then the prevalent price for a reissue transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Specify the Communication Mode and Remarks 1 Select the mode in which the transaction request was communicated in the Communication Mode field 2 Specify any remarks for the transaction in the Remarks field Override Fee if necessary and specify Fee Payment Details 1 Ifa transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in bot
471. rtcut All short cut keys are contained in brackets For example lt ALT SHIFT gt keys 1 6 Glossary of Icons This User Manual may refer to all or some of the following icons Icons Function e Exit Add Row eS Delete Row z Option List 1 7 Abbreviations and Acronyms The following acronyms and abbreviations are adhered to in this User Manual Abbreviation Meaning Acronym ADMIN User Administrator AGY The Agency Branch component of the system AMC Asset Management Company BOD Beginning of Day CDSC Contingent Deferred Sales Charge CGT Capital Gains Tax ORACLE Abbreviation Meaning Acronym CIF Customer Information File EOD End of Day EPU Earnings per unit FC IS Oracle FLEXCUBE Investor Servicing FMG The Fund Manager component of the system FPADMIN Oracle FLEXCUBE Administrator ID Identification IHPP Inflation Hedged Pension Plan IPO Initial Public Offering LEP Life and Endowment Products LOI Letter of Intent NAV Net Asset Value REG The Registrar component of the system ROA Rights of Accumulation ROI Return on Investment SI Standing Instructions SMS Security Management System URL Uniform Resource Locator VAT Value Added Tax WAUC Weighted Average Unit Cost 1 8 Getting Help Online help is available for all tasks You can get help for
472. rting Entity ID field e The type of query in the Query Type field The query could be an inquiry or an action Select the appropriate option e The category of the query in the Query Category field Choose the required option from the drop down list e The degree of criticality of the query in the Query Severity field e If you are following up a previously entered query select the status of the query in the Status field e The description of the report or query in the Problem Description field e The name of the person who will attend the query in the Attended By field e Also specify the following in the Helpdesk Events section e The mode of the query or the query type in the Helpdesk Mode field e The mode through which the query is being made in the Event Mode field e The description of the query in the Event Description field e Anyimage such as a document or fax regarding the query or report in the Event Image field Click the Scan button to specify this e Click the Save button to save your query Any follow up or processing of the query can likewise be entered in a similar manner as described above To add a new row to the Helpdesk Events grid choose the Add button Fields in Help Desk Detail Screen Helpdesk Reference Number Display Only Every query you initiate in the system is assigned a unique reference number by the system If you are entering a new query in this screen this field is empty
473. rtion of the un issued balance then choose No e If the transferor unit holder has requested transference of a portion of the issued balance select the Multiple option in the first Number of Certificates field e If the transferor fund is a Certificate Option fund and the transferee unit holder has requested certificates in the fund then select Yes in the Certificate Required field e Specify whether the transferee unit holder has requested for a single certificate or multiple certificates by choosing the appropriate option in the second Number of Certificates field e Incase of partial outflow the last certificate is partially redeemed indicate whether system should generate certificates for spill over units in the Generate Certificates for Spillover field Specify the Transaction Mode Value and Currency e Select the mode in which the transaction value will be reckoned in the Transaction Mode field The transferor unit holder can choose to transfer either a portion of the unit balance If so choose the Units option If a percentage of the holdings are to be transferred choose the Percent option For scrip based funds and scrip less funds for which the ageing is based on transaction receipts as designated in the fund rules the permissible modes are units and percent e Specify the value of the transaction in the Transaction Value field The transferor unit holder must have the required balance in the spec
474. ry Specify the ID of the fund in which the transaction was put through UnitHolder ID Mandatory Select the ID of the unitholder by clicking on the Advanced Summary button This invokes the Find Options where you can search for the specified UH that you want to select Click Search button In the New mode check dividend payments which are not cleared are displayed in the grid below Cheque Tracking Summary Authorized tit Open i X Type of Transaction Select _ ow Transaction Number a Fund ID 7 Payment Number Unit Holder ID a Reference Number a Re Records per page 15 v 1 oF 4 Authorized Open Type of Transaction Transaction Number FundID Payment Number Unit Holder ID Re a m The following additional fields are displayed Payment Number Display All the related payment numbers that satisfy the search criteria are available in the drop down list Transaction Number Display If dividend tracking is done at transaction level then all the related transaction numbers are displayed in the drop down list Besides the above the following fields are displayed e Reference number e Cheque amount e Cheque currency e Cheque date e Cheque number i ORACLE e Drawee bank e Drawee branch e Cheque status e Sys reference number e MICR code Duplicate Optional Check this option to indicate that the cheque must be reissued again This field is app
475. ry screen is opened e Inthe Authorized field select the status of the adjustment transaction that you want to retrieve for modification You can only modify records of transactions that are unauthorized Accordingly choose the Unauthorized option from the drop down list e To retrieve the adjustment transaction that is to be modified specify any or all of the details of the transaction in the corresponding fields on the screen All unauthorized 3129 ORACLE transactions with the specified details are retrieved and displayed in the lower portion of the screen e Select the adjustment transaction type that you want to modify in the list of displayed transactions in the lower portion of the screen e The Help Desk Detail screen is opened by double clicking on the selected row with the selected transaction displayed e To modify the record you can select the Unlock operation form the drop down Actions List e You can modify the required records for an unauthorized transaction e Accordingly modify the necessary information and click the Save button to save your changes e The Help Desk Detail screen is closed and the changes made are reflected in the Help Desk Summary screen 5 15 6 3 Viewing a Query Record 5 15 6 4 To view a Help Desk record that you have previously entered you must retrieve the same in the Help Desk Summary screen as follows e From the main menu invoke the Transaction menu Select Help Desk and c
476. s From Units To Units Derived Load Details 1of1 Load ID Description Load Percentage Override To Input by Authorized by Mod No DateTime DateTime Open Authorized Click the Close button to return to the Find Options screen 5 1 8 Broker Details Section If a broker has been identified as an intermediary for the transaction then you must identify the same in this section along with the commission percentage split for the broker If brokers are designated as mandatory for the fund in which the transaction is being put through then you must specify at least one broker as mandatory information in this section If brokers are not mandatory for the fund and you do not specify any broker in this section 5 24 ORACLE then the system reckons the broker as DIRECT and designates the same as the default broker Fcis Subscription Transaction Detail Save Transaction Information Transaction Currency a Transaction Value 2 Fund ID a3 Reference Number Transaction Mode Amount v Unit Holder ID Pee Units Applied Transaction Date 04 23 2014 E Teneeeema yee la Amount Applied Transaction Number l Description Percent Applied a ona Gan UH amp Fund Transaction Otner IEEE Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Transaction Intermediary Details 1of1 l v Entity ID Entity Type Entity Name Parent Enti
477. s are available at the time of ISA Transfer out transactions the system will display the following error message Un Allotted Transactions available Please do the Transfer once all Units are Priced After an Any year ISA the system will transfer the transactions If there is an investment in the ISA account then the system will display the following error message while saving ISA account transferred New investments not allowed Note This will not apply for system generated transactions This check will only be done for the Tax Year when the Full Transfer was done Post that tax year this validation will not be applied The system will display G1 G2 split of units at fund level under transfer This will also be applicable to non ISA accounts In specie Transfer In You can transfer your ISA account to another ISA manager during the current ISA tax year by either a complete ISA transfer or a Partial ISA transfer This will essentially be a one legged unit based transaction The system will allow you to select ISA manger and based on the ISA manager chosen the system will validate the transfer in funds against the list of funds mapped to ISA manager If the fund does not exist in the list maintained at the Entity level then the system will display the following error message Fund not in Acceptance list for ISA manager The validation will be based on the Fund ID and the New ISA manager captured at the time of in specie Tr
478. s have been received option Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Click on the UH signature button to verify the signature of the unit holder involved in the transaction 4 6 15 3 Transaction Section 1 Specify the price basis for redemption transactions for the fund distributor and investment account type for the transaction This information is defaulted for the combination either from the Distributor Price Basis Setup if maintained or from the fund rules for the selected fund and transaction type You can override the default if required 4 20 ORACLE 4 6 15 4 2 Select the exchange rate source to be used in the Exchange Rate Source field 3 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field If the transaction value is specified in units or percentage of holdings then the prevalent price for a consolidation transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equiv
479. s in the system To perform bulk update of exchange rates select Bulk Exchange Rate Enrichment in the operation field Certain other fields will be displayed in this screen if you choose the operation as Bulk Exchange Rate Enrichment ot ORACLE To invoke this screen type UTDTXNEE in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS Enrich Exchange Rate Detail i New 5 Enter Query Transaction Type Operation Mode Ref Type Exchange Rate Status Exchange Rate Source Fund ID Source Name Fund Name Short ISIN Code Product ID To Date Policy Number Policy Txn Number From Date OK Enrich Exchange Rate Details 1of1 Cl Select Product ID Policy Number Policy Txn Number Transaction Number Transaction Date Enrich the exchange rate details in this screen as follows e Select the operation mode as Bulk Exchange Rate Enrichment e Select the reference type for which you are performing exchange rate enrichment e Select the ID of the fund or the ISIN Code of the fund in which the bulk exchange rate enrichment is being performed in the Fund ID and the ISIN Code fields e The date range when the transaction was processed e Ifthe transaction for which you are enriching the exchange rate is an authorized but un allotted transaction choose the Complete option in the field Exchange Rate Status e If the transaction for which
480. s menu item in the Queries menu You can print the notes as often as required through the Confirmation Reports menu The End of Day processes on a given business day also execute an EOD job that prints contract notes in respect of transactions allocated on a given business day The job checks to see if the contract notes have already been printed from the menu If so duplicates will be printed only if the Duplicates Required option in the task parameters static information for the job has been enabled and set to Yes If the Duplicates Required option has been set to No duplicate contract notes are not printed by the EOD job The Duplicates Required option is He ORACLE 5 5 5 5 1 5 5 2 5 6 configured by the implementers at your installation according to your requirement in respect of printing of duplicate contract notes If the contract notes have not been printed through the Confirmation Reports menu the EOD job prints the contract notes Also if allowed as explained above the EOD job prints transaction contract notes for transactions involving only those unit holders for whom the File option has not been set as the preferred mailing mode in the unit holder account details For transactions involving any unit holders for which the File option has been set in the account details the EOD job suppresses the printing of contract notes Entering Payment Details for Transactions Payment Incomple
481. s sum up to one hundred percent a2 ORACLE 4 6 25 4 6 25 1 3 You can now save the transaction FCIS Block Transaction Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Block Transaction Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Block Transaction Summary screen by typing UTSTXNO6 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details e The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved e Transaction Number e Fund ID e Unit Holder ID e Transaction Type e Transaction Mode e Transaction Date e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the transaction Number Amount Applied Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations b
482. sa versa is not possible The record at the Unit Holder level will however not get updated You will have to manually update the same In case of backdated transactions if transaction date is less than effective date system will default the KIID Compliant field to No and then you need to manually override it Fee Payment Fee Payment Details 1 Ifa transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed 2 Ifyou wish to override this fee specify the overridden value in the Fee after Override field Specify the payment details for the fee in this section Certificate Section 1 If you have selected a certificate option fund then all certificate information fields are enabled The fields are Certificate Required Number of Certificates and the Certificate Details section 2 Ifthe fund you have chosen is a Certificate Option fund as specified in the Shares Characteristics and the unit holder has requested for certificates then choose Yes in the Certificate Required field 3 Specify whether a single certificate or multiple certificates have been requested in the Single Certificate field If single certificates have been designated for the fund you cannot specify multiple certificates here Limit Orders Section 1 Select the
483. saction level provided the fund is a EUSD In Scope fund However you can modify this value The options available are e With holding tax e Exchange of information e Tax exemption certificate System calculates the EUSD tax based on the option specified here However EUSD tax is deducted from the settlement amount only if the EUSD option is With holding tax Auto Clear Provisional Balance Check this option to indicate that 100 outflow transaction should include provisionally allotted units This option will be enabled if the transaction mode is Percent and the transaction value is 100 Auto Clear Reinvestments 1 Check this option to indicate that 100 outflow transaction should include freeze held and reinvestment units This option will be enabled if the transaction mode is Percent and the transaction value is 100 2 If you wish to indicate that standing instructions in respect of the unit holder must be cancelled you can select the Standing Instruction option in the Cancel Instruction field 3 Specify any remarks for the transaction in the Remarks field 38 ORACLE KIID Complaint Optional Select if Redemption Transaction is KIID complaint or not from the drop down list Following are the option available in the drop down list e Yes e No The system will default the KIID compliant at the transaction level upon the selection of the Unitholder and Fund in the transaction screens If the
484. sactions Generated by FCC To recall at installations where Oracle FLEXCUBE Corporate FCC is also present an interface is defined between FCC and FC IS A Sweep Out event in FCC triggers a subscription transaction and Sweep In FCC event triggers net redemption transaction in FC IS Subscription Transaction Generation Whenever a Sweep Out event occurs in an FCC account a subscription transaction is triggered in the corresponding unit holder account in FC IS The subscription transaction is generated as an authorized transaction During authorization FC IS debits the FCC account for the gross transaction amount and the relevant FCC GL entries are posted The payment details will be defaulted with the details of the Sweep Out FCC Account After the sweep out event an End of Cycle EOC operation checks the FCC account balance If the balance exceeds the sweep out limit then the surplus balance will be moved to FCIS All Fund level validations for subscription is applicable for sweep out transactions Redemption Transaction Generation Similarly a Sweep In event in an FCC account triggers a redemption transaction in the corresponding unit holder account in FC IS On allocation FC IS credits the FCC account with the net redeemable amount The payment details will be defaulted with the details of the Sweep In FCC Account Whenever a retail teller transaction is authorized in FCC a Sweep In process is trigge
485. sactions for the Royal Trust Growth Fund Therefore S1 and S3 are displayed in the Intra Day Transaction Check screen Also the number of units for transaction S2 falls below the minimum units for subscription transactions for the Royal Trust Growth Fund Therefore S2 is displayed in the Intra Day Transaction Check screen At Identification Number level The transactions S2 and S4 are summed for NRIC N0001 and the sum 10 000 090 units exceeds the maximum units for subscription transactions for the Royal Trust Growth Fund Therefore S2 and S4 are displayed in the Intra Day Transaction Check screen Also the number of units for transaction S3 falls below the minimum amount for subscription transactions for the Royal Trust Growth Fund Therefore S3 is displayed in the Intra Day Transaction Check screen Readjusting Unit Holder Portfolio You can define percentage of the readjusted portfolio fund wise for a given Unit Holder using the Readjustment of UH Portfolio screen Based on this percentage defined the system will readjust portfolio by means of switch pseudo switch on the given funds of the unit holder All the switch and pseudo switch transactions are unit based transactions You can invoke this ae ORACLE 5 15 1 5 15 1 1 screen by typing UTDUHPR in the field at the top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below UH Portfolio Readj
486. screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Block Transaction Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 4 6 25 6 Amending FCIS Block Transaction Record After a FCIS Block Transaction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the FCIS Block Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The FCIS Block Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the
487. screen also provides you with ability to perform actions on previously stored or incomplete transactions You can perform the actions of editing viewing authorizing the details of a transaction You can also authorize a previously saved adjustment transaction and apply a modification to an authorized transaction The summary screens can be accessed by logging into the Agency Branch module of the browser You can invoke the FCIS Adjustment Subscription Transaction Summary screen by typing UTSADJO02 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button FCIS Adjustment Subscription Transaction Summary Authorized Record Status X Fund ID Transaction Number as Transaction Date as Unit Holder ID Transaction Type Beili Advanced Search Records per page 15 v 1 of 1 Authorized Record Status Status Transaction Number Reference Number Fund ID UnitHolderID Transaci r m 6 2 1 Retrieving Transaction in Transaction Summary Screens You can perform all these operations through the Adjustment Transaction Summary screens You can retrieve a previously entered adjustment transaction in the Summary screen as follows In the browser select the Adjustment Subscription Summary or the Adjustment Redemption Summary options from the Transaction menu category of the Agency Branch module Specify any or all of the following paramet
488. self 24 ORACLE SI Number System Generated Information This is a unique identifier that is given to each standing instruction by the system for all future reference This number is generated automatically by the system when you have entered all the mandatory information for the standing instruction in this screen and saved it Description 255 Character Maximum Alphanumeric Optional Narrate a brief description of the standing instruction This description could typically be indicative of the nature and impact of the standing instructions SI Level Alphanumeric Optional Select the option Fund Level if the standing instruction is applicable for an individual fund Else select Plan Level to indicate that the standing instruction is applicable for a savings plan By default the SI level will be Fund level Note Depending on SI Level that you select certain fields will be displayed KIID Compliant Select if the standing instruction is KIID compliant or not from the drop down list Following are the options available e Yes e No If Sl is maintained for a single fund then for the UH and Fund selected the system will default Yes No value based on UH level mapping In case the fund is selected is a non UCITS fund or if there is SI maintained for multiple funds at SI Fund Info tab then this field will be blank In case there is no UH mapping for the UCITS fund selected the system will default
489. ser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The Distribution Void Summary screen is displayed Select Authorize operation from the Action List When a checker authorizes a transaction details of validation if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction 5 13 3 6 Amending Void Details After a fund restriction record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the Distribution Void Summary screen from the Browser og ORACLE 5 14 e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the
490. sfer Summary screen from the Browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed records The One Legged Transfer Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 12 5 5 Authorizing ISA Transfer Details An unauthorized fund restriction record must be authorized in the system for it to be processed To authorize a record e Invoke the One Legged Transfer Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The One Legged Transfer Summary screen is displayed Select Authorize operation from the Action List When a checker authorizes a transaction the system will creat
491. sible for consolidation transactions 2 Specify the value of the transaction in the Transaction Value field This is the number of units contained in the certificates that are to be consolidated This value will be validated against the minimum maximum and step values specified for consolidation transactions in the Transaction Processing Rules for the fund It is also validated against the units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits 3 Select the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field The currency you select here must be one that is a valid transaction currency designated for the selected fund in the Fund Transaction Currency rule Conversion of Transaction Value into Fund Base Currency 1 Select the exchange rate source to be used in the Exchange Rate Source field 2 Click the Calculate button The system obtains the applicable exchange rate for the application date and computes the equivalent of the transaction value in the fund base currency This value is displayed in the Amount in Fund Base Currency field The applied exchange rate is also displayed in the Applied Exchange Rate field Since the transaction value is specified in units then the prevalent price for a consolidation
492. sieeeeeeeeeeeess 4 2 44 Transactions Generated by FCC ooo ceeeeneeeeeeeenneeeeeeeaaeeeeeeeaaeeeeeeeaeeeeeseaaas 4 4 4 4 1 Subscription Transaction Generation 1 ccccccccceceeeeeeeneeeneeeeeeseeeeeetteeteees 4 4 4 4 2 Redemption Transaction Generation 1 1 cccccccccccceeeseetesseeeeeseeeeeetteeteens 4 4 4 5 Transaction Processing Flow of Events 0 0 0 0 cececceeee centre ee eeeneeeeeeetnneeeeeeetneeeeereas 4 4 4 5 1 Unauthorized Stages inesse airian eiiean iain a A idi ea AAE E Eii i 4 4 49 2 Authorized Slager e n T eae 4 5 4a Amendment Staga ierre ee aiena ee ea el E TEENE 4 6 4 5 4 Allocation Of Transactions srsseessrirrmise iriarte a iE ae N En 4 6 4 6 Transaction Processing ProcedureS e sesssesriisseeerrrssttirrsstttrrsssttrrssstrerrssrtnens 4 7 4 6 1 Before you Enter Transaction Request sseesiisssesiinnneerrrnreeernnrneeeen 4 7 4 6 2 Entering and Saving IPO Transactions eeeeeeeeeeeeeeeeeeenneeerrneneerrenneeeen 4 9 4 6 3 FCIS IPO Subscription Summary SCrOON Lo ce ce eee eee teetteteeteenaees 4 23 4 6 4 Entering Bulk Transactions ccccccecsceeceeeeeeeeeenceeeeeteeeeaeeeteneaaaeeeteeeaatees 4 26 4 6 5 Transaction Details section eeessseessriinnerrrrrrnnrrrrnnrrirnnnsrnrnnnnrinnannnnnna 4 29 4 6 6 Specifying Settlement Details 2 0 eect eee eeeeeeeeeeteneeeeeeteeaeeees 4 30 4 6 7 Processing Dilution LOVY erris iiig iaa aiea e ieaiai aari iai 4 33 4 6 8 Viewing B
493. sing the Unlock operation from the Action List To make changes to a record after authorization Invoke the FCIS Redemption Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen 00 ORACLE e Double click the record that you wish to authorize The FCIS Redemption Transaction Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 4 6 16 7 Authorizing Amended FCIS Redemption Transaction Record 4 6 17 An amended FCIS Redemption Transaction record must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Entering and Saving Redemption Transactions in Light Weight Detail You can save a redemption transaction request into the system in the following fields in the following way Navigate to the Redemption Transaction Light Weight Detail screen Invoke the
494. sures to ensure its safe use Oracle Corporation and its affiliates disclaim any liability for any damages caused by use of this software or hardware in dangerous applications This software and related documentation are provided under a license agreement containing restrictions on use and disclosure and are protected by intellectual property laws Except as expressly permitted in your license agreement or allowed by law you may not use copy reproduce translate broadcast modify license transmit distribute exhibit perform publish or display any part in any form or by any means Reverse engineering disassembly or decompilation of this software unless required by law for interoperability is prohibited The information contained herein is subject to change without notice and is not warranted to be error free If you find any errors please report them to us in writing This software or hardware and documentation may provide access to or information on content products and services from third parties Oracle Corporation and its affiliates are not responsible for and expressly disclaim all warranties of any kind with respect to third party content products and services Oracle Corporation and its affiliates will not be responsible for any loss costs or damages incurred due to your access to or use of third party content products or services
495. system does not allow the transaction to be saved When you specify the unit holder e The funds in which the specified unit holder can transact can be selected as Fund ID from the option list 1 The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date If you specify an earlier date the fund that you choose for the transaction must be one for which backdating of transactions is allowed in the Transaction Processing Rules The specified earlier date must also be within the backdating limit as specified for the fund in the Transaction Processing Rules If the transaction is being put through as a result of a check issued by an investor with the check writing facility in a fund for which the check writing facility is allowed you should specify the date of issue of the check as the transaction date If the unit holder account has a stop instruction i e is frozen then you can only input the transaction if the transaction date is ahead of the Stop Account Release Date specified in the account profile 2 Specify the reference number for the transaction in the Reference Number field If the reference number is designated to be system generated for the agency branch then the Reference Number field is locked and the number will be generated by the system wh
496. t it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify Intermediary Details Override Allocation Loads and Document Details if necessary e Alternatively the following information may also need to be captured before you save a redemption transaction 1D ORACLE In the Intermediary section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent In the Load Override section you may need to override an allocation frequency charge or load There are three options available for such overrides Discount Return Value and Increase Discount will reduce the slab value by the specified percent amount for all slabs Increase will increase the slab value by the specified percent amount for all slabs Return Value will change the return value for all the slabs to the specified percent amount In the Document Details section you may need to capture the document id of the unit holder You can either enter the document id or choose the same from the option list provided This section will be enabled only if your installation is integrated with DMS e You can now save the transaction 4 6 15 11 Viewing Balance Holdings of a Unit Holder 4 6 16 4 6 1
497. t are being consolidated if any Partial consolidation of certificates is not possible KYC Details 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check the Tax Document option 4 Once all the documents required for the transaction have been received check the All the requested KYC docs have been received option Note If no list has been maintained for this transaction you may still record the KYC list for the transaction If KYC list is not maintained for your installation system will consider the doc uments as submitted by default Save the transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is
498. t based on the fund CPMF preference If CPMF Bonus Type is Fixed Percentage cannot be modified during the transaction input i e Bonus is credited on the lag EOD activity Details regarding CPMF Preference are explained in the section Maintaining Fund CPMF Preferences in the Fund Manager module 2 Indicate the lag for the CPMF bonus to be credited Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field If you have defined a different trade cycle for the fund in the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the price date from the maintenance Dealing Date By default the dealing date is derived based on the dealing date maintained for the fund in the Specific Fund Price Date Setup screen The date displayed here can be altered if required and you can specify the requisite dealing date Dealing date will not be displayed on the screen if it is not maintained for a fund or the fund is not a specific price date fund System will default the transaction date as the
499. t detail screens In other words you can enter a buy order in the Subscription Detail screen and a sell order in the Redemption Detail screen in the same manner as you would normal subscription and redemption transactions You must however specify the options for the limit orders in each case After you have initiated the transactions in the corresponding transaction input screens the orders would be executed according to the options you have specified either automatically by the end of day processes if allowed for the fund or after manual confirmation is received if automatic processing is not allowed for the fund Limit orders can be executed whenever the desired price is prevalent within a specified period price based or on a specified future date date based Specifying Delivery Options This feature is only available if your installation has requested for it To learn how to specify delivery options for a transaction refer the Annexure Specifying KYC documents details You can maintain KYC lists for the combination of country type and the investor category You can check the documents received from the investor while processing a transaction oe ORACLE 4 6 2 System allows you to save with the transaction even if the unitholder has not submitted all the required KYC documents However you will not be allowed to perform the completion operation on that transaction unless all the required documents have been received fr
500. t working date is arrived based on fund calendar If no Fund calendar is maintained then system checks for the AMC and system calendar respectively If dealing date for a transaction is not specified then system calculates the dealing date based on the dealing lag maintenance and adds the payment lag maintained for the combination of fund and transaction type Paid Date DD MM YYYY You need to specify the paid date for subscription transactions In case of redemption transactions system defaults the paid date based on the dealing date payment lag and currency cutoff time However you are allowed to modify this On specifying the paid date System calculates the FBC TC amount based on the Exchange Rate source and FX Rate entered Note Paid Date cannot be less than Payment Date and the transaction date However it can be back dated or future dated You will not be allowed to enter paid date if you have not spec ified the exchange rate information aay ORACLE Auto Settle By default this option is set to No However you can change this If you set this option to Yes then the particular payment is settled by auto clearing process based on the settlement due date You can override the auto settlement process by specifying the paid date and manually settling the payment Payment Type Mandatory This defines the type of payment Following are the options available e Retained By If case of any rounding
501. tail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc 4 82 ORACLE 4 6 20 2 4 6 20 3 Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc FCIS Transaction Switch Summary Auth Status Record Status Transaction Number B Fund ID Unit Holder ID Transaction Type Transaction Date 3 Ref Type Maker ID AMC ID Advanced Search Reset Records per page 15 v Tas Auth Status Record Status Status Transaction Number Fund ID Unit Holder ID Transaction Type Transacti p m Editing FCIS Transaction Switch Record You can modify the details of FCIS Transaction Switch record that you have already entered into the system provided it has
502. te Transactions When you enter a transaction request from an investor into the system in the Transaction Details screens you can save the transaction without entering any details of payment in either of the following cases e For instance in the case of a gross basis transaction you would capture the mode of payment as mandatory information but the investor need not actually furnish details of any payment instrument at the time of transaction entry e Inthe case of net basis transactions you would not capture any payment details as the actual amount of the transaction is not known at the time of transaction entry Whenever you do not enter the payment details the transaction is saved as a payment incomplete transaction Further a payment incomplete transaction can be authorized and the payment details completed or entered subsequently after authorization Let us understand gross basis and net basis transactions clearly Gross Basis and Net Basis Transactions An investor may request either a gross basis or a net basis for processing a transaction at the time when you enter the request into the system Let us consider an example to understand how transactions are processed on gross or net basis Exchange Rate Incomplete Transactions When you enter a transaction request from an investor into the system in the Transaction Details screens you can save the transaction without specifying an exchange rate in
503. tem defaults the value maintained in the Transaction Processing Rule Detail screen However the value available here is considered for auto termination of the standing instruction a6 ORACLE If you set this counter to zero then the SI is cancelled on the very first rejection of the payment and the SI status maintained as Cancel If there is no value maintained then the SI will not be automatically terminated if the payment is rejected Note After automatically terminating the SI the system will set the description for the SI to Can celled due to exceeding cumulative payment rejections Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only SI Auto Termination Consecutive Counter Optional Specify the maximum number of times consecutive SI payment rejections are allowed before the SI is automatically terminated If you have not maintained any value then on saving modifying the SI transaction the system defaults the value maintained at the Plan Maintenance screen if the SI level is Plan Similarly if the SI level is Fund then the system defaults the value maintained in the Transaction Processing Rule Detail screen However the value available here is considered for auto termination of the standing instruction
504. tenance Detail screen to create templates for standing instructions You can invoke this screen by typing UTDRSPM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ae ORACLE 2 4 1 2 4 1 1 2 4 1 2 Fields in Savings Plan Maintenance Screen Plan Maintenance Detail New 453 Enter Query Plan Details Plan Code Contribution Details Minimum Contribution Amount Contribution Frequency Value Contribution Frequency Description SI Auto Termination Cumulative Counter Bank Details Bank Account Number Pay Code Auto Pay Credit Bank Name IBAN Fund Details 1of1 Fund ID Fund ISIN Plan Description Contribution Currency Minimum Contribution Period Currency Name Min Contribution Period Name SI Auto Termination Consecutive Counter Branch Account Name Payment Due Date Branch Name Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Plan Maintenance screen Input by Authorized by Mod No Plan Details Section Plan Code 6 Characters Maximum Alphanumeric Mandatory Plan Description Contribution Details Section 60 Characters Maximum Alphanumeric Mandatory Enter descriptive text a short phrase that qualifies the plan Provide a unique identification for the new template you are cre
505. ternal third party Accordingly select self if the payment is being made by the unit holder and select third party if the payment is being made by an external party other than the unit holder Payment Bank Code Payment Bank Code is the Bank ID of the Unit Holder Bank Name Display Only The system displays the Bank name of the specified payment bank based on the details maintained at Entity Maintenance level Payment Branch Payment Branch is the branch code of the bank selected Branch Name Display Only The system displays the Branch name of the specified payment branch based on the details maintained at Entity Maintenance level IBAN 36 Characters Only Alphanumeric Optional Specify the IBAN International Bank Account Number of the account holder Transfer Details Section Transfer Details Alc Holder Name Display Only When you select the bank account of the unit holder that is being used to make the payment the name of the holder of the transfer account is displayed here Account Type Display Only When you select the bank account of the unit holder that is being used to make the payment the type of the transfer account is displayed here Account Number Display Only When you select the bank account of the unit holder that is being used to make the payment the account number of the transfer account is displayed here Third Party Details Section When you select the Mode of Pa
506. the Override Trade Cycle Date screen and the transaction falls within the override period mentioned in this maintenance the system will default the settlement date from the maintenance ol ORACLE Refer the chapter Other Fund Activities for more details on maintaining alternate trade cycles for a fund If the client country parameter HSBCSPECIFIC is set to true for your installation system will allow you to enter a settlement date greater than equal to or lesser than the transaction date only in case of subscription transactions EUSD Option Optional The EUSD option specified for the unit holder is defaulted here provided the fund is a EUSD In Scope fund However you can modify this value The options available are e Withholding tax e Exchange of information e Tax exemption certificate System calculates the EUSD tax based on the option specified here However EUSD tax is deducted from the settlement amount only if the EUSD option is Withholding tax Dealing Date Date Format Optional The dealing date as maintained for the fund in the Specific Fund Price Date Setup screen is defaulted to this field The date displayed here can be altered if required and you can specify the desired dealing date In case dealing date is not maintained for the fund or the fund is not a specific price date fund dealing date will be equal to the transaction date and cannot be changed If you have defined a different t
507. the Action list to amend the transaction Amend the necessary information Click the Save button to save your changes Only escalation details can be changed during an amend operation oa ORACLE 6 5 2 Authorizing Amended Amount Block Unblock Transactions An amended Amount Block Unblock transactions record must be authorized for the amendment to be made effective in the system The authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions ee ORACLE 7 Function ID Glossary U UTDTXNEE 0 eecccscceseeeeee 5 50 5 52 UTDADJO3 ciiscieateainciauiuncasauies 6 1 UTDTXNLO ssis 5 59 WT DAMTOP siasecciliccencctstncisinciats 6 17 UTDTXNLT 4 51 4 67 4 79 4 94 UTDBUTD ceceecesseetereteeen 5 137 UTDUHBAL uo seeseesesntsesnnes 5 47 UTDCHQTR sigeaestsbacsttcatieuns 5 141 UTDUHDEL eects 2 29 5 24 UTDCNTXN cocccccccccccccccccecececeees 4 47 UTDUHPR eee 5 114 UTDDVOID cccccccccccccccccceeeees 5 105 UTSADJO2 cc teec sed nieteedanaces 6 13 UTDGOCNP csccscescesteseeseenes 5 72 UTSCHOTR osise 5 139 5 143 UTDGOMNT ccccccccccccccccceccecees 5 66 UTSGOCMF iiris 5 76 UTDGOREN cooccccccccccccccccceccecees 5 80 UTSGOENG ec eeeeeeeeeeeneees 5 95 UTDGOSTL scisiecascdedsccasssciiicens 5 88 UTSGOMNT on eeeesteseeteeteeneees 5 68 UTDHLPDS cscecestesceseeeee 5 120 UTSGORCN
508. the GO will have the same price for the transaction date fund transaction type combination IF GO price is correct you can update other GO for same transaction date transaction type fund and even fund price On update all the GO will have same price for the transaction date fund transaction type combination Once the price is amended with the correct price you can authorize the transaction from GO Reconciliation screen The mismatch transaction will no longer reflect in the GO Reconciliation screen once authorized a ORACLE 5 10 1 To invoke this screen type UTDGORCN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button to perform the following operations Global Order Reconciliation Detail la Save GO Number z GO Date GO Status Price Mismatch AMC ID GO Units GO Transaction Type GO Confirmed Units Nominee Account Number GO Amount GOMode Units GO Confirmed Amount Fund ID GO Confirmed Price Unit Holder ID Transaction Category Legacy UH Account Type GO Price Date mena Transaction DateTime Input by Authorized by DateTime Mod No Open Authorized Fields in the GO Reconciliation Detail Screen Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the GO Confirmation Detail screen You can enter the following in this screen GO Number A
509. the aggregation level at which the check must be performed in the Criteria field Click Process button to apply the check The system aggregates all the unallocated transactions into each fund at the level you have specified and displays those transactions that violate the limits maintained in the Transaction Processing Rules for the fund a ORACLE 5 14 1 5 14 2 5 14 3 Fields in this Screen Criteria Level Alphanumeric Mandatory Select the level at which transactions must be aggregated for enforcement of the transaction limit check The system aggregates all unallocated transactions into each fund at the level you have specified and displays those transactions that violate the limits maintained in the Transaction Processing Rules for the fund You can specify any of the following levels e CIF Across all accounts in a CIF which transacts in the fund e Unit Holder Across all unit holder accounts transacting in a fund e Identification Number Across all identification types and identification numbers transacting in a fund Pre EOD Check for Intra day Transaction Validation During the Pre EOD processes the system checks for the transactions that violate the minimum maximum limits defined for the fund aggregated at CIF level and ensures that they are not put through Intra day Check Example In the Transaction Processing Rules the following minimum and maximum limits have been maintained
510. the selected fund with processing frequency that is different from transaction time loads and allocation time loads i e with processing frequency as F are populated in this field Load Amount Alphanumeric Optional Specify the load amount applicable for the selected load description for the adjustment transaction If you do not enter a load amount in this field the system reckons the load to have a zero value The load amounts that you specify here will not be processed at the time when the adjustment transaction record is inserted into the allocation tables The Transaction Intermediary Tab If a broker has been identified as an intermediary for the transaction then you must identify the same in this section along with the commission percentage split for the broker If brokers are designated as mandatory for the fund in which the transaction is being put through then you must specify at least one broker as mandatory information in this section eG ORACLE If brokers are not mandatory for the fund and you do not specify any broker in this section then the system reckons the broker as DIRECT and designates the same as the default broker Broker Code Alphanumeric Optional Select the code of the broker that has been identified as the intermediary for the transaction By default the code of the unit holder s default broker is displayed here You can specify other brokers too by selecting them from the list To invoke t
511. the transactions based on the selection criteria are displayed Fund ID Display Only The ID of the fund on which the transaction has occurred is displayed here Original Return Value Display Only The original return value percentage of each of the applicable loads before the override is displayed here oe ORACLE 5 7 3 3 Original Load Amount Display Only The original load amount of each of the applicable loads before the override is displayed here after being calculated based on the return value You are allowed to override the following details in this section Override Return Value Numeric Optional Enter a value to override the original Return Value for the given load for the given transaction If nothing is entered then the Return Value will be taken as it is for allocation purposes provided the Override Load Amount is not changed If the Return value specified is a percentage you can override this percentage too If the Load Amount is changed the change is also reflected in the Load Return Value field Override Load Amount Numeric Optional Enter an amount to override the original Load Amount for the given load for the given transaction If nothing is entered then the Load Amount will be taken as it is for allocation purposes provided the Override Return Value is not changed If the Load Return Value is changed the change is also reflected in the Load Amount field To Override Indicate one of the follow
512. then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete The GO Confirmation Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Note The maker of the record can only delete the unauthorized record 5 9 2 5 Authorizing Global Order Confirmation Record Apart from the maker someone else must authorize an unauthorized global order confirmation record deal in the system for it to be processed To authorize a record e Invoke the GO Confirmation Summary screen from the Browser e The status of the transaction in the Authorized field Choose the Unauthorized status e Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Select the Authorization operation from the Action list to authorize the selected record 5 9 2 6 Copying Global Order Confirmation Record To create a new record with details similar to a previously created record refer to the fol
513. then the following fields are enabled for data entry 5 By clicking UH Deal button you can obtain the field Transaction Fee amp Fee in Fund Base Currency These fields will come under Fee Payment Section denoted by Fee Payment button 6 Specify any remarks for the transaction in the Remarks field 4 21 ORACLE 4 6 2 10 KYC Section Click on KYC tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 4 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Type Description Transaction Date Transaction Number Amount Applied Percent Applied Payment Mode Select One UH amp Fund Transaction Other Intermediary Load Override MSEE Add inio Fee Payment Certificate Limit Order KYC Transaction Details 1of1 a Requested Requirement Received Received Date Tax Document m m No Chasing Date Kyc Received No Document Details Document ID Type Description Document Type Settlement Details Receipt Details Project Allocation Details Allocation Details Input By DateTime Mod No Authorized By DateTime utes Unauthorized 1 Click on the KYC and Documents section to access the KYC Transaction KYC Details screen List of KYC documents required for the unit holder is displayed Mark all documents that have been received
514. this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field 101 ORACLE Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section Specify the Certificate Details In the Certificate Details section you must specify the numbers of the certificates that are being blocked if any If partial blocking has been requested from any of the certificates check the Partial check box against that certificate in the Certificate Details section Specify the Pledgee Details In the Pledgee Details section you can indicate whether the dividend proceeds on the blocked units should be paid to the pledgor pledgee or to hold back the payment If you choose to pay the dividend to the pledgee you need to specify the details of the pledgee such as pledgee name address and account details You can also specify the IBAN International Bank Account Number of the account holder KYC Details 1 Click on the KYC Details button to access the KYC Transaction KYC Details screen List of KYC documents required for the transaction is displayed Mark all documents that have been received from the investor along with the date on which it was received 2 Ifthe investor has not completed the KYC requirements specify the date on which document chasing must be initiated If the document submitted is a tax document then check t
515. tified brokers for the selected unit holder are displayed here from the unit holder account profile along with the parent brokers and the split percentages You can alter this list or add to it The split percentages that you specify for all brokers you choose for the transactions must sum up exactly to one hundred percent If brokers are designated as mandatory for the fund in which the standing instruction transactions are to be put through you must specify at least one broker in this section s mandatory information Click SI Intermediary tab to enter the details FCIS Standing Instructions Detail SI Basic Info SI Fund Info SA GWEm EG SI Payment SI Delivery Details SI Bank Details SI Routing Details SI Intermediary Details 1of1 F Entity Type Broker intermediary Split Percentage From Or To Leg r Not Selected w zz From f KA Input by DateTime Mod No Authorized by DateTime Open Authorized Entity Type Mandatory Select the Entity Type from the drop down ae ORACLE 2 2 1 4 Broker Intermediary Alphanumeric Optional You can also select the broker preferred by the investor from the list and the corresponding information regarding the Intermediary and Parent Broker Name will automatically be populated in the adjoining fields on selection of the Broker Name Split Percentage Percentage Format Mandatory for each selected broker code Specify the percentage of the
516. tion and displayed here This rate can be overridden if the Override Exchange Rate box is checked If this applied exchange rate is overridden the overridden value must fall within the fluctuation range allowed for the transaction currency fund base currency pair in the Currency Pair Setup records Adjustment Type Alphanumeric Mandatory Select the mode in which the units have resulted or the origin of the units in the Adjustment Type field You can choose any of the following e Adjustment Transaction e Bearer Shares e Insurance Units g ORACLE Payment Mode Description Alphanumeric Mandatory Select the mode in which the payment must be made or received from the drop down list If the adjustment transaction currency is EURO then the mode chosen cannot be Cash If the mode of payment chosen here is cash all the bank details fields and the check or credit card related fields will be disabled Remarks 255 Characters Maximum Alphanumeric Optional Enter any text explaining or relating to the adjustment transaction Tick the Details check box to activate the following tabs Add Info Document Details Load Details Broker Details The Load Details Tab Load Details Load Details 1of1 E LoadID Load Description Amount Load Description Alphanumeric Optional Select the load that is applicable for the adjustment transaction When you specify the fund in the Fund field all loads mapped to
517. tion will be enabled only if your installation is integrated with DMS You can now save the transaction FCIS IPO Subscription Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS IPO Subscription Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS IPO Subscription Summary screen by typing UTSTXN0O1 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details The status of the record in the Authorization Status field If you choose the Blank Space option then all the records are retrieved The status of the record in the Record Status field If you choose the Blank Space option then all records are retrieved Transaction Number Reference Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date Dealing Date A ORACLE e Limit Order Details e Payment Mode e Completion Date e Agent Code e AMC e Maker ID Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Transaction Number Press F8
518. tions Entering Bulk Transactions You may need to enter multiple transactions in multiple funds for a unit holder Use FCIS Bulk Transaction screen for such requirements You can invoke this screen by typing UTDTXNB in the field at the top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below FCIS Bulk Transaction Detail D New 9 Enter Query Bulk Transaction Number Transaction Date Transaction Mode Amount Unit Holder Name Fund ID Payment Mode Select One Unit Holder ID Transaction Type Select One Source ID Fund Name Remarks CIF Number ISIN Code Aggregate Currency Transaction Details 1of1 E Txn Date Unit Holder Fund ID Transaction Type Sub Type TXN Mode TXN Value PaymentMode m IPO Subscription Amount Total Amount Settlement Details Input By Date Time Modification Number Total Units Authorized By Date Time iuni Unauthorized You can maintain the following details 4 20 ORACLE Bulk Transaction Number When you save the multiple transactions that you have entered in this screen a bulk transaction number is generated by the system for each set of multiple transactions entered You can use the bulk transaction number to retrieve the transactions in the Bulk Transactions Summary screen Transaction Date The transaction date is defaulted However you can modify the same Transaction Mode Select the mode of tr
519. tions at the time of ISA allowance limit computation for the tax year The system will not allow backdated transfers However you can record date of transfer which can be back dated The system will use amount captured in the current year ISA subscription amount limit field to update utilised amount for the unitholder In Specie Transfer Out An investor can Transfer out his ISA account to another ISA manager during the current ISA tax year This will essentially be a one legged unit based transaction Following are the different options available 220 ORACLE e Any year ISA The system will auto calculate number of units that can be transferred and will populate the fund Grid e Previous Year ISA full The system will auto calculate number of units that can be transferred and will lock the fund grid e Current year ISA The system will auto calculate number of units that can be transferred and will lock the fund grid e Previous year ISA partial The system will auto calculate number of units that can be transferred However you can modify this On authorisation of the record the system will generate redemption transactions at the Fund Level In specie redemption transactions will have payment mode as In Kind Inspecie Transfer Out will record these transfers While saving the system will automatically populate the Current Year ISA Subscription Amount and the Previous Year ISA amounts If any un allotted transaction
520. tlement Detail screen View a Record Edit a Record Delete a Record Authorize a Record Amend an Authorized Record Close a Record Copy a Record 5 11 2 2 Viewing Global Order Settlement Record To view a record that you have previously entered you must retrieve the same in the GO Settlement Summary screen as follows Invoke the GO Settlement Summary screen from the Browser Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The Fund ID in the Fund ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The GO Settlement Detail screen is displayed in the view mode 5 11 2 3 Editing Global Order Settlement Record You can modify the Global Order Settlement details that you have already entered into the system
521. to the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Distribution Void Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Distribution Void Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The Distribution Void Summary screen is closed and the changes made are reflected in the Distribution Void Summary screen 32107 ORACLE 5 13 3 3 Viewing Void Details To view a record that you have previously input you must retrieve the same in the Distribution Void Summary screen as follows e Invoke the Distribution Void Summary screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or aut
522. transaction At this stage you can save the transaction by clicking the Save button at the bottom of the Transaction Information Section The transaction is saved and the system generated transaction number and the reference number if any is displayed Note If the Auto authorization feature is enabled for the Save operation for the AMC ID then the transaction is saved as an authorized transaction If not it is saved as an unauthorized transaction In either case the Transaction Number is generated and displayed when you invoke the Save operation Specify additional information if necessary Click on the Transaction Add Info button to enter any additional information for the transaction You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment Specify Broker Details 1 Alternatively the following information may also need to be captured before you save a reissue transaction Click the Details button to capture this information and then click on the required section link 2 Inthe Broker Details section ensure that all the identified brokers for the unit holder that have not been disabled as on the application date have been selected and that the commission split percentages for all selected brokers sum up to one hundred percent 3 You can now save the transaction FCIS Reissue Transaction Summary Screen You can
523. transaction on the transaction date is used to compute the amount of the transaction and the same is converted into the fund base currency equivalent 3 If you wish to override the applied exchange rate at this stage select the Yes option in the Override Exchange Rate field Specify the overridden exchange rate in the Applied aa ORACLE Exchange Rate field and click the Calculate button again If overridden the overridden exchange rate should be within the permitted fluctuation limits defined in the Source Maintenance Specify the Communication Mode and Remarks 1 Select the mode in which the transaction request was communicated in the Communication Mode field 2 Specify any remarks for the transaction in the Remarks field Override Fee if necessary and specify Fee Payment Details 1 Ifa transaction entry charge or transaction time fee is applicable for the fund then click the Calculate button The transaction time fee equivalent in both fund currency and transaction currency is computed by the system and displayed If you wish to override this fee then choose Yes in the Override Fee field and specify the overridden value in the Fee after Override field 2 Click the Details button and then the Fee Payment Details button Specify the payment details for the fee in this section Specify the Certificate Details In the Certificate Details section you must specify the numbers of the certificates tha
524. ts If so choose the Units option If the subscription is through an amount choose the Amount option 12 Specify the value of the transaction in the Amount Units Value field based on transaction mode selected it will change This value will be validated against the minimum maximum and step values specified for subscription transactions in the Transaction Processing Rules for the fund It is also validated against the amount units limit values maintained for both the communication mode selected for the transaction and the investor category of the selected unit holder A warning which can be overridden is displayed if the value is not within the limits Transaction Category Optional Select the type of transaction from the adjoining drop down list Following are the options available in the drop down list e Legacy Direct Business e Advised Business e Execution Only This field is enabled after you click Enrich button UH and Fund Section UH Deals Tab 1 Click on the UH Deals tab to view the details of all the deals set up for the unit holder Enter the relevant search criteria in the Find Options screen The system will display the records that match the search criteria you have specified 2 By Clicking on Enrich transaction button information is defaulted in the UH and fund section If the selected investor is eligible for tax exemption select the tax product in which the investor wishes to purchase units in the Pr
525. tus of Payment Instrument To update the clearing status of a payment instrument for a transaction in the Payment Clearing screen do as follows In the Selection Criteria section specify the following details as search parameters to retrieve the transaction records for which the payment instruments must be cleared In the Mode field select the New option In the Level field select the Transaction option In the Payment Mode field select the mode of payment specified for the transaction for which you want to update the clearing status of the payment instrument To cleara specific payment instrument enter the number of the instrument in the Specific Number field In the Date Range fields specify a range of dates that would signify the period between which the transaction date or the allotted date of the transaction would be found Click on the Show Details button All transactions with payment instruments that match your search criteria are displayed in the lower grid portion of the screen in a list Transactions that satisfy the following criteria are displayed All necessary information such as payment mode sub payment mode payment currency payment amount etc is recorded FBC TC amount equivalent and paid date if auto settlement option is unchecked are recorded Click on the Payment Details link to invoke the Settlement Information screen The payment details of all legs involved in the transaction is displayed
526. ty Name Split Percentage From Or To Leg i V a Agent 7 From v Ly Settlement Details Receipt Details Project Allocation Details Allocation Details View Balance Input By DateTime Mod No Authorized By DateTime uuu Unauthorized Entity ID Alphanumeric Optional Select the code of the broker that has been identified as the intermediary for the transaction By default the code of the unit holder s default broker is displayed here You can specify other brokers too by selecting them from the list To invoke the list click add icon that is found alongside the Broker Code field You can also search for the broker using broker legacy codes Entity Name Alphanumeric Optional When you select the broker code the name of the broker is displayed You can also choose to select the name of the broker for the transaction By default the code of the unit holder s default broker is displayed here You can specify other brokers too by selecting them from the list To invoke the list click add icon that is found alongside the Broker Name field Parent Entity Name Display Only When you select the broker code the name of the parent broker for the selected broker is displayed Split Percentage Numeric Optional Specify the percentage of total commission that is to accrue to the selected broker The sum of all the percentages specified for any brokers identified for the transaction must equal one hundr
527. u Unauthorized Select the Limit Order for Subscription buy option in the Type of Transaction field The Limit Order section is enabled ae ORACLE To set up a price based limit order specify the following details in the Limit Order section e Select Price Based in the Limit Order Type field e Specify the price for the limit order in the Limit Price field This represents the price equal to or below which the transaction must be put through for buy orders e Specify the period within which the limit order must be executed by indicating the boundary dates in the Limit Start Date and Limit End Date fields To set up a date based limit order specify the following details in the Limit Order section e Select Date Based in the Limit Order Type field e Specify the future date on which the limit order transaction must be executed in the Limit Date field 4 6 2 8 Add Info Section Click on Add Info tab in the FCIS IPO Subscription Detail screen FCIS IPO Subscription Detail New 753 Enter Query Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Drache Amount Applied Transaction Number Description Percent Applied Payment Mode Select One UH amp Fund Transaction Other Intermediary Load Override KYC amp Document IMI Fee Payment Certificate Limit Order Addition
528. u can override these values in this section when you are entering a transaction You can capture the numbers of the certificates involved in a transaction Partial usage of the units in an issued certificate is only permissible for redemption switch transfer block and unblock transaction types Minimum Denomination Numeric Mandatory This is the least number of units or the minimum lot that would comprise a single certificate This value is maintained in the Shares Characteristics rule for the fund and is displayed here If user overrides are designated as allowed in the Shares Characteristics rule you can override this value and specify the required minimum lot Maximum Denomination Numeric Mandatory This is the highest number of units or the maximum lot that would comprise a single certificate This value is maintained in the Shares Characteristics rule for the fund and is displayed here If user overrides are designated as allowed in the Shares Characteristics rule you can override this value and specify the required minimum lot Certificate Number Alphanumeric Mandatory Specify the number of the certificate that is to be redeemed switched transferred blocked unblocked split consolidated or reissued as the case may be When you specify the certificate number the number of units contained in it is displayed in the Units field Units Display Only When you specify the certificate number the number of units contain
529. uction record as many times as necessary before having it authorized Only the user that has entered the record can edit it e Have another user authorize the record e Delete the record Standing Instruction Summary screen To either edit authorize or delete an unauthorized standing instruction use the FCIS Standing Instructions Summary screen You can invoke this screen by typing UTSSIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is invoked FCIS Standing Instructions Summary Authorized v Open X SI Number az Unit Holder ID a Fund ID ai Transaction Type a Status a Start Date a End Date a Escalation Start Date a Escalation End Date ad Last Processed Date a Agent Code az Em Records per page 15 v 1 of 1 Authorized Open Status SilNumber UnitHolderID FundID Transaction Type Status StartDate End 4 m Retrieving Standing Instruction in Summary Screen You can retrieve a previously entered record in the Standing Instructions Summary screen as follows e Specify any or all of the following details in Standing Instructions Summary screen e The status of the record in the Authorized field If you choose the Blank Space option then all the records that involve the specified unit holder are retrieved e The status of the record in the Open field If you choose the
530. ulate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields e The Fee Payment Details Section e The Load Override Section Note Split transactions are only possible in scrip based and certificate option funds In certifi cate option funds only issued balances may be utilized for split transactions Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field Specify the Transaction Mode Value and Currency 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder can split a certificate of any denomination into certificates of smaller denominations Accordingly choose the Units option No other mode is possible for split transactions 2 Specify the value of the transaction in the Transaction Value field This is the number of units contained in the certificate s that are to be split This value will be validated against the minimum maximum and step values specified for split transactions in the Transaction Processing Rules for the fund It is a
531. ule The subsequent process of authorization is the same as that for normal transactions Entering and Saving Reissue Transactions To enter a reissue transaction request into the system perform the following sequence of steps Navigate to the Reissue Transaction Detail screen Invoke the FCIS Reissue Transaction Detail screen by typing UTDTXN10 in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The Transaction Detail screen for reissue transactions is displayed with all the default information FCIS Reissue Transaction Detail New 9 Enter Query Client Information Transaction Information Transaction Value Fund ID Unit Holder ID Transaction Date Transaction Number Reference Number Transaction Currency Currency Name Transaction Mode Units Amount Applied Units Applied Percent Applied Enrich Transaction EBB intermediary kyc Details Add Info Certificates Client Information Unit Holder Name CIF Number Fund Name Short Fund Identification Number Fund Base Currency Allocation Details Input By Authorized By UH Sianahire Exchange Details Amount in Fund Base Currency Exchange Rate Source Exchange Rate Applied Override Exchange Rate DateTime DateTime No Calculate Other Details Communication Mode Direct In Person Remarks Maturity Date utes Unauthorized Mod No Auto Generate Unblock Speci
532. ulting from the standing instruction would be put through in the investor s account You can select multiple funds However all the funds should be from the Same AMC or Agent in the Distributor installation Fund Name Display The name of the fund that you select will be displayed FUND ISIN Display The Fund ISIN of the fund you have chosen will be displayed Delete You can delete a record by clicking delete icon aot ORACLE Note You can check more than one Delete box and then click on the link Delete After specifying the above details click Ok button to save the savings plan template 2 4 2 Plan Maintenance Summary screen To either edit authorize or delete an unauthorized savings plan use the Plan Maintenance Summary screen You can invoke this screen by typing UTSRSPM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is invoked Plan Maintenance Summary Authorized Open Plan Code 2 Plan Description a Contribution Currency LH Contribution Frequency a3 Advanced Search Reset Records per page 15 v 1 of 4 Authorized Open Status Plan Code Plan Description Contribution Currency Contribution Frequency Minimu 2 4 3 Retrieving Savings Plan in Summary screen You can retrieve a previously entered record in the Plan Maintenance Summary
533. unt in FBC Settlement Amount To Load Amount To Derived Load Amount From Load Amount From Derived Load Amount e Net of All Fees If you choose this option then the sum of Payment amount in FBC will be compared with the difference between the settlement amount and the sum of all loads whose To and From Entity type is UH Payment Amount in FBC Settlement Amount From Load Amount From Derived Load Amount To Load Amount To Derived Load Amount During clearing subscription transactions and confirming redemption transactions system checks if the sum of the payments is equal to the settlement as per the settlement method rule specified here For redemption transactions the payment amount is compared with the settlement amount and the settlement method is defaulted to Gross Amount You will not be allowed to modify this oat ORACLE Payment Details section Payment Reference Number Alphanumeric Mandatory Enter a unique reference number for this payment Beneficiary ID Alphanumeric Optional In case of a redemption transaction where the transaction has been initiated by the primary unit holder and the Redemption Payout option is checked at the unit holder level in the Unit Holder Maintenance Detail screen the system will default the beneficiaries maintained for the unit holder when you save the transaction You can change these details if required Additionally the system w
534. unt in Fund Base Currency Exchange Rate Applied Override Exchange Rate Jo Other Details Communication Mode Direct In Person Remarks Fund Base Currency Allocation Details Input By Calculate DateTime Aui Unauthorized Authorized By Mod No DateTime Specify the Client Information Transaction Date and Reference Number Specify the unit holder that has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not the system does not allow the transaction to be saved When you specify the unit holder e The funds in which the specified unit holder can transact are displayed in the Fund drop down list e The default brokers maintained for the specified unit holder that have not been disabled as on the transaction date are displayed by default in the Broker Details Section of the screen The transaction date is reckoned to be the application date by default You can alter this and specify any date that is not designated as a holiday in the system If you do specify a holiday the system prompts you to specify a different date 7108 ORACLE If you specify an earlier date the
535. urrency field The name of the chosen fund as specified in the Fund Demographics screen is displayed in the Fund Name field If you have selected a certificate option fund the Certificate Details section is enabled If you have selected a fund for which transaction entry charges are applicable then the following fields are enabled for data entry The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields The Fee Payment Details Section The Load Override Section Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You can modify this field Specify the Transaction Mode Value and Currency 1 Select the mode in which the transaction value will be reckoned in the Transaction Mode field The unit holder can block a portion of the unit balance in any fund so accordingly choose the Units option No other mode is possible for block transactions 2 Specify the value of the transaction in the Transaction Value field The unit holder must have the required unit balance in the fund at th
536. urrency for the fund is displayed in the Fund Base Currency field The name of the chosen fund is displayed in the Fund Name field If you have selected a certificate option fund then all certificate information fields are enabled The fields are Certificate Required Number of Certificates and the Certificate Details section If you have selected a fund for which transaction entry charges or allocation charges or both are applicable then the following fields are enabled for data entry Specify the type of transfer the unitholder has requested for in the Type of Transaction field The available options depend on the values defined at the params maintenance In case of scrip less to scrip based conversions select the option Book to Certificate and in case of scrip based to scrip less select Certificate to Book The Fee Details including the Calculate Fee button the Fee in Fund Base Currency Fee in Transaction Currency Override Fee and the Fee after Override fields Fee Payment Details Section The Load Override Section Price Date The field From Price Date is enabled when you select the fund in which the requested transaction is to be put through The fund should be one for which you have specified forward pricing is applicable The price date is arrived at by taking into consideration several conditions This is explained in the section Defaulting of Price Dates in the Transaction Screens in this chapter You
537. us from the drop down list Following are the options available in the drop down list e Confirmed e Rejected e Pending Confirmation e Amount Mismatch e Unit Mismatch e Price Mismatch For Amount based order if confirmation amount is mismatch then system will save record with Status as Amount Mismatch For Unit based order if confirmation unit is mismatch then system will save record with Status as Unit Mismatch For Amount unit based order if confirmation price is different than the fund price for transaction date and transaction type combination then system will save GO with status as Price Mismatch If unit amount and confirmation price matches then system will save the GO with confirmed status as GO Confirmed al ORACLE You can change the GO status manually to either GO confirmed or GO rejected in the GO Confirmation screen All other statuses are defaulted by the system without manual intervention Once GO is rejected post confirmation of rejected order and all underlying transactions in the GO will be rejected These will not be taken up for allocation GO Units Display The system displays the Global Order units GO Confirmed Units Alphanumeric 8 Characters Optional Specify the Global Order confirmed units GO Amount Display The system displays the Global Order amount GO Confirmed Amount Alphanumeric 8 Characters Optional Specify the Global Order confirmed amount GO Co
538. ust be maintained through the Check Book Request screen e Interface definitions that will be used to upload details of used checks from the clearing house as a bulk file The upload file contains the number of each check that has been issued as well as the amount on each check e Interface definitions that would be used to export details of checkbook requests from unit holders to the designated check vendors and to import details of checkbooks printed against requests from the check vendors You define these interfaces using the Interface Definition facility in the system You can use the Online Execution of Interfaces menu option to execute these interfaces This option would execute each of the following interfaces that you have defined e To export details of checkbooks requested by unit holders to the designated check vendors e To import details of checkbooks printed by check vendors against requests received e To trigger automatic generation of check redemption transactions based on the information in the upload file sent by the clearing house or bank You can also manually enter the redemption transactions in the system in the Transaction Detail screen for Redemption Specifying Details for Limit Order Transactions You can enter limit order transactions in the same manner as you would a normal subscription transaction for a buy order or a normal redemption transaction for a sell order in the corresponding transaction inpu
539. ustment Detail X D New 43 Enter Query RB Transaction Details Errors Unit Holder ID Aggregate Currency Re Adjustment Status Re Adjustment ID Not Processed Cancelled Details 1of1 m Fund ID Fund Name Fund Base Currency Holding after Readjustment Input by DateTime Mod No Authorized by Open EJ DateTime Authorized Fields in the Readjustment of UH Portfolio Screen Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Readjustment of UH Portfolio screen You can enter the following in this screen Main Section Unit Holder ID Mandatory Specify the unit holder ID You can also click Find UH button to find the authorized unit holders The system displays a list of authorized unit holders maintained in the system Aggregate Currency Optional In case the readjustments are between the funds of different fund base currency FBC then you have to specify the aggregate currency Specify the aggregate currency You can also select the aggregate currency from the adjacent option list The option list consists of all the valid and authorized currency codes maintained in the system While processing the transaction the system will convert the currencies of the current holdings of the selected funds into aggregate currency for the purpose of comparing and achieving the required portfolio The system triggers an error message if there are funds involving more than one FB
540. uthoriza tion Not Avail Check Available Provisional Units Provisional Units allo able Credit allocated by the cated by the End of Day Card End of Day pro processes on the date of Transfer cesses on the authorization confirmed date of authoriza units on the date on tion which the check credit card transfer instru ment is cleared in the system 4 5 ORACLE 4 5 3 4 5 4 Check Credit Card Online Mode of Transfer Upon Allocatio p gi Allocation of Units a Payment allocations Authorization n facility on par with cash Not Avail Check Not Available No allocation at Units allocated by End of able Credit authorization Day processes on the Card date on which the pay Transfer ment instrument is cleared in the system kI as designated in Transaction Processing Rules for the fund Amendment Stage After authorization changes to a transaction request can only be made through an amendment You can no longer edit the transaction through the Transaction Summary screen You must choose the Amend menu option Therefore amendments are operations that you can perform only on authorized transaction records The amendment facility is not available for the following types of transactions e Block e Unblock e Consolidation e Split e Reissue You can amend an authorized transaction e Before the units in respect of the trans
541. uthorize an unauthorized broker deal in the system for it to be processed To authorize a record e Invoke the UH Portfolio Readjustment Summary screen from the Browser e The status of the transaction in the Authorized field Choose the Unauthorized status e Click Search button to view the records All the records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Select the Authorization operation from the Action list to authorize the selected record 5 15 3 6 Amending Readjustment Portfolio After a broker deal record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization e Invoke the UH Portfolio Readjustment Summary screen from the Browser a2 ORACLE e Select the status of the transaction that you wish to retrieve for amendment You can only amend only authorized records e Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The UH Portfolio Readjustment Detail screen is displayed in the amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save the changes 5 15 3 7 Help Desk Facility 5 15 4 The
542. ution amount for all funds must be equal to the transaction value Contribution Percentage Numeric Optional Indicate the percentage of holdings of the transaction that is to be generated in respect of the instruction KIID Compliant Optional Select if the Standing Instruction is KIID compliant or not from the drop down list Following are the options available e Yes e No e Blank ait ORACLE 2 2 1 3 Based on Fund and UH selected the system will default Yes No Blank values in multiple record In case there is no UH mapping for the UCITS fund selected the system will default the value to No While saving this record the system will display the following error message The Unit holder has not received the KIID for the fund In case of multiple funds the system will show the error message listing all the fund ID if the KIID field is set to No If you select Yes then the UH will be received to KIID These entries where the KIID Compliant is made as Yes during maintenance will be available as part of UCITS KIID Received SI report The transaction generated by the system will log all the transactions in the KIID Received override report until the UH UCITS fund mapping is complete for that Unit Holder Maintaining SI Intermediary Details In this section specify any brokers that are to be deemed as applicable for the transactions generated for the standing instruction Any iden
543. verridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction 5 15 6 6 Amending a Query Record Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module Select the status of the Help Desk record that you wish to retrieve for amendment You can only amend records of transactions that are authorized Specify any or all of the details of the Help Desk record in the corresponding fields on the screen All transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the adjustment transaction that you want to amend The Help Desk Click the Unlock operation from the Action list to amend the transaction Amend the necessary information Click OK to save your changes Only escalation details can be changed during an amend operation 5 15 6 7 Authorizing a Query Record An amended Help Desk record must be authorized for the amendment to be made effective in the system The authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions sigs ORACLE 5 16 5 16 1 Sending and Receiving Messages Messages can be relayed to and fro between modules in the system Use the Send Receive Messages
544. w button The Transaction Detail screen for Block transactions is displayed with all the default information FCIS UnBlock Transaction Detail i New 9 Enter Query Client Information Transaction Information Transaction Value Fund ID Unit Holder ID Transaction Date Transaction Number Reference Number Transaction Currency Currency Name Transaction Mode Amounts Amount Applied Units Applied Enrich Transaction Block Transaction Number Detaits Intermediary KYC Details Add Info Certificates Client Information Exchange Details Other Details Unit Holder Name CIF Number Fund Name Short Fund Identification Number Exchange Rate Source Amount in Fund Base Currency Exchange Rate Applied Override Exchange Rate Jo Communication Mode Direct In Person Remarks Fund Base Currency Allocation Details Input By Calculate DateTime IE Open auuu Unauthorized Authorized By DateTime Mod N od No Specify the Client Information Transaction Date and Reference Number Specify the unit holder that has requested the transaction in the Client Information section Specify the CIF Number and then choose the required unit holder in the Unit Holder field or else specify the ID of the unit holder in the Unit Holder field You must select a CIF or unit holder that is not restricted or does not belong to a restricted category for the fund into which the transaction is being entered If not t
545. wer portion of the screen e Double click the record that you want to delete The Unitholder Deal Detail screen is displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 2 2 6 Authorizing Deals for Investors An unauthorized Unitholder Deal records must be authorized in the system for it to be processed To authorize a record e Invoke the Unitholder Deal Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the Unauthorized option e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the transaction that you wish to authorize The Unitholder Deal Detail screen is displayed Select Authorize operation from Action 2an ORACLE 2 2 7 2 2 8 When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Deals for Investors After an Unitholder Deal record is authorized it can be modified using the Unlock operation from Action list To
546. wing details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved The AMC ID in the AMC ID field If you choose the blank space then all the records are retrieved The unit holder ID in the Unit Holder ID field If you choose the blank space then all the records are retrieved Click Search button to view the records All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete The Global Order Settlement Detail screen is displayed Click Copy from the action list in the Details screen to create a new record with the same details 5 11 2 8 Closing Global Order Settlement Record To close an authorized record refer to the following steps Specify any or all of the following details in the screen The status of the transaction in the Authorized field If you choose the blank space then both the authorized and the unauthorized status records will be retrieved for the specified criteria The status of the records in the Open field If you choose the blank space then all the records are retrieved
547. witch the investment in the To Fund ID field Transaction Mode Mandatory Alphanumeric Select the mode in which the transaction value will be reckoned in the Transaction Mode field Transaction Value Mandatory Alphanumeric Specify the valid value of the transaction in the Transaction Value field Transaction Date Mandatory Date format By default the settlement date is arrived at by taking the payment lag defined for the fund in the Transaction Processing Rules into consideration The date displayed here can be altered if required and you can specify the requisite settlement date eo ORACLE 4 6 23 4 6 23 1 Mode of Transaction Mandatory Alphanumeric Select the mode in which the payment for the transaction will be made in the Mode of Payment field Transaction Currency Mandatory currency Specify the currency in which the amount value for the transaction will be reckoned in the Transaction Currency field You can now save the transaction Refer the session above to know more about the validation of these fields FCIS Transfer Summary Screen You can perform the following operations in this screen Retrieving a Record in FCIS Transfer Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Transfer Summary screen by typing UTSTXNO3 in the field at the top right corner of the Application tool bar and clicking on the adjoini
548. y When you select the back account of the unit holder that is being used to make the payment the currency of the transfer account is displayed here This currency must be the same as the transaction currency If this is not so the unit holder must specify an account in which the account currency is the same as the transaction currency Account Holder Name Display Only When you select the back account of the unit holder that is being used to make the payment the name of the holder of the transfer account is displayed here Account Holder Alphanumeric Mandatory Specify the name of the account holder of the transfer account IBAN 36 Characters Only Alphanumeric Optional Specify the IBAN International Bank Account Number of the account holder B 10 ORACLE The Certificate Details Section You can capture details of certificates involved in the transaction in this section You must capture the certificate details as mandatory information for a transaction in the following circumstances For all transactions involving scrip based funds For all scrip less funds in which the certificate option is available and the unit holder requests for the issue of certificates The minimum and maximum certificate denominations maintained for the fund in which the transaction is being put through are retrieved and displayed here If user overrides are designated as available in the Shares Characteristics rule for the fund then yo
549. y any or all of the details of the transaction in the corresponding fields on the screen and click Search All Help Desk records with the specified details are retrieved and displayed in the lower portion of the screen alee ORACLE e Select the Help Desk that you want to delete in the list of displayed transactions in the lower portion of the screen e The Help Desk Detail screen is opened by double clicking on the selected row in view mode with the selected Help Desk record displayed e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 5 15 6 5 Authorizing Query Record An unauthorized record must be authorized in the system for it to be processed To authorize a record e Invoke the Help Desk Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the Unauthorized option e Specify any or all of the details of the record in the corresponding fields on the screen Click Search All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the transaction that you wish to authorize The Help Desk Detail screen is displayed Select Authorize operation from Action e When the checker authorizes a transaction details of validations if any that were o
550. y selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Fund ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Fund ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Fund ID ends by numeric value T For example AGC17 GSD267 AGC77 etc 413 ORACLE e Search by 17 System will fetch all the records whose Fund ID contains the numeric value 17 For example GSD217 GSD172 AGC17 etc FCIS Block Transaction Summary Transaction Number a Fund ID BH Unit Holder ID a Transaction Type Transaction Mode NotSelected v Transaction Date ai AMC ID a Reference Number a Authorization Status hd Open X Input By a Records per page 15 v 404 a Transaction Number Fund ID Unit Holder ID Transaction Type Transaction Mode Transaction Date AMC ID Ti m 4 6 25 2 Editing FCIS Block Transaction Record You can modify the details of FCIS Block Transaction record that you have already entered into the system provided it has not subsequently authorized You can perform this operation as follows e Invoke the FCIS Block Transaction Summary screen from the Browser e Select the status of the record that you want to retrieve f
551. yment as Third Party you will be able to capture the details pertaining to third party Following are the fields in the Third Party Details section e Third Party Details e Third Party Address Line 1 4 eat ORACLE e Third Party Reference e Third Party US State e Country e Third Party Zip Code e BIC Code 2 2 1 7 Maintaining SI Routing Details FCIS Standing Instructions Detail H save SI Basic Info SI Fund Info SI Intermediary SI Payment SI Delivery Details Si Bank Details JR Swift Format Select Beneficiary Details Beneficiary Beneficiary Add1 Beneficiary Add2 Beneficiary Add3 Beneficiary IBAN intermediary Details Intermediary Intermediary Add1 Intermediary Add2 Intermediary Add3 Intermediary IBAN Further Credit Details Further Credit Name as Reference Reterencet L Input by Authorized by Bank Charged Shared Beneficiary BIC Code Beneficiary Acct No Beneficiary Code Beneficiary Info Intermediary BIC Code Intermediary Acct No Intermediary Code Intermediary Info FurtherCreditAcctNo C Reference2 ___ DateTime Mod No DateTime Open Authorized You need to maintain the following details Swift Format Optional At the time of transaction input the routing details specified here are picked up for the combination of fund transaction type and transaction currency Bank Charged Optional Indicate whether the bank charges must be levied upon the beneficiary the r
552. ype from the drop down list e IPO Subscription e Reinv IPO Subscription e Subscription e Reinv Subscription e Redemption e Switch From e Transfer e Block e Unblock e Consolidation e Split e Reissue Choose one of the following options and enter the associated number for the selected option in the text box below e All e Unit Holder ID e Transaction Number Click Ok Based on the information keyed in in the Find Criteria section system displays details in the following sections Load Details Section System displays the following details e Transaction number api ORACLE 5 7 3 2 e Unit Holder ID e Fund ID e Load ID e Load Type e Group ID e Transaction Amount e Load Calculation Method e Amount or Percentage You need to check against the transaction for the selected transaction number in the check box provided Load Details Section The system displays the following Load Details for the selected transaction number e Load ID e Load From Entity Type e Load to Entity Type e Transaction Amount e Transaction Date e Load To Price e Load VAT To Price e Mandatory e Priority Number e Free Transaction e Apply Return Value on e No of Decimals for Load e Round of truncate for Load e Group ID e To Override Investor Display Only The ID of the unit holder who has made the transaction is displayed here Transaction Number Display Only In this field the transaction numbers of
553. zed Allotted Un allotted Amended after allocation Amended before allocation Rejected e You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e To retrieve the adjustment transaction that is to be viewed specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Select the adjustment transaction that you want to view in the list of displayed transactions in the lower portion of the screen e The Transaction Detail screen is opened by double clicking the selected transaction with the selected transaction displayed in view mode Deleting Adjustment Transaction You can delete only unauthorized adjustment transactions in the system To delete an adjustment transaction that you have previously entered you must retrieve the same in the Transaction Summary screen as follows e From the main menu invoke the Transaction Input menu Select Adjustment transaction type and choose the Summary option The Transaction Summary screen is opened e Inthe Authorized field select the status of the adjustment transaction that you want to retrieve for deletion You can only delete records of transactions that are unauthorized Accordingly choose the Unauthorized opti
554. zed Accordingly choose the Unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The FCIS Reissue Transaction Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The FCIS Reissue Transaction Detail screen is closed and the changes made are reflected in the FCIS Reissue Transaction Summary screen 4 6 34 3 Viewing FCIS Reissue Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS Reissue Transaction Summary screen as follows Invoke the FCIS Reissue Transaction Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Ai ORACLE Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the re

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