Oracle Financial Services Regulatory Reporting Administration Guide
Contents
1. Applications Infrastructure Administrator in the Oracle Financial Services Regulatory Reporting herein referred to as RR and associated solution set This chapter focuses on the following topics e Scope of this Guide e How this Guide is Organized e Where to Find More Information e Conventions Used in this Guide Who Should Use this Guide The Oracle Financial Services Regulatory Reporting Admin Guide SGSTR is designed for use by OFSAA Installers and System Administrators Their roles and responsibilities as they operate within the RR application include the following Oracle Financial Services Solution Installer This user installs and configures the Oracle Financial Services Analytical Applications Infrastructure Analytical Framework Platform and the client specific solution sets at a deployment site The Installer also installs upgrades and additional solution sets and requires access to deployment specific configuration information for example machine names and port numbers e System Administrator This user configures maintains and adjusts the system and is usually an employee of a specific OFSAA client The System Administrator maintains user accounts and roles archives data and loads data feeds Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR About this Guide Scope of this Guide This guide details the roles of an administrator in RR The roles include User Creation Excel Upl2. Emphasis Bold Object of an action menu names field names options button names in a step by step procedure Commands typed at a prompt User input Monospace Directories and subdirectories File names and extensions Process names Code sample including keywords and variables within text and as separate paragraphs and user defined program elements within text Variable Substitute input value Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR About this Guide x Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR CHAPTER 1 Introduction to Oracle Financial Services Regulatory Reporting Introduction As a patt of regulations and compliances organizations are required to perform appropriate analysis and report suspicious activities that lead to fraud and money laundering to the Regulatory Authorities These regulatory bodies are responsible for safeguarding the financial institutions and consumers from abuse providing transparency in the countty s financial system enhancing that country s secutity and deterring and detecting criminal activity in the financial system As patt of this goal these regulatory bodies require the Financial Crimes Unit FCU also referred to as Financial Intelligence Units FIUs in financial institutions to provide data regarding suspicious activities These reports depending on the regulatory geographi
3. this UA eet tori terii tiet a ertet artes eerie eet berechnen Benni ix CHAPTER 1 Introduction to Oracle Financial Services Regulatory Reporting Introduction 2 1 CHAPTER 2 Administration sici n acti eher 3 User Creator E 3 UploadinsBxeel nennen R 4 Saving Metadata s s RER er adu o do ia Eh 5 Application sein c 5 User Administration itte tpe iii 6 Changing the Password in Oracle Financial Services Analytical Applications Infrastructure 6 APPENDIX A Web Service User ID and Password Reset 7 Cha nging the User Die u ridad ei 7 Chaupine the Pass Word anna ene aenean RI Ernest 7 Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR iii Contents iv Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR List of Tables Table T Conventions Used inthis Guide idee ete rec e LE et tte hse ente beste aud i Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR List of Tables vi Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR About This Guide SG STR Singapore Suspicious Transaction Report This guide desctibes comprehensive activities of the Oracle Financial Services Analytical
4. DI 35 DI VL PARTY TYPE AW AGENCY F G 32 DIM INSIDER RELN TYPE I L R ELN FININS 4 Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR Saving Metadata Chapter 2 Administration 36 DIM REPORTING ENTITY DTLS 37 DIM REPORTING PERSON 38 DIM REPORT CODE 39 DIM REPORT INDICATORS 40 DIM ROLE 41 DIM SUBMISSION TYPE 42 DIM SUSPECT ID TYPE 43 DIM SUS ACTIVITY 44 DIM SUS REASONS SG 45 DIM TRANSACTION ITEM TYPE 46 DIM TRANS ITEM STATUS 47 DIM USERS 48 FCT FININST INFO 49 FCT TRANSMITTER INFO Note For more information on uploading excel files refer to the Oracle Financial Services Analytical Applications Infrastructure DeFO User Manual Saving Metadata To save metadata follow these steps 1 Navigate to the Administration menu and select Save Metadata 2 Choose Save Derived Entities and Hierarchies For more information on saving metadata refer to the Oracle Financial Services Analytical Applications Infrastructure Unified Metadata Manager User Manual Note Any subsequent changes made to the Dimensions tables or the Hierarchies and Derived Entities should be saved Application Parameters The Application Parameters list the various parameters used in the RR and should be configured for the installation The attribute description state
5. ORACLE Oracle Financial Services Regulatory Reporting Administration Guide SG STR Release 2 4 October 2013 ORACLE FINANCIAL SERVICES Oracle Financial Services Regulatory Reporting Administration Guide SG STR Release 2 4 October 2013 Document Control Number 9MN11 2 4 01 10 Document Number AG 13 RR 010 2 4 01 Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Document Number AG 13 RR 010 24 01 First Edition October 2013 Copyright 1996 2013 Oracle and or its affiliates All rights reserved Printed in U S A No part of this publication may be reproduced stored in a retrieval system or transmitted in any form or by any means electronic mechanical photocopying recording or otherwise without the prior written permission Trademarks Oracle is a registered trademark of Oracle Corporation and or its affiliates Other names may be trademarks of their respective owners Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Phone 703 478 9000 Fax 703 318 6340 Internet www oracle com financialservices Contents List OF TableS RT v About This Guide umm AAA A A AAA vii Who Should Use this Crude nete e a a N vii Scope Of this GUI rgo pee eerte n eren HOHER OR nar RR Bip erp pe ed viii How this Guide is Organized E nassen binnen konn bene viii Where to Find Mor Information etie deteriore sknliis nununsanisinissilssehlsis viii Gonyentions Used
6. c region can be delivered in a printed or electronic format RR supports the management delivery and resolution of these regulatory reports across multiple geographic regions and financial lines of business Since there are several differences in requirements for printed formats versus electronic formats between different geographic regions and data elements that are required on these reports the approach to satisfying the end goal is to provide a Regulatory Reporting framework that is configured to support printed and electronic formats for different geographic regions and to generate and file different types of reports RR is integrated with the Oracle Financial Services Behavior Detection Platform to allow users to generate reports that ate automatically populated with information relevant to the investigation which triggered the need for the report to be filed Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR 1 Introduction Chapter 1 Introduction to Oracle Financial Services Regulatory Reporting 2 Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR CHAPTER 2 Administration This chapter lists the activities done by the Oracle Financial Services Analytical Applications Infrastructure Administrator e User Creation e Uploading Excel e Saving Metadata e Application Parameters e User Administration User Creation From the Oracle Financial Services Analytical App
7. he atomic schema for edit 2 For the parameter name WEB SERVICE PARAMETERS or parameter identifier numbered 2 enter the new Webservice User ID in the v ATTRIBUTE VALUE column 3 Update the database Changing the Password The password is saved in an encrypted format To change the Password follow these steps 1 D Ui A WY N Open the web page with the following URL after updating the same http WebServer IP gt lt Port Number gt lt Context gt solution RRS RRSI Enter the desired password in the Enter Value text box Click Encrypt The newly encrypted password displays in the encrypted decrypted value text are Open the APPLN PARAMETERS table of the atomic schema for edit Webservice encrypted password in the v ATTRIBUTE VALUE2 column Update the database EncryptDecrypt jsp a For the parameter name WEB SERVICE PARAMETERS ot parameter identifier numbered 2 enter the new Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR Changing the Password Appendix A WebService User ID and Password Reset 8 Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR ORACLE
8. lications Infrastructure Security Management menu option you can create users and user groups according to the installation requirements To map the users to the user groups and the user groups to the roles follow these steps 1 Map all user groups to the access to SG STR Report role 2 Map the Analyst user group to the Reg Report Analyst role 3 Map the Supervisor user group to the Reg Report Supervisor and to RR Supervisor with Edit roles 4 Map the Admin user group to the Reg Report Admin role and to RR Admin with Edit roles 5 Map the Single Super user s user group to the following roles a Reg Report Admin b RR Admin with Edit c Reg Report Supervisor d RR Supervisor with Edit e Reg Report Analyst 6 Execute the following script in the Oracle Financial Services Analytical Applications Infrastructure configuration schema a Update cssms role function map m set m v function code RRS m v function code b Update cssms role function m m v function code RRSFI ESAR RRSFI and m v_role_code and m v_role_code RRADMN ap m set m v function code RRS ESAR RRADMNI SGST SGST Di ch y R where R where Note For more information on mapping user groups to roles refer to the Oracle Financial Services Analytical Applications Infrastructure System Configuration and Administration User Manual Oracle Financial Services Regulatory Repo
9. oad Save Meta Data and Application Parameters How this Guide is Organized The Oracle Mantas Administration Guide SG STR Release 2 4 includes the following topics Chapter 1 Introduction to Oracle Financial Services Regulatory Reporting details the necessity of filing the RR documents to Regulations and Compliances Chapter 2 Administration details the activities of the Oracle Financial Services Analytical Applications Infrastructure Administrator user to configure and maintain the RR Appendix A Web Service User ID and Password Reset describes the process of changing the user ID and password Where to Find More Information For additional information about the RR application refer to the following documents Oracle Financial Services Regulatory Reporting 2 4 Release Notes This guide details the highlights of the current release Oracle Financial Services Regulatory Reporting 2 4 Data Model Reference Guide Volume 1 This guide explains how data in the RR is organized and how RR uses the data Oracle Financial Services Regulatory Reporting 2 4 User Guide This guide defines how users can view edit and generate report data and file the regulatory reports to the Regulatory Authorities It also helps users to adjust the application parameters Oracle Financial Services Analytical Applications Infrastructure System Configuration and Administration User Manual This manual deals with the System Configuration and Administration c
10. omponents of the OFSAA Infrastructure and assists the administrator in configuring the system managing users and performing administrative tasks Oracle Financial Services Analytical Applications Infrastructure Unified Metadata Manager Manual This manual deals with the Mart Builder component of the OFSAA Infrastructure and assists you in operating the mart builder to your advantage It encompasses all the activities involved in using the Mart Builder Oracle Financial Services Analytical Applications Infrastructure DeFO User Manual This manual deals with the Data Entry and Forms Designer Component and is aimed at assisting you to create user friendly Data Entry Screens with a choice of layouts It also explains how to load the Look up tables using the Excel Upload feature Oracle Financial Services Behavior Detection Platform Administration Guide This manual defines how to configure and manage the Oracle Financial Services Behavior Detection Platform To find additional information about how Oracle Financial Services solves real business problems see our website at www oracle com financialservices viii Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR About this Guide Conventions Used in this Guide Table 1 lists the conventions used in this guide Table 1 Conventions Used in this Guide This convention Stands for Italics Names of books chapters and sections as references
11. or more information refer to the Oracle Financial Services Regulatory Reporting 2 4 User Guide Changing the Password in Oracle Financial Services Analytical Applications Infrastructure To change the password in Oracle Financial Services Analytical Applications Infrastructure follow these steps 1 Login to the RR with your User ID and Password 2 Click Change Password The Change Password screen opens prompts you to enter both the old password and new password Enter the old password Enter the new password The password should be alphanumeric Confirm the new password Click OK NH c A 0 The following message appeats The Password Changed Successfully Please login to proceed 7 Click OK The Login page opens 8 Login with the new password For more information refer to the Oracle Financial Services Analytical Applications Infrastructure Overview User Manual 6 Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR APPENDIX A Web Service User ID a word Heset nd Pass The default user ID and password supplied for the secured web service call must be changed This user ID and the encrypted password are saved in the database table APPLN_PARAMETERS This chapter discusses the following topics e Changing the User ID e Changing the Password Changing the User ID To change the user ID follow these steps 1 Open the APPLN PARAMETERS table of t
12. rting 2 4 Administration Guide SG STR Uploading Excel Chapter 2 Administration Uploading Excel The Excel Upload is a feature of the Oracle Financial Services Analytical Applications Infrastructure Platform which allows the reference data stored in Microsoft Excel files to be loaded to the data tables in the Oracle Financial Services Analytical Applications Infrastructure Atomic Schema The Solution Installer will place the data files under ftpshare STAGE Excelupload of the App Layer These Dimension tables must be fine tuned for the implementation and then uploaded in the following sequence DIM COUNTRY DIM STATES DIM STATUS DIM ACTIO DIM REPORT TYPE FCT BRANCH INFO DIM DOMAI DIM DOMAI Hm Wo NM Fr DIM DOMAI DIM DOMAIN5 DIM S E CURITY_PARAM DIM_APPLICATION_TYPE DI IARITAL STATUS DIM EMP TYPE DIM OCC TYPE DIM ACCT TYPE 1 2 3 4 5 6 7 8 9 DIM_DOMAI 0 1 2 3 4 5 6 Yi 8 DIM ADDRESS TYPE 19 DIM CURRENCY TYPE 20 DIM SUS REASONS MY 21 DIM TRANSACTION TYPI E 22 DIM_SUS_TYPE_SG 23 DIM_ACCT_STATUS_TYPE 24 DIM COMMUNICATION TYPI LH 25 DIM CONDUCTION TYPE 26 DIM CONTACT TYPE 27 DIM DOCUMENT TYPE 28 DIM ENTITY TYPE 29 DIM FED REGULATOR 30 DI UNDS TYPE 31 DE 33 DI 34
13. s the values each attribute can hold For more information refer to the Oracle Financial Services Regulatory Reporting 2 4 Data Model Reference Guide To configure the different parameters do a manual update on the table AppIn_Parameters in the Oracle Financial Services Analytical Applications Infrastructure Atomic Schema The list of parameters are as follows e AML Web Service This parameter defines attributes such as the URL User ID and Password associated with the source AML systems Web service This is needed to work with AML systems like FCCM Also ensure that the following information is updated in the Configuration file of source AML system E RR Web service User ID RR Web service Password RR Web service URL Oracle Financial Services Regulatory Reporting 2 4 Administration Guide SG STR 5 User Administration Chapter 2 Administration e Lock Period This parameter specifies the time after which the system will release the lock on the case This is calculated from the time the last action was taken on the case by the User The time specified is in minutes e Web Service Parameters This parameter identifies all the attributes associated with the web service request for the report like the user ID and password e ECM Flag This flag is set to Y if RR is installed with ECM Enterprise Case Management and N for others User Administration The user with the Admin role must map security attributes to the users F
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