Oracle FLEXCUBE Investor Servicing
Contents
1. If you wish to override the applied exchange rate at this stage select the Yes option 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 FX Deal Date The system will display the FX Deal Date during transaction enrichment for subscription 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 te ORACLE Note If the client country parameter FORWARD_FX_RATE is setas false the system will allow only the application date as the FX deal date FX Value Date 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 transaction2. 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 Ls ORACLE Certificate Denominations Certificate Lot Size Specify the lot size of the certificate No of Certificates Specify the number of certificates Certificate Details Certification Number Specify the certification number Units 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 The following example will make this clear Let us suppose that a unit holder Mrs Wendy Brown has been issued certificates with numbers C1 C2 and C3 for her subscription into the Elton Trueblood Memorial Growth Fund The certificates are all denominated in lots of 100 Let us now suppose that on a certain date Mrs Brown approaches the branch and requests to redeem 250 units worth of her certificates in the following manner Certificate C1 100 units to be redeemed Certificate C2 50 units to be redeemed Certificate C3 100 units to be redeemed You would enter the certificate details for the redemption transaction in th
3. 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 Payment Mode 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 Bankers Check e Check Self Check e Draft e Credit Card e Account Transfer e In Kind Payment e Multi Payment Facility Transaction Type Specify whether the transaction involves an initial purchase subsequent purchase or a limit order buy or sell transaction ORACLE 1 1 3 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 e Initial Purchase e Subsequent Purchase e Limit Orders for Subscription e Transfer of Ownership e Cash Management Account Investment e Interface Restricted Description Upon selection of the transaction type the system will display the description of the selected transaction type Enrich Transaction Button 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 Unit Holder and Fund Tab Click on t
4. 2 Function ID GIOSSALFy cion ts 2 1 1 Subscription Transaction The Business Process Execution Language BPEL workflow layer of Oracle FLEXCUBE Investor Servicing FCIS allows you to define a workflow for handling the subscription transaction business The front end user interface of this layer allows you to capture details required for the transactions and sends them to FCIS for processing This manual explains the BPEL workflow available in FCIS The stages of the BPEL Workflow for the subscription transaction process are e Initiation e Validation Enrichment e Verification In FCIS a separate menu is provided to enter subscription transactions and initiate the BPEL workflow This manual explains the BPEL workflow for processing subscription transactions This chapter contains the following sections e Section 1 1 Stage 1 Initiation Stage e Section 1 2 Stage 2 Validation and Enrichment Stage e Section 1 3 Stage 3 Verification Stage 1 1 Stage 1 Initiation Stage This section contains the following topics e Section 1 1 1 Steps in the Initiation Stage e Section 1 1 2 Invoke Subscription Transaction Detail Screen e Section 1 1 3 Unit Holder and Fund Tab e Section 1 1 4 Transaction Tab e Section 1 1 5 Other Tab e Section 1 1 6 Intermediary Tab e Section 1 1 7 Load Override Tab e Section 1 1 8 KYC and Document Tab e Section 1 1 9 Additional Information Tab 10 Fee Paymen
5. Subscription Process User Guide Oracle FLEXCUBE Investor Servicing Release 12 1 0 0 0 Part Number E67272 01 October 2015 ORACLE Subscription Process User Guide October 2015 Oracle Financial Services Software Limited Oracle Park Off Western 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 2015 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 inh
6. TAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer Home inecections Tasks Preferences Change Module Options Help Sign OF JTOUHBO a Tasks e In this dashboard tasks are available for a User under the following categories e Pending These are the tasks that are waiting for the users to act upon e Assigned These are the tasks that have assigned for action by a particular user e Completed These are the tasks that has been completed or acted upon on a particular business day e Expired These are the tasks that have been in pending status for particular period of time and have expired Any task that has not been acted upon within a pre defined time limit is moved into the Expired queue Once a transaction moves into this category it becomes unavailable for further processing in the workflow layer In each of these lists the system displays the number of transactions that are assigned a high priority ue ORACLE 1 2 Click on the Pending tasks list to view all transactions which are pending 2 19942M02 DISTAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer 2121 x Home Interactions Tasks Preferences p Subscription 08 Sta ROLES 000 BPELUSER 2012 10 03 1324 25 IST Subscription204 Stage ALLROLES 000 BPELUSER 2012 10 03 13 41 03 000 IST Task History You can acquir
7. This is the number of units if any that were rejected in respect of the transaction by the Fund Manager TB ORACLE 1 1 15 1 1 1 16 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 Submit transaction to the Processing Hub After you enter the details you can either put the process on Hold or approve the details To put the process on hold select Hold from the Actions menu Click OK to save After the data is saved in the first stage the task will appear in the Pending items list An authorized user can then acquire the task and then operate on it Acquire Task for Further Processing You can query on tasks by clicking on Task option in the Application Browser C 1994202 DISTAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer Chang gt Options Of STOUHBO Home Interactions Tasks Preferences Change Module Option Help Sign po Tasks Tes ORACLE Based on the access control defined through the Security Management the system builds the Summary dashboard for every user 2 19942M02 DIS
8. 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 Other Tab Click Other tab 4 FCIS Subscription Transaction Detail New 53 Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied Payment Mode Select One UH amp Fund Transaction Mill Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Settlement Date Maturity Date Remarks Cancel Instruction Base Cost _ Auto Clear Provisional SelectOne Payment Allowed y Balance Auto Clear SelectOne Fund Price Basis Reinvestments Completion Date Dealing Date LOI Transaction N EUSD Option CPMF Bonus Percent Select One CPMF Credit Lag Price Date Lock In Period for Gain Campaign Code Reversal Code Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit Outcome Po gt Here you can capture the following details T9 ORACLE Settlement Date The system computes the settlement date for the transaction according to the payment l
9. ag 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 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 Maturity Date 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 Dealing Date 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 Completion Date 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 transac
10. 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 1 2 Table of Contents Subscription Transaction cesses nennen 1 1 1 1 Stage 1 Initiation Stage eessissssssssssese esee tnn ennt 1 1 1 1 1 Steps in the Initiation Stage eene 1 1 1 1 2 Invoke Subscription Transaction Detail Screen sss 1 2 1 1 3 Unit Holder and Fund TaD rors rnise sse 1 5 14 Transaction Tab sisse ve a petii Hebe edet 1 7 I5 Other Tab sisi tee eid hd euge alle 1 10 1 1 6 Intermediary Tab costo e Eo be Peer Pn 1 13 1 1 7 Load Override Tab ssssssssssssee enne enirn ernst 1 14 1 18 KYC and Document Tab ssi 1 17 1 1 9 Additonal Information Tab ssssseesssee eene nnne 1 19 11 10 Fee Payment Ta Soe ois ea ae eRe 1 20 1 1 11 Certificate Tab ci e oue a vote 1 23 112 Limit Order Tab iis edid o rec He ades 1 25 1 1 13 Documents Button sic ele debe 1 26 1 1 14 Project Allocation Button esses 1 26 1 1 15 Allocation Details Button essssessseeeeen eene 1 27 1 1 16 Acquire Task for Further Processing coonmmccccnnnnnonccccnnnnancccnnnnarnncnnnnnn nn 1 29 1 2 Stage 2 Validation and Enrichment Stage 1 31 1 3 Stage 3 Verification Stage oomoocccnininnnnncnnnccnnnncnnconeccnncnnnnnn conan nana cnn nnne 1 3
11. ct 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 Exchange Rate Applied 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 Amount Applied After you specify the exchange rate source ID click on the Calculate button The system displays the amount depending on the exchange rate source Override Exchange Rate
12. d Document Upload 1011 3 5 r Document Code Document Description Document Path Upload Vara ad Browse Document Code Specify the document to be uploaded You can also select the document to be uploaded from the option list The option list consists of the valid documents codes mapped to the process Document Description The description of the selected document code is displayed Document Path Specify the path of the document to be uploaded You can browse the path by selecting the Browse button Upload Click Upload button to upload the documents View Click View button to the view the documents uploaded Project Allocation Button If you wish to see a projected picture of how the transaction would most possibly be allocated then click the Project Allocation Details tab 1588 ORACLE 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 Project Allocation Details Fund ID Product ID Unit Price Allocation Price Gross Amt in FBC Settlement Amt Txn Ccy Linked Product ID Performance Fee Details i 1of1 Link Transaction Number InOutFlag Units Base Price Load Amount Net Amt In FBC Linked units Unit Balance Load Amt I
13. d 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 Document ID You can either enter the document ID in this field 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 Document Type When you enter or choose the document ID this field will be updated Type Description When you enter or choose the document ID this field will be updated 138 ORACLE 1 1 9 Additional Information Tab Click on Add Info tab to enter any additional information of the transaction FCIS Subscription Transaction Detail New 3 Enter Query Workflow Ref No Priority Low M Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount gt Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied Payment Mode Select One m Enrich Transaction UH amp Fund Tra
14. e basis Let us suppose that the transaction time sales charge is 5 and is loaded to the price On the date of the transaction the prevalent price is 12 USD The number of units that he would be allotted would be computed as follows Actual price with the sales charge component on 2 1 2002 12 5 100 12 12 6 USD Number of units to be allocated in the case of gross transaction basis 10000 12 6 793 65 units In this case Mr Smith would pay 10000 USD as a gross value and receive 793 65 units allotted into his account Now let us suppose that Mr Bill Smith has requested for a net transaction value basis Now the number of units that are to be allotted would be computed as follows Number of units that would be allotted 10000 12 833 3 units Actual price with the sales charge component on 2 1 2002 12 5 100 12 12 60 USD 17 ORACLE Actual transaction value 833 3 12 60 10499 58 USD In this case Mr Smith would pay 10499 58 USD as the actual transaction value and receive 833 3 units allotted into his account Communication Mode Specify the mode through which the transaction request was communicated This could either be Direct or Telephone 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 Exchange Rate Source ID Sele
15. e AMC It could also be any alphanumeric value given by the investor to identify the transaction Unitholder ID Select the unit holder for whom the transaction request is being entered 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 Find UH Button 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 When you specify the unit holder the funds in which the specified unit holder can transact are displayed in the Fund list of values Transaction Mode Select the mode in which the transaction value will be reckoned in the Transaction Mode field Fund ID Specify the fund ID for which the requested transaction is to be put through 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 T
16. e Certificate Details section of the Redemption Transaction Detail screen as follows In the first row of the grid you would enter C1 in the Certificate Number field The system would display the number of units 100 in this case in the Units field Similarly you would enter C2 and C3 and the system displays the number of units in each case as 100 in the Units field Since Mrs Brown wishes to redeem only 50 units from C3 you must select the check box named Partial in the C3 row in the grid The system reckons the redemption from C3 to be partial to the tune of 50 units Ret ORACLE 1 1 12 Limit Order Tab Click on the Limit Order tab FCIS Subscription Transaction Detail New 53 Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund D Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied Payment Mode Select One y UH Fund Transaction Other Intermediary Load Override KYC 8 Document Ada Info Fee Payment Cerca MMMM Limit Order Details Limit Order Type LimitEnd Date Limit Price Limit Date Limit Start Date Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit Outcome You can enter the following limit order details Limit Order Type Specify whether the limit orde
17. e any transaction in your Pending list by clicking Acquire button against the transaction Once you acquire a transaction you can view its details by double clicking on it You ll be returned to the Summary Dashboard The transaction that you acquired would now have moved to your Assigned list Click on the Assigned list to view the details If you do not wish to work on that task click on Release button The task will move to the Pending List Click on the Reference No of any transaction to view its details Stage 2 Validation and Enrichment Stage In this stage you can view edit delet the details containing the data which was saved in the Initial stage Based on the validation certain fields will be mandatory in this stage You can also upload the documents to Oracle IPM Follow the steps mentioned above to acquire the task You can enter the details which you had not entered in the first stage You can then put the process on Hold To put the process on Hold select the option Hold under Actions menu Click OK to save Once you save the second stage the system performs all mandatory validations and business checks on the details that you have entered The system displays any error it encounters and allows you to correct the details You will be able to proceed to the next stage only after all you resolve the errors Tet ORACLE 1 3 If you Reject the second stage and save the process the s
18. ecord twice 58 ORACLE 1 1 4 Transaction Tab Click on the Transaction tab FCIS Subscription Transaction Detail New Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied PaymentMode Select One v UH amp Fund REN Oter Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Gross orNet Gross Communication Mode Delivery Option Direct In Person Investment Account 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 PrevRem Audit Outcome Here you can enter the following details Gross or Net Specify whether the value of the transaction is to be considered as a gross value from which the loads would be deducted or as a net figure apart from the loads The following example will illustrate how the transaction value is reckoned in either case Let us suppose that an investor Mr Bill Smith invests 10000 USD in the Carey Bugle Memorial Growth Fund on 2 January 2002 and requests for a gross transaction valu
19. eld Accordingly select the appropriate option Amount Applied Enter the amount if you have specified the transaction value as Amount 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 Units Applied Enter the units if you have specified the transaction value as Units 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 Percent Applied Enter the percent if you have specified the transaction value as Percent 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
20. epting 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 196 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 196 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 Change Value Specify the altered return value for the allocation time load that you are overriding Projected Return Value Specify the estimated return value T8 ORACLE 1 1 8 KYC and Document Tab Click on the KYC and Document tab FCIS Subscription Transaction Detail New t5 Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Ap
21. erently 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 measures 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
22. he UH amp Fund tab FCIS Subscription Transaction Detail New 8 Enter Query Workflow Ref No Priority Low v Transaction Information Transaction Currency Transaction Value Fund D Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number 000 0 Description Percent Applied PaymentMode Select One Y ER s 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 Settle Details Receipt Details Project Allocation Details Allocation Details Rem Prev Rem Audit Outcome LES is ORACLE In this screen click on UH Deal Button Unitholder Deal Summary Authorized y Open y Unit Holder CIF Number AGC92 a3 Apply At CIF Level Apply Deal At Not Selected Load ID Search Advanced Search Records per page 15 y I4 4 1 of 1 Authorized Open Status Deal Transaction Number Unit Holder CIF Number FirstName Apply At CIF Level r E r r fi r r r r r r r r r r r REI E m You can view the details of all the deals set up for the unit holder Enter the relevant search criteria The system will display the records that match the search criteria you have specified From this results list choose the unit holder deal that you want to view by clicking on the r
23. heck Credit Card or Draft Drawee Branch 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 Specify the number of the fee payment instrument either the check the credit card or the demand draft Check Date Credit Card Date Draft Date Specify the date on which the check or demand draft is drawn or the credit card payment is made Clearing Date 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 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 et ORACLE Maintained Bank Accounts 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 fee payment When you do all the details of the selected account are displayed in the corresponding fields in this section Bank 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 W
24. hen 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 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 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 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 Account Holder Name 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 displayed here Hee ORACLE 1 1 11 Certificate Tab Click on the Certificate tab FCIS Subscription Transaction Detail New 3 Enter Query Workflow Ref No Priority Low M Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number De
25. hose that are to be generated after an automatic redemption occurs Select the Standing Instruction option in this field to indicate cancellation of standing instructions Auto Clear Re investments You can use this field to indicate that 100 outflow transactions redemption switch and transfer should include freeze held and reinvestment units 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 Maintenance However you can change the defaulted value These options will be enabled if the transaction mode is Percent and the transaction value is 100 Auto Clear Provisional Balance If the unit holder account has any authorized unauthorized un 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 Payment Allowed 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 LOI Transaction If the 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 This specification is only applicable for LOI u
26. ion Date Transaction Type Amount Applied Transaction Number Description Percent Applied PaymentMode Select One Y UH amp Fund 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 Sianatura Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit Outcome You can specify the following fields in this screen Workflow Ref No The system displays the reference number of the workflow You can specify the following details in this screen Priority Indicate your priority from the drop down list e Low e High e Medium Transaction Information Section Transaction Number 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 all validations have been made The transaction number generated by the system is in the format TT YYYY JJJ NNNNNNN T ORACLE Where TT Transaction type 01 IPO Subscription and so on YYYY Year of processing JJJ Julian date NNNNNNN Running sequence number for the day Reference Number Specify a reference number for the account This 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 th
27. mpleted 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 Ty ORACLE 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 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 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 Chasing Date DD MM YYYY In case the KYC list is incomplete for the transaction and the document has been requested enter the date on which the document chasing action must be initiate
28. n Fee Ccy Element Identification Element Description Value 1 1 15 Allocation Details Button 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 1 27 ORACLE The system then performs a mock temporary allocation and displays the details of the same in the Allocation Projection screen Click on Allocation Details tab Allocation Details loft iv Fund ID Allocation Date Alloted Units Unit Price Confirmed Units Settleme zl Iv AFUND2 04 24 2012 85 137 85 137 Load Details w E O Fund ID Load Description Load Amount Load Amt In Fee Ccy zl v AFUND2 57 57 AFUND2 45 6 45 6 AFUND2 46 03 Performance Fee Details 1ofi LinkTransaction Number InOutFlag Elementidentification Element Description Value 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 The details you can view in this screen are Allocation Date This is the date on which the Fund Manager allocated the units in respect of the transaction Alloted Units This is the number of units that were allocated by the Fund Manager in respect of the transaction Confirmed Units This is the number of units that were confirmed after allocation by the Fund Manager in respect of the transaction Rejected Units
29. ne Y UH amp Fund Transaction Other EN Load Override KYC 8 Document Add info Fee Payment Certificate Limit Order Transaction Intermediary Details 10H Entity ID Entity Type Entity Name Parent Entity Name Split Percentage From Or To Leg a Agent e From y Settlement Details Receipt Details Project Allocation Details Allocation Details Prev Rem Audit Outcome e 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 You can enter the following broker details Entity ID 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 You can also search for the broker using broker legacy codes Entity Type Specify the type of entity Entity Name 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 Parent Entity Name When you select the broker code the name of the parent broker for the selected broker is displayed EH ORACLE 1 1 7 Split Pe
30. nit holders that are transacting in a fund in a group for which LOI is deemed as allowed EUSD Option The EUSD option 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 With holding tax CPMF Bonus Percent By default the CPMF Bonus percentage is displayed here which is arrived at 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 CPMF Credit Lag Indicate the lag for the CPMF bonus to be credited tig ORACLE 1 1 6 Intermediary Tab Click Intermediary tab FCIS Subscription Transaction Detail New Ij Enter Query Workflow Ref No Priority Low M Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied PaymentMode Select O
31. nsaction Other Intermediary Load Override KYC amp Document M Fee Payment Cerificate Limit Order Additional Information Details 1041 Other Info Field Field Value Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Rem Audit Outcome e You can only maintain additional information if any information heads have been maintained in the System Parameters to be applicable for the segment If the AMC has designated any additional information heads for investors you can indicate the relevant information applicable to the investor under each head in this section Here you can specify the following details Other Info Field Select this option to allow the system to display the additional fields maintained Field Value Select the value for the additional field from the option list ORACLE 1 1 10 Fee Payment Tab Click on the Fee Payment tab FCIS Subscription Transaction Detail New 73 Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied Payment Mode Select One Y UH amp Fund Transaction Other Intermediary Load Override KYC amp Document Add info B Certificate Limit Order Fee In Fund Ba
32. omputed 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 re ORACLE 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 Load Maintenance Detail New Sp Enter Query Basic Information Load ID Load Description CA A Consider as Lower No PriceBasisLoad No Boundary Load Type Fee ROA Threshhold For Initial Amount Basis SelectOne Fee Slab Mode UH Deal Maintainable Mode Period basis Amount Or Percentage Load Calculation Method Slab Basis Tables Referred Criteria Load Details 1of1 Slab Sequence No From Date Agent Agency Branch Broker IFA Investor Payment Mode Fund To Date From Amount To Amount FromUnits ToUnits From Period Investor Fund Investor Txn Account Officer UH Additional Info Transaction Rule Transaction Details Input by Authorized by Mod No DateTime DateTime Open Autho
33. plied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied PaymentMode Select One UH 8 Fund Transaction Other Intermediary Load Override IBNERRINRIEN Add nto Fee Payment Certificate Limit Order KYC Transaction Details 1of1 Requested Requirement Received Received Date Tax Document gt a No Chasing Date KycReceived No Document Details Document ID Type Description Document Type Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit You need to specify the list of required KYC documents for this transaction System allows you to save the transaction even if the unit holder 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 In the Document Details section you may need to capture the document ID of the unit holder This section will be enabled only if your installation is integrated with DMS You can enter the following details Requested Check those documents that have been requested from the investor Requirement Specify the list of KYC documents required for this transaction You may add additional documents to the existing KYC list until the transaction is co
34. r is price based or date based Limit Price 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 Y Y Y Y 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 Y Y YY 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 Y Y YY For date based limit 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 ies ORACLE 1 1 13 Documents Button 1 1 14 You can upload documents to the Oracle IPM Oracle Imaging and Process Management Click Documents button to upload the documents Document Uploa
35. ransaction Currency 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 Transaction Date 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 168 ORACLE 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 In case of future dated transactions the transaction date cannot be greater than the future dating limit specified in the Transaction Processing Rules screen Transaction Mode Select the 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 h
36. rcentage 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 From Or to Leg Mention the start and end point of the transaction date Load Override Tab Click on the Load Override tab E FCIS Subscription Transaction Detail New 33 Enter Query Workflow Ref No Priority Li Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transaction Date Transaction Type Amount Applied Transaction Number Description Percent Applied Payment Mode Select One Enrich Transaction UH amp Fund Transaction Other Intermediary Load override KYC amp Document Add Info Fee Payment Certificate Limit Order Load Override Details 1of1 Fund ID Load ID Load Details Load Description Group Id Amount Percent Change Type Change Value I nad Netaile rived Load Override Details 1of1 Load ID LoadID Load Description Change Type Change Value Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit Outcome 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 c
37. rized 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 ORACLE 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 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 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 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 acc
38. s You can override this value if required Note Ifthe client country parameter FORWARD_FX_RATE is set as false the system will allow only the application date as the FX value date Ifthe system derived FX deal rate is greater than the date derived by the system as the FX Value Date or the date specified by you after overriding the default value the system will default the FX Deal Date here Interest Click Details button under Interest Details section to invoke the Interest Calculation Screen FCIS Subscription Transaction Detail Calculation Type Simple 10f1 7 Amount DepositDate Interest Calc Days Transaction Currency InterestAmount BasisDays E 360 Total Interest Amount You can specify the following interest details Amount Specify the amount Deposit Date Specify the deposit date Interest Calc Days Specify the interest calculation days ta ORACLE 1 1 5 Calculation Type Select the calculation type from option list The options available are e Simple e Complex Basis Days Select the interest basis days based on which the interest will be calculated The options available are e 360 days e 365 days Transaction Currency The system displays the transaction currency that is selected in the Redemption screen Interest Amount The system computes the interest amount based on the interest calculation days and interest rate provided by you
39. scription Percent Applied Payment Mode Select One UH amp Fund Transaction Other Intermediary Load Override KYC amp Document Add Info Fee Payment Certificate Limit Order Certificate Required Yes Single Certificate Single From Issued Balances Select v Min Cert Denomination Max Cert Denomination Certificate Denominations Certificate Details 10f1 1of1 Certificate Lot Size No of Certificates E Certificate Number Units Partial E Total Units Settlement Details Receipt Details Project Allocation Details Allocation Details Prev Rem Audit Outcome If you have selected a certificate option fund then all certificate information fields are enabled You can enter the following details Certificate Required Select the option Yes to specify requirement of certificate Single Certificate Specify whether a single certificate or multiple certificates have been requested From Issued Balances Indicate from the drop down if the certificate is issued from balances Minimum Certificate Denomination 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 Certificate Denomination This is the
40. se Currency Fee Calculation Basis Fund Base Currency Transaction Fee Settlement Details Receipt Details Project Allocation Details Allocation Details PrevRem Audit Outcome gt 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 Click on the Enrich Transaction button to view the following fee payment details Fee in Fund Base Currency The system displays the value for fee in fund base currency Transaction Fee The system displays the fee amount of the transaction Fee Calculation Basis Indicate one of the following values as the basis for fee calculation from the drop down e Fund base currency e Transaction currency 120 ORACLE Click on the Fee Pay Details button FCIS Subscription Transaction Detail Transaction Fee Transfer Branch Payment Mode Account Type Current Account Bank Account Number Branch Clearing Date Cheque Number Account Holder Name Cheque Date IBAN 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 Specify the name of the bank where the fee payment instrument is drawn if the mode of payment is C
41. t Tab 11 Certificate Tab 12 Limit Order Tab e Section 1 1 A MP e Section 1 1 13 Documents Button gle als gla e Section 1 e Section 1 e Section 1 1 14 Project Allocation Button e Section 1 1 15 Allocation Details Button e Section 1 1 16 Acquire Task for Further Processing 1 1 1 Steps in the Initiation Stage In this stage you can launch the screen to initiate the BPEL process On launching the Screen the system assigns the BPEL process to your User ID Lal ORACLE You can perform the following activities in the Initiation stage e Enter the subscription transaction details It is not necessary to enter all the details e Putthe transaction on Hold if you want to continue at a later stage To put the process on Hold select Hold under Actions menu e Select Approve and save the record to proceed to the next stage If you Reject the first stage and save the system terminates the task Invoke Subscription Transaction Detail Screen In order to invoke the Subscription Transaction Detail screen type UTDSUBO in the field at the top right corner of the Application tool bar and click the adjoining arrow FCIS Subscription Transaction Detail New Enter Query Workflow Ref No Priority Low Transaction Information Transaction Currency Transaction Value Fund ID Reference Number Transaction Mode Amount Unit Holder ID Units Applied Transact
42. tion 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 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 Campaign Code Specify the campaign code The adjacent option list displays the valid codes of the campaign maintained in the system You can choose the appropriate one Reversal Code The system will display the related reversal code Fund Price Basis The system populates the Fund Price Basis after you click the Enrich Transaction button Base Cost The system displays the base cost after you click the Enrich Transaction button You can modify the base cost for the subscription transaction EH ORACLE Cancel Instruction 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 t
43. ystem will terminate the task Stage 3 Verification Stage On successful completion of the second stage you can acquire the task from the Pending list Only an authorized user can acquire the task for further processing In this stage you are required to verify the documents uploaded Check the Verify option in the Doc Verification screen and click Ok button to verify each documents to be uploaded The documents will be uploaded to Oracle IPM Once you acquire the task you can put the process on Hold or approve to save the process On saving the third and final stage the data is stored in FCIS and the transaction number is generated Note The documents uploaded are not saved in the FCIS system and can only be viewed till the final stage of the BPEL workflow tag ORACLE 2 Function ID Glossary U UTDSUB01 1 2 2j ORACLE
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