Oracle Financial Services Compliance Regulatory Reporting
Contents
1. herein referred to as OFSCRR This chapter focuses on the following topics e Who Should Use 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 Compliance Compliance Regulatory Reporting Administration Guide EGSTR is designed for use by Oracle Financial Services administration users Their roles and responsibilities as they operate within the OFSCRR application include the following e System Administrator This user configures maintains and adjusts the system and is usually an employee of a specific Oracle Financial Services client The System Administrator maintains user accounts and roles archives data and loads data feeds How this Guide is Organized The Oracle Financial Services Compliance Compliance Regulatory Reporting Administration Guide EG STR includes the following topics e Chapter 1 OFSCRR User Setup describes the steps involved in user creation e Chapter 2 Loading the Static Data into OFSCRR explains the steps involved in loading static data e Chapter 3 Integrating OFSCRR Application with OFSFCCM Oracle Mantas 5 x Application explains the steps involved in integration of RR application with OFSFCCM Oracle Mantas 5 x application e Chapter 4 Configuring Parameters explains the steps to configure the report lock time period Oracle Financial Services Compliance Regulatory Reporting 8 02. Administration Guide EG STR CHAPTER 1 OFSCRR User Setup This chapter describes how to provide access to users in the OFSCRR applications through the predefined user groups This chapter includes the following topics e Creating Users e Mapping Users to User Group Creating Users The OFSCRR application has predefined user groups to access the application This section explains the steps to create users and provide access to OFSCRR application To set up a user and provide the user access to OFSCRR application follow these steps 1 For creating users refer to Oracle Financial Services Analytical Applications Infrastructure User Manual Release 7 3 2 Once the users are created map the users to the predefined user groups which in turn map to a user role Note For more information about the above sections refer to the Oracle Financial Services Analytical Applications Infrastructure User Manual Release 7 3 The following table describes the predefined user groups and their roles Table 2 User Group Code and Properties User Group Name User Group Code User Group Functions RR Analyst User RRANALYST Analyst user can perform the following tasks Group e Work on the Open Reopened reports e Submit the report to Supervisors for approval e Mark the report as submitted and acknowledged post approval of the report RR Reviewer User RRREVIEWER Reviewer user can perform the following tasks Group e Edit the reports Pending f
3. Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR ORACLE
4. SQL using OFSCRR atomic schema user UPDATE APPLN_PARAMETERS SET V_ATTRIBUTE_VALUE1 N WHERE V_ATTRIBUTE_NAME1 ECM FLAG COMMIT Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR CHAPTER 4 Configuring Parameters Report Lock Period If any user forgets to logoff from the OFSCRR application or if the OFSCRR screen is closed while accessing a report the report gets locked for a pre configured duration By default the duration is 60 minutes This duration can be altered as per your requirement Execute the following SQL using OFSCRR atomic schema user UPDATE APPLN_PARAMETERS SET V_ATTRIBUTE_VALUE1 lt DURATION IN MINUTES gt WHERE V_ATTRIBUTE_NAME1 LOCK PERIOD IN MINUTES COMMIT Due Date The due date is set to N days from the date the request is sent from Alert Management Case Management to RR where N is a configurable number of days The N days filing time should exclude both holidays and weekends that is it refers specifically to business days Due date can be modified by any user based on the configurability as mentioned in the following table Table 3 Due Date Attribute Name Value Default Behavior SQL pre pack aged value Number of Days N 3 Days When an RR report UPDATE APPLN_PARAMETERS SET is created manually V_ATTRIBUTE_VALUE1 lt NUM
5. Users to User Group Chapter 1 Creating a User 22 If OFSCRR is installed on top of OFSFCCM click FCCM then select the Compliance Regulatory Reporting tab The OFSCRR application page displays OR 23 If OFSCRR is installed as a standalone application click Compliance Regulatory Reporting The OFSCRR application page displays Note Follow these steps whenever a new user is added or modified for User Details User Group mapping Roles mapping Security Attribute mapping and Password Change in the OFSCRR application 4 Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR CHAPTER 2 Loading the Static Data into OFSCRR OFSCRR application uses the following client provided data as per their business requirements e Reporting Entity Details e Branch Information To load the above data into OFSCRR follow these steps 1 Download following Excel sheets to Windows machine for the templates from lt ftpshare path gt STAGE Excelupload Templates The path for lt ftpshare path gt is the same path as given in variable placeholder FTPSHARE_PATH in GRC_InstallConfig xml a DIM_REPORTING_ENTITY_DTLS x1sx b FCT_BRANCH_INFO x1sx Add data in each Excel sheet as per your installation requirement by referring to the Oracle Financial Services Compliance Regulatory Reporting Data Model Reference Gnide a DIM_REPORTING_ENTITY_DTLS x1sx For more information refer secti
6. in the Parameter Category drop down list d Select Regulatory Report Solution Web Service from the Parameter Name drop down list e Set Parameter Value text box Y f Update the OFSCRR web service URL by setting Attribute 3 Value lt OFSCRR URL gt services InitiateRequest g Click Save Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR 7 Chapter 3 Integrating OFSRR Application with OFSECM Oracle Mantas 5 x Application j To update OFSCRR Webservice password in OFSFCCM Navigate to FCCM gt Administration gt Web Service Configuration gt Common Web Service Enter the same password set in OFSCRR side in Enter Password for Compliance Regulatory Reporting Web Service text box and click Encrypt Logout from the application 3 For Oracle Mantas 5 x a Update the variables in lt Oracle Mantas Home gt alert_management alert_mgmt WEB INF classes conf mantas_cfg install cfg as follows RRS Web Service parameters rrs userid rruser rrs password lt Encrypt the same password given in step 1 using Change Password Utility of Oracle Mantas 5 x gt rrs service url lt OFSCRR URL gt services InitiateRequest rrs version 2 5 then recreate the war file and deploy in the web application server By default OFSCRR Web Service is configured to capture data coming from OFSFCCM If OFSCRR is to be configured to accept data from Oracle Mantas 5 x then execute the following
7. not create OFSCRR administration user The OFSFCCM administration user to be used for OFSCRR administration as well For more information about User to User Group mapping refer to Oracle Financial Services Analytical Applications Infrastructure User Manual Release 7 3 1 To add client specific security attributes to OFSCRR system navigate to lt ftpshare path gt STAGE Excelupload Templates The lt ftpshare path gt is the same path given in variable APP_DRIVE_TM while installing OFSAAL For more information refer Oracle Financial Services Analytical Applications Infrastructure Installation and Configuration Guide Download the following Excel sheets to the Windows machine from the path given in the previous step DIM_DOMAIN1 x1sx DIM_DOMAIN2 x1sx DIM_DOMAIN3 x1sx DIM_DOMAIN4 x1sx 0a a Tp DIM_DOMAIN5 x1sx 3 Add data in each Excel sheet as per your report requirement by referring to Oracle Financial Services Compliance Regulatory Reporting Data Model Reference Guide a DIM_DOMAIN1 x1sx must be filled with Jurisdictions which are available in OFSFCCM For more information refer section Security Attribute Static Information in the Data Model Reference Guide b DIM_DOMAIN2 x1sx must be filled with Business Domains which are available in OFSFCCM For more information refer section Security Attribute2 Static Information in the Data Model Reference Guide Oracle Financial Services Compliance Regulatory Reporting
8. 1 Administration Guide EG STR About this Guide Where to Find More Information For more information on OFSCRR refer to the following documents Oracle Financial Services Compliance Regulatory Reporting Installation Guide Oracle Financial Services Compliance Regulatory Reporting Data Model Reference Guide Oracle Financial Services Compliance Regulatory Reporting Bahamas Suspicious Transaction Report User Guide Oracle Financial Services Compliance Regulatory Reporting Web Services Guide Oracle Financial Services Compliance Regulatory Reporting Release Notes To find additional information about how Oracle Financial Services solves real business problems see our website at www oracle com financialservices Conventions Used in this Guide Table 1 lists the conventions used in this guide Table 1 Conventions Used in this Guide Convention Meaning Italics e Names of books chapters and sections as references e Emphasis Bold e Object of an action menu names field names options button names in a step by step procedure Commands typed at a prompt User input Monospace Directories and subdirectories File names and extensions Process names Code sample including keywords and variables within text and as separate paragraphs and user defined program elements within text lt Variable gt Substitute input value viii Oracle Financial Services Compliance Regulatory Reporting 8 0 1
9. 8 0 1 Administration Guide EG STR Mapping Users to User Group Chapter 1 Creating a User NOD CO NI DB 14 15 16 17 18 19 20 21 c DIM_DOMAIN3 x1sx must be filled with Case Type and Case SubType which are available in OFSFCCM For mote information refer section Security Attribute3 Static Information in the Data Model Reference Guide d DIM_DOMAIN4 x1sx must be filled with Organizations which are available in OFSFCCM For more information refer section Security Attributed Static Information in the Data Model Reference Guide DIM_DOMAIN5 x1sx must be filled with Scenario Classes which are available in OFSFCCM For more information refer section Security Attributes Static Information in the Data Model Reference Guide Login to OFSCRR as the Admin user created in the previous step Navigate to Unified Metadata Manager gt Data Entry Forms and Queries gt Excel Upload The Excel Upload page is displayed Note After logging into the application make sure the OFSCRR application Information Domain is selected from the drop down list at the left hand corner of the page Click Browse under Excel File to Upload Select the Excel sheet Click Arrow button next to Browse Preview the data created under the Preview section 10 11 12 13 In the Excel Entity Mappings section click Arrow Select the table name with the same name as that of the Excel sheet Click Upload The following mes
10. BER OF or via action from DAYS gt alert case automatically sets due date to action date N calendar days If parameter is blank then no date is set WHERE N_PARAM IDENTIFIER 22 COMMIT Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR 9 Account Number Required flag Chapter 4 Configuring Report Lock Period Edit Due Date Flag Y or N Y If Yes Due Date can UPDATE APPLN_PARAMETERS SET be edited and check V_ATTRIBUTE_VALUE2 lt Y_OR_N gt for roles to allow to edit Set Due Date Action to be WHERE N_PARAM_IDENTIFIER 22 available If No the Due Date commit once added by any means cannot be edited No Set Due Date Action Due Date Required Y or N Y If Yes then on UPDATE APPLN_PARAMETERS SET Flag Reopen action the V_ATTRIBUTE_VALUE3 lt Y_OR_N gt due date is mandatory WHERE N_PARAM IDENTIFIER 22 If No then on Reopen action the due date is optional COMMIT Account Number Required flag This field is set to Y for a Account number configuration and N for a Customer number configuration Default value is N This can be altered as per the requirement UPDATE APPLN_PARAMETERS SET V_ATTRIBUTE_VALUE1 lt Y_OR_N gt WHERE N_PARAM IDENTIFIER 21 COMMIT 10
11. ORACLE Oracle Financial Services Compliance Regulatory Reporting Administration Guide Egypt STR Release 8 0 1 July 2015 ORACLE FINANCIAL SERVICES Oracle Financial Services Compliance Regulatory Reporting Administration Guide Egypt STR Release 8 0 1 July 2015 Document Control Number 9MN11 2 5 1 01 04 Document Number AG 15 RR 004 2 5 1 01 Oracle Financial Services Software Inc 1900 Oracle Way Reston VA 20190 Document Number AG 15 RR 004 2 5 1 01 First Edition July 2015 Copyright O1996 2014 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 Softwate Inc 1900 Oracle Way Reston VA 20190 Phone 703 478 9000 Fax 703 318 6340 Internet wsww oracle com financialservices Contents List of TaDIe Sit rai an an A ARAS DAA AAA RIAS RA A RRA V About This GUIDO a a AO AS vii Who Should Use this GUI Emi lA aiii vil Flow this Guide 1s DEA dida A oa vii Where to Pind More Information ississcisscisssissssccssscsesesesrnsseiesearsevosstnsesnvetesvedeassoaus sbeaonoaeasoeashonsessnodsastvndadosoaes sb
12. edopodedpoeaeneds viii Conventions Used in this Guide minita ici viii CHAPTER 1 OFSCRR User Setup 00000 aaa han 1 Creatina Users ii A A Seeded a hie acts 1 Mapping Users to User Grint a aaa bees 2 CHAPTER 2 Loading the Static Data into OFSCRR 2244 nn 5 CHAPTER 3 Integrating OFSCRR Application with OFSFCCM Oracle Mantas 5 x APP ICAO liada 7 CHAPTER 4 Configuring ParamMeterS oooooocononiniccccnnnoniccccccncncnnnnnanccnn nn nc nnnnnnnncnn 9 Report Lock Perio dani di 9 A RR ARRE 9 Account Number Required flag viss c icccissecessesssesstscisisdessseseieseaesedeisdesasesenesosesonedscesagevasessescigiedessognsessts sdeiesededsdeiobedsdpaciobedes 10 Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR iii Contents iv Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR List of Tables Table Conventos Usd Es Guida ene seeks viii Table 2 User Group C de and Properties a nennen innen 1 able 322 B101 B are a E Eu ee 9 Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR v List of Tables vi Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR About This Guide This guide provides comprehensive instructions to perform administration activities to configure the Oracle Financial Services Compliance Compliance Regulatory Reporting
13. on Reporting Entity Details in Datamodel Reference Guide b FCT_BRANCH_INFO x1sx For more information refer section Branch Information in Datamodel Reference Guide Login to the OFSCRR application as Admin user created in the previous step Note After logging into the application make sure the OFSCRR application Information Domain is selected from the drop down list at the left hand corner of the page Navigate to Unified Metadata Manager gt Data Entry Forms and Queries gt Excel Upload The Excel Upload page is displayed Click Browse in Excel File to Upload and upload all Excel sheets created in the previous step Note The data must be loaded in the same order as given in step 1 Scan the web application server logs for any errors after uploading each excel sheet For example for Oracle Weblogic the web application server log is wls out and for Websphere the web application server log is Systemout log and Systemerr log Close the Excel Upload page Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR 5 Chapter 2 Loading the Static Data into OFSRR 6 Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR CHAPTER 3 Integrating OFSCRR Application with OFSFCCIWOracle Mantas 5 x Application OFSFCCM or Oracle Mantas 5 x can be integrated with OFSCRR to post alerts or cases to generate reports with Webservice Calls To kno
14. or Approval e Cancel report filling e Reopen cancelled reports RR Supervisor User RRSUPERVISOR Supervisor can perform the following tasks Group e Edit the reports Pending for Approval Approve or reject reports RR Administrator RRADMINISTRATOR Administrator can perform the following tasks user e Map security attributes to users e Upload client specific metadata e Setting user ID password for webservices Access to Egypt RREGYPTACC Access to Egypt STR user group is required to provide STR user group access to EGYPT STR Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR Mapping Users to User Group Chapter 1 Creating a User Note For more information about the above sections refer to Oracle Financial Services Analytical Applications Infrastructure User Manual Release 7 3 Mapping Users to User Group This section discusses about mapping the users to user groups To create RR Analyst user map to the following groups m RR Analyst user group m Access to Egypt STR user group To create RR Reviewer user map to the following groups m RR Reviewer user group m Access to Egypt STR user group To create RR Supervisor user map to the following groups m RR Supervisor user group m Access to Egypt STR user group To create RR Administrator user map to the following group RR Administrator user group Note If you are integrating OFSCRR with OFSFCCM then do
15. sage is displayed Successfully uploaded data Click OK Note Scan the web application server log for any errors after uploading each Excel sheet For example for Oracle Weblogic the web application server log is wls out for Websphere the web application server log is Systemout log and Systemerr log Close the Excel Upload page If OFSCRR is installed on top of OFSFCCM click FCCM Navigate to Administration menu gt User Administration gt Regulatory Report User s Attribute Administration A new page displays a drop down list containing the OFSCRR users created in the previous step OR If OFSCRR is installed as a standalone application click Compliance Regulatory Reporting A new page displays a drop down list containing the OFSCRR users created in the previous step Assign attributes to each user from the drop down list Close the Regulatory Report User s Attribute Administration screen Logout from the OFSCRR application Login with each created user in the OFSCRR The Password Reset page opens when the user login for the first time immediately after the creation or every time SYSADMN user resets the password for various reasons such as when the user forgets the password or when the password is locked Reset the password The OFSCRR application Login page displays You must log into the application using the new password Oracle Financial Services Compliance Regulatory Reporting 8 0 1 Administration Guide EG STR 3 Mapping
16. w more about Webservices refer Oracle Financial Services Compliance Regulatory Reporting Webservices Guide Both OFSFCCM Oracle Mantas 5 x and OFSCRR application must be configured to use this webservice This is an optional configuration and is required only when you want to integrate OFSCRR with OFSFCCM Oracle Mantas 5 x 1 For OFSCRR The OFSCRR application s Webservice is already configured with a default user name and password This default password must be reset before performing the OFSCRR and OFSFCCM Oracle Mantas 5 x integra tion This step is mandatory from security aspect a To update password follow these steps i Log in as Administrator user ii Navigate to Administration gt Web Service Configuration gt Regulatory Report Web Service he ii Enter the User ID as rruser Do not add any other user name iv Enter the desired password v Click Save b By default OFSCRR Web Service is configured to capture the data coming from OFSFCCM If OFSCRR is to be configured to accept data from Oracle Mantas 5 x then execute the following SQL using OFSCRR atomic schema user UPDATE APPLN_PARAMETERS SET V_ATTRIBUTE_VALUE1 N WHERE V_ATTRIBUTE_NAME1 ECM FLAG COMMIT 2 For OFSFCCM a Login to the OFSFCCM application as Administration User b Navigate to FCCM gt Administration gt Manage Parameters gt Manage Common Parameters c Select Deployment Based
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