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Order Management.book - Oracle Documentation

1. Field Description Mandatory Customer Details Customer No Enables the user to select the customer by click Based on ing on the search icon available next to the Cus FAC tomer No field Customer Name Displays the Customer Name for the selected Based on Customer No FAC Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who Based on has sourced the transaction FAC Lead Generation Displays the Lead Generation Code for the Based on Code banker who has provided the lead for the trans FAC action Commodity Instrument Details Instrument Name Enables the user to select the appropriate com Y modity name by clicking on the search icon available next to the Instrument Name field Security Code Displays the Security Code of the selected secu rity It displays the Security Code based on the Field Access Controller Instrument Currency Displays the currency for the selected instru Y ment name Once the Bond Name is selected system auto populates this field Settlement Currency Displays the settlement currency for the Y selected bond instrument maintained in the bond master Measured Units Displays the appropriate measured units It dis plays measured units selection as per the selected instrument It indicates the base for price computation of the commodity instru ments Last Traded Price Displays the Last Traded Price d
2. Account Details Exception Raised RISK PROFILE NOT CREATED SELECTED INSTRUMENT IS NOT IN APPROVED LIST THE SELECTED INSTRUMENT IS NOT RECOMMENDED FOR RISK PROFILE SELECTED INSTRUMENT IS NOT IN MODEL Trent Figure 13 5 Approve Fund Reversal Screen The approver can either approve or decline the cancellation If the order is declined the order status changes back to Sent status and the system does not allow any fund reversal or order cancellation To declined the order Approver Comments are mandatory If the approver approves the cancellation of the order the order is saved with a unique status which indicates that the order is rejected by the RTA In this case the order status changes to RSO Sent Orders Reversed which means that sent orders have been reversed Once the reversal is approved FCPB initiates the fund transfer from the respective pool account to the client s bank account FCPB system makes sure that the funds are getting transferred back to the same account which has been used at the time of order placement Reversal of funds happens for transaction fee and tax amount or any of these Fund reversal transfer happens only for those heads which were successfully debited at time of order placement For e g If at time of order placement order amount was successfully debited from client account but fee and tax debit failed due to some reason then at time of fund reversal only order amount gets
3. e If there is an Open order in the system with a particular CPIS another order cannot be placed for the same CPIS elf there is a scheduled order placed for a particular SP and the scheduler is active no order can be placed for the same SP for same Client and Portfolio Field Description Mandatory Customer Details Customer No Enables the user to select the customer by click Based on ing on the search icon available next to the Cus FAC tomer No field Customer Name Displays the Customer Name for the selected Based on Customer No FAC Portfolio Name Displays the list of the portfolio names for the Y customer in the drop down list Source Code Displays the Source Code for the banker who Based on has sourced the transaction FAC Lead Generation Displays the Lead Generation Code for the Based on code banker who has provided the lead for the trans FAC action Instrument Details Instrument Name Enable the user to select the appropriate Instru Y ment Name by clicking on the search icon Term Sheet hyper Enables the user to view the instrument details link available in the generic Instrument Master by clicking on the hyperlink Security Code Displays the alternate id of the selected instru ment Instrument Currency Displays the currency for the selected Instru Y ment Once the user selects the Instrument Name system auto populates this field Settlement Currency This f
4. Y tem Customer Rate Enables the user to enter Customer Rate per Y unit of Commodity currency Amount Customer Value displayed is in Terms currency of the Y Rate In Terms cur instrument ID selected rency Fees In terms cur Display value of Fees as computed by the rency system Total Amount Displays the Total amount charged to the cus tomer Credit Limit Check Hyperlink Y N Revenue In Terms Displays the total commission received by the Y Currency bank Revenue In Base Displays the total commission received by the Y Currency bank 12 3 ORACLE Field Description Mandatory Counterparty Name Enables the user to enter the name of the Based on FAC counterparty for the transaction Counterparty Ref no Enables the user to enter transaction refer Based on FAC ence number Description This text box will capture any specific details for the order that the user would like to input Account Details Debit Account Enables the user to select the appropriate Y Value displayed should have A C no suffixed with the currency For example 12345 USD Credit Account Enables the user to select the appropriate Y Value displayed should have A C no suffixed with the currency For example 12345 USD Comments Allows to capture user remarks before saving Y N the order details Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the
5. nes Locour 27 06 2013 1 14PM ome Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Order Mgmt gt MF gt Order Capture co a ia Figure 3 2 Mutual Fund Order Capture Redemption Screen Screen Navigation After logging in the system select Order Management gt Mutual Fund gt Redemption The screen will however default the subscription tab Rules for Commencement of Redemption e Redemption orders can be placed only for customers in active status e The bank account information of the customer is mandatory for initiating a redemption order Procedure for placing of a Redemption Order Though most of the fields for redemption are analogous to subscription for simplicity the particulars of the fields have been repeated again in this section oe ORACLE Step 1 If the user is navigating to this screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the eal icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the Portfolio Name drop down list defaults to the default portf
6. Description A mutual fund is just the connecting bridge or a financial intermediary that allows a group of investors to pool their money together with a predetermined investment objective The mutual fund has a fund manager who is responsible for investing the gathered money into specific securities stocks or bonds When you invest in a mutual fund you are buying units or portions of the mutual fund and thus on investing becomes a shareholder or unit holder of the fund Mutual Fund Order Capture Subscription User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios The Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y displays in the list Screen ir EREA f Lis Meenal 5 FL IBE Private Banking PM 9 27 06 2013 1 14PM Home Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Order Mgmt gt MF gt Order Capture ez A ADS d Browse E ia Figure 3 1 Mutual Fund Order Capture Subscription Screen Screen Navigation Entry to the screen s ORACLE Option 1 1 Select the Order Management option on the main menu gt Mutual Fund The screen will default the subscription tab Rules for Commencement o
7. Select the appropriate Settlement Date using the calendar icon Step 8 From the Transaction Type drop down list select the appropriate order type There are two options available for Bonds Order Capture They are Buy and Sell By default Buy option is selected Step 9 Enter the appropriate amount in the Nominal Amount text box Note If the bond Quotation Method defined is Quantity then it is a display only field and com puted as Quantity entered Face Value of the bond Note Once the user enters the Nominal Amount the system displays the data in the Quantity Accrued Days Interest Treasury Price Treasury Yield Customer Price Customer Yield Spread Profit Flat and Profit Per Year fields Note If the spread calculated in the order capture is negative or zero and there is no relevant spread master maintained in the system then the system displays the appropriate error message This is applicable for Bonds TD Commodities FX and SP instrument types Step 10 From the Order Type drop down list select the appropriate option oF ORACLE If the Order Type is selected as Stop Loss or Limit Order Trigger Price field is enabled and allows the user to enter the appropriate trigger price Step 11 From the Time Condition drop down list select the appropriate option In case of Timed Orders orders the expiry date has to be a valid business date i e the user needs to check for holiday
8. Select the appropriate time condition from the Time Condition Type drop down list Step 10 Select the appropriate account type from the Account Type drop down list Step 11 Select the appropriate account number from the Account Number drop down list Step 12 Select the appropriate account number from the Account Number drop down list W ORACLE Step 13 Enter the appropriate price in the Treasury Price text box Step 14 Enter the appropriate price in the Customer Price text box Step 15 Enter the appropriate spread amount in the Spread text box if the selected instrument is amount based instrument Once the Treasury Price Customer Price and Transaction Fee are entered the system calculates and displays the Treasury Total Amount and Customer Total Amount Step 16 wa Select the appropriate Counterparty using the icon next to the Counterparty Name field Step 17 Enter the appropriate reference number in the Counterparty Ref No text box Step 18 From the Bank Account No drop down list select the appropriate bank account no Step 19 Click the Submit button Once the user clicks on the Submit button system displays the Exception pop up window stating the conditions that are violated To proceed with the exceptions user clicks on the Yes button and sends it for Authorization else clicks on the No button to switch back to the Order Capture screen For pending transfer requests e g unauthorized trans
9. Step 11 Similar to the Frequency field the next field Commencement Date also gets enabled only for SWP redemptions The commencement date is a pre determined date on which the SWP instruction would be executed by the fund house at a frequency defined by the user Both the frequency and Commencement date are mandatory fields to be captured by the user on opting for SWP redemption The user will be restricted from initiating an SWP instruction for a date earlier than the current business date If the Frequency is selected as Weekly in SWP pop up of Product Master with few days mentioned in the select box and if the Investment Dates have not been specified then while placing the order if the user selects the date month or year which does not fall on the one of the specified days of Product Master then system display an appropriate an error message Similarly an error message will be displayed if the selected date does not fall on the Investments dates specified in the Product Master Please note that once the instruction is initiated by the user the fund house does not require any further instructions from the user to execute the forthcoming SWP instructions However FCPB would receive updates on the revised quantity of units from the fund house after execution of every SWP instruction The calendar for selecting the date has been provided adjacent to the Commencement Date field Click on the icon E in order to open
10. Step 13 Enter the appropriate rate in the Treasury Rate text box The system defaults this value to the last exchange rate Step 14 Enter the appropriate rate in the Customer Rate text box By default the system displays Treasury rate Spread for buy orders and Treasury rate Spread for sell orders The system also displays the spread value as maintained and recomputes the same as and when the Customer Rate Treasury Rate are modified In addition the system displays the Amount Customer Rate In Terms Currency Fees In Terms Currency Total Amount Revenue In Terms Currency and Revenue In Base Currency Step 15 Select the appropriate Counterparty using Search Icon and enter the appropriate ref no in the Counterparty Ref No text box Step 16 Enter the description if any in the Description text box Step 17 Select the appropriate account from the Debit Account drop down list Step 18 Select the appropriate account from the Credit Account drop down list Step 19 Enter the comments if any in the Comments text box Step 20 Click on the Submit button Once the user clicks on the Submit button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If th
11. Counterparty and Dividend fields in the order screen 39 ORACLE Step 7 Select the appropriate Trade Date and Settlement Date using the calendar icon Step 8 The next field has a radio button adjacent to it The user has the option to opt between units and amount to redeem Thus the user has the alternative either to redeem an amount or redeem certain units For either of the options the system validates against the balance number of units or the value of the balance units available in the folio The value of the units is determined by considering the latest NAV available for the particular fund scheme For multiple redemption orders initiated on the same business day for the same fund scheme folio number in a customer s portfolio the balance qty is validated by netting the current holding of the customer against the quantities in open status All the orders initiated by the users are said to be in open status till the moment they are transformed into any other status The different order statuses are discussed in the next section For E g Total Holding 1000 units Redemption Order units 100 Status Open Balance qty available for initiating sale Holding open qty 1000 100 900 If the Amount option is selected and if the Close the Account flag is set to N the system validates the amount with the maximum redemption limit rule established if any for the particular fund scheme
12. Inst Type Displays the instrument type for the corresponding Display order 13 4 ORACLE Field Description Mandatory Inst Name Displays the name of the instrument Display Inst CCY Displays the instrument currency of the instrument Display against which the order has been initiated Order Type Displays the type of order For eg Buy Sell or any Display other order type Order Qty Displays the order quantity In case of amount based Display orders this column is blank Price Displays the price at which the transaction was placed Display In case of insurance the price column displays the Pre mium amount This is blank in case of amount based orders Order Amt Displays the amount of the order In case of insurance Display the price column displays the Sum Insured Maker Date Displays the name of the maker who initiated the order Display amp Time Checker Displays the name of the checker who approves or Display Date amp Time declines the order Order Status Displays the current status of the order Display Action This field displays the links to View Details Modify Can Display cel Approve View Details All the users who have access to common order book Display can view all the details of the order including the com ments written by checker by clicking on the View Details hyperlink They cannot modify the details of the order Modify Maker and all other RMs who
13. Introduction The objective of the current user manual is to clearly describe the functions available for Order Management feature of FCPB Capabilities in this module include e Pre trade Compliance checks e Order Origination e Order Tracking e Order Bulking e Corpus Report generation and Bulk Order placement Though this manual covers order management for all products available in FCPB only those specific product types under order management are available to the bank as per the products licensed to the bank Key Benefits e Comprehensive instrument coverage for capturing the transactions for all security types e Full support for multi currency transactions e Pre trade compliance checking e Electronic order routing and trade execution e Supports online review of transaction history Scope The intention of this User Manual is to provide a comprehensive guide to the RM of the system It can also be used as a trouble shooting guide Audience The potential readers of this document include but not limited to 1 The Relationship Manager and other users of the system 2 Top and middle management executives 3 Developers database designers of the system for their reference 4 Product and Functional teams Documentation Accessibility For information about Oracle s commitment to accessibility visit the Oracle Accessibility Program website at http www oracle com pls topic lookup ctx acc amp id docacc
14. auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the eral icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the Portfolio Name drop down list defaults to the default portfolio of RM Managed portfolio type It is mandatory for the RM to decide on the appropriate portfolio prior to placing the order Step 3 Click the x icon next to the Source Code field and select the appropriate Source Code Step 4 Click the 4 icon next to the Lead Generation Code field and select the appropriate Lead Generation Code Step 5 Click the a4 icon next to the Instrument Name field When the user clicks on the a icon next to the Instrument Name field Instrument Search window appears Enter the appropriate search criteria in the respective fields to search for the Instrument Name Once the user selects the Instrument Name following fields are automatically get populated e Security Code e Instrument Currency e Settlement Currency e Custody Fee e Instrument Group e Exchange e Last Traded Clean Price The user can select the instrument by searching for the security using a in general characteristics section icon as explained F9 ORACLE Note The security search screen displays only securities which are in open status and which are approved by the b
15. satisfying the given criteria The screen is divided into two sections the upper section of the screen is similar to the Corpus Report screen which enables the user select the appropriate criteria to generate the bulk order and in the lower section of the screen system assists the user to capture the order details User Access levels RM The user designated as RM can access the screen Screen User HOHEAD Current Login 27 03 201 Home Customer Financial Planning Order Mgmt Txn Mgmt Reports Tools My Workspace Logout Order Mant gt Bulk Orders gt Placement Of Orders a each customer In case of Bonds the amount entered either fixed or of corpus will be taken as nominal amount Figure 14 2 Corpus Report Screen Screen Navigation Order Management gt Bulk Orders gt Placement of Orders Ta ORACLE The fields have been briefly described below Field Description Mandatory Generate Bulk Orders Client Segment Enables the user to select an appropriate client seg Y ment for which the bulk order is to be generated Risk Score Enables the user to select an appropriate risk score Y for which the the bulk order is to be generated Model Name Enables the user to select an appropriate model for Y which the bulk order is to be generated Asset Class Enables the user to select an appropriate asset class Y for which the bulk ord
16. HO HEAD Current Login 06 09 2011 11 03 AM Last Login 06 09 2011 11 02 AM Home Customer Financial Planning Order Mgmt Txn Mgmt Reports Tools My Workspace Logout Order Management gt Order Bulking Search Instruments Available for Bulking Instrument t Name No of available Orders Order Qty Instrument t Cry Last Traded Price Order Amt Bulk Min Amount GOOGLE 1 1 450 D 23 5 614 075 0 Notes Show Figure 15 1 Order Bulking Screen Screen Navigation Entry to the screen 1 Select the Order Management option on the main menu gt Order Bulking Note The order bulking screen appears without any default data on navigation The user has to enter the appropriate details to view the desired instrument details available for bulking 13 1 ORACLE 15 1 The fields have been briefly described below Field Description Mandatory Instrument Type Enables the user to select the appropriate Y instrument type for which order bulking is avail able Order Type Enables the user to select the appropriate Y Order types for which order bulking is available Exchange Enables the user to select the appropriate Y exchange names to view the details Instrument Name Enables the user to select the appropriate N instrument name for which order bulking is available Order Bulking Modification Once the user clicks on the Instrument Name hyperlink in the Instrument
17. Holding Amount e Account No Step 5 Enter the appropriate application no in the Application No text box Step 6 Enter the appropriate amount in the Redemption Amount text box Step 7 Click the Save button Once the user clicks on the Save button the system displays the Order Placed Successfully message 0 ORACLE 10 1 10 Futures Order Management Note Please note that this feature would be available to you only if your license entitles you to Alternatives module Futures Order Capture User Access levels RM RM can place orders for RM Managed and Self Managed portfolios Portfolio Name field displays the list of Self Managed and RM Managed portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen tenes CG fo 27 0 20132 36 PM Home Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Order Mgmt gt Futures gt Order Capture ad FIGOS MarketOrder w Time Condition C Margin Amount Account Details DP 1D Chent 1D EE Figure 10 1 Futures Order Capture Screen Navigation After logging in the system select Order Management gt Futures gt Order capture Field Description Mandatory Customer Details Customer Number Enables the user to select the cu
18. In case no exceptions occurred order goes to checker for approval 16 ORACLE 12 1 12 Order Management for Forex Note Please note that this feature would be available to you only if your license entitles you to Alternative Investments module Forex Order Capture User Access levels RM RM can place orders for RM Managed and Self Managed portfolios Portfolio Name field displays the list of Self Managed and RM Managed portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen ORACLE teas ED FU Private Banking m3 1 21 PM nfo f2013 2 26 PH Home Customer Financial Planning Order Mgmt Ten Mgmt Portfolio Reports Tools My Workspace Order Mgmt gt Forex gt Order Capture Order capture is disabled for this instrument type for your account Customer Details Portfolio Name Forex Details Cure Pat Ga Base Currency Terms Currency Last Exchange Rate Order Details Deal Type DFO v Transaction Type Buy v Trade Date mo lal FX Setement Date B Amount In Base Currency Treasury Rate Amount Treasury Rate In Terms Currency Fees In Terms Currency Revenue In Terms Currency Counterparty Name Description Account Details Debit Account Select v Credit Account Sect v Comments 121 ORACLE Figure 12 1
19. Note Adding nominee details is a mandatory field Step 22 Click the Save button Once the user clicks on the Save button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List oe ORACLE e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation e Insurance Analysis Done is not updated in the system If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval os ORACLE 5 Order Management for Deposit Deposit Order Capture Booking User Access levels RM can place orders for the RM Managed and Self Managed portfolios Screen Deposit Details Account Details Figure 5 1 Deposit Order Capture Booking Screen Navigation After logging in the system select Order Management gt Deposit Order capture gt Booking Field Description Mandatory Customer Details Customer Number Displays the customer in context However Based on FAC the user can select the different customer by clicking on the Change Customer icon availa ble at the top right hand corner of the screen Customer Name Displays the Customer Name for the Cus Based
20. Premium Once the values in Sum Insured Premium Amount and Premium Frequency fields are entered system displays the fee applicable for the selected client for that particular instrument in the Transaction Fee text box Step 15 Enter the appropriate period in the Premium Paying Period text box Step 16 Enter the appropriate period in the Coverage Period text box Note While entering the Coverage Period remember that it has to be within the minimum and maximum Policy Tenor for the selected instrument Otherwise the system gives the error message Step 17 Enter the additional information if any in the Additional Information field aer ORACLE Step 18 From the Payment Type drop down list select the appropriate option Step 19 From the Account No drop down list select the appropriate account no Step 20 Enter the appropriate MICR or Cheque No in the MICR Cheque No text box Step 21 To add the nominee details click the A icon at the bottom right side of the Nominee Details table Once the user clicks on the EP con the Nominees window appears Screen Add Modify FLEXCUBE PRIVATE BANKING Microsoft Internet Explorer Customer number 10034 Customer Name nikita parekh Relationship Name DOB Relationship Share Cancel Figure 4 4 Nominees Window Enter the appropriate details and click the Add button Click the Save button to close the Nominee window
21. Select bond from the instrument type table gt BUY SELL Options from the screen Rules for commencement of an Order The rules for placing the Bonds order are e Orders can be placed only for customers in active status e The bank account information of the customer also needs to be updated in the FCPB prior to initiating an order Field Description Mandatory Customer Details Customer No Displays the Customer No of the customer in Based on context The user can change the customer FAC by clicking on the Change Customer icon Customer Name Displays the Customer Name for the selected Based on Customer No FAC Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who Based on has sourced the transaction FAC Lead Generation Displays the Lead Generation Code for the Based on Code banker who has provided the lead for the FAC transaction Instrument Details Instrument Name Enables the user to select the appropriate Y bond name by clicking on the search icon available next to the Instrument Name field Security Code Displays the Security Code for the instrument Instrument Currency Displays the currency for the selected instru Y ment name Once the Bond Name is selected system auto populates this field Settlement Currency Displays the settlement currency for the Y selected bond instrument maintained in the b
22. Transaction Fee display field If no fee is applicable it does not display any value in this field Step 10 After selecting the Order Type the user proceeds to enter the quantity for the transaction Quantity mentioned should be in multiples of regular lot size for that security To recap fora sell transaction the user will be restricted to the extent of balance quantity available in the security If the selected instrument does not follow the Model asset allocation for the customer the system displays the message as Model asset allocation is deviated Do you want to proceed The user can click the OK button to continue If no risk score is defined for the customer then there will not be any model asset allocation and hence system will not display any message Step 11 Depending on the type of order selected the price field will be enabled or disabled To summarize what we discussed the price field will be enabled only for the Limit price and Stop Loss type of order For the Limit price order the user can overwrite the market price with any at ORACLE other desired price and in case of stop loss orders a user has the flexibility of specifying a limit price along with the trigger price The price should be quoted in multiples of the tick size Step 12 To reiterate the FCPB provides users with the flexibility of placing orders with Quantity conditions An order with the Disclosed quantity order condition allows t
23. Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the user selects the Future ID following fields are automatically get populated e Futures Name e Expiry Date e Instrument Currency e Settlement Currency Step 6 Select the appropriate Counterparty using the search icon Step 7 From the Transaction drop down list select the appropriate transaction type There are two options available for Futures Transaction They are Buy and Sell By default Buy option is selected Step 8 From the Order Type drop down list select the appropriate order type If the user selects the Order Type as Stop Loss or Limit Order the Trigger price field is editable and user can enter the desired trigger price else system auto populates the appropriate trigger price Step 9 Enter the appropriate number in the No of Contracts text box Once the user enters the number in No of Contracts field system auto populates the data in Quantity Price Amount and Margin Amount fields Step 10 Select the appropriate option from Time Condition drop down list Step 11 Select the appropriate DP ID from the DP ID drop down list 10 4 ORACLE Step 12 Select the appropriate account no from the Bank Account drop down list Step 13 Click on the Submit button Once the user clicks on the Submit button system displays the Ex
24. another Scheme Name by clicking on the Transfer tab Enter the appropriate details in the From section as well as in the To section and click on the Submit button If the Amount option is selected and if the Close the Account flag is set to N then the system validates the amount against the Maximum Amount for Switch Out maintained at the Product Master if any for From Fund These limits are maintained by the administrator in the Product Master If Close the Account flag is Y then the system does not validate the amount against the Maximum Amount for Switch Out maintained at the Product Master Also while placing the STP order if the Close the Account flag is set to No then the system validates the Amount with the value entered in Maximum Amount field of STP Details pop up of Product Master for From Fund If the amount entered here is greater than the amount set up in Product Master system displays an appropriate error message In case of STP order if Close the Account option is set to No and if Units option is selected then the system validates the amount obtained by multiplying quantity with the Latest Trade Price of From Fund with the Min Amount of Buy Min First Purchase Amount for To Fund For example if the customer already has holdings in the To Fund and that folio is selected then the Min Amount of Buy of To Fund is validated However if the To fund has no ho
25. appropriate account number from the Account Number drop down list Step 10 Enter the appropriate price in the Treasury Price text box Once the user enters the Treasury Price the system calculates and displays the corresponding YTM in the Treasury Yield This field is enabled only if the selected instrument is unit based Step 11 Enter the appropriate price in the Customer Price text box This field is a free text box if the selected Order Type is Limit Order and based on the price entered by the user it adjusts it spread and derives the Treasury price and populates the same in Treasury Price text box Once the user enters the Customer Price the system calculates and displays the corresponding YTM in the Customer Yield Step 12 Enter the appropriate spread amount in the Spread text box if the selected instrument is amount based instrument This spread field is display only field if the selected instrument is unit based instrument Note Also if the transaction fee is applicable for the selected customer system displays it in the Transaction Fee text box Once the Treasury Price Customer Price and Transaction Fee are entered the system calculates and displays the Treasury Total Amount and Customer Total Amount The system also calculates the Profit amount and displays it in the Profit Flat text box In case of amount based instrument the system does not display any value in this text box Step 13 sa Se
26. are displayed in the drop down list The user has to decide on the exchange before proceeding with entering the order particulars The information of the exchanges in which the security is listed is updated by the administrator in the Instrument Exchange reference table Step 7 Select the appropriate Trade Date and Settlement Date using the calendar icon The system validates the Trade Date selected by the user against restriction validity period and if it falls within that period system displays an appropriate error message at the time of submitting the order Similarly the FCPB system also validates the Trade Date against the restriction validity period for the Instrument Types Commodity Bonds Structured Products and Forex In case of Mutual Fund Insurance PMS Futures and Options instrument types system validates the System Date against the restriction validity period In addition if the Trade Date falls on the system holiday or exchange holiday the system gives an appropriate warning message however it still allows the user to proceed further If the Settlement Date falls on the currency holiday then the system gives the appropriate error messages and auto rollover the date to next valid business date while for system and exchange holidays the system gives the appropriate warning messages enabling the user to proceed further 29 ORACLE Note The system validates Order Capture screens of all Instrument types for Trade an
27. es ORACLE 6 2 Bond Order Capture Sell User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y appears in the list Screen ORACLE Meenal5 FLEXDUBE vate tong 27 06 2013 2 36 PM My Workspace Home Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools Order Mgmt gt Commodity gt Order Capture Order capture is disabled for this instrument type for your account Customer Details Portfolio Name M Commodity Instrument Details Instrument Name ry al Security Code Order Details Transaction Date TIE e sams B settles Sel v oF Counterparty Ref No Account Details DP 1D Client 10 S y Bank Account Comments Pc Figure 6 2 Bond Order Capture Screen Sell Screen Navigation Select the Order Management gt Bonds gt Bonds Order capture From the Order Type drop down list select the Sell option To place the Bonds Sell transaction follow the same procedure as explained in Bond Order Capture Buy above The only difference here is that the user needs to select the transaction type as Sell from the Transaction Type dro
28. etc Y for Floating interest rate Interest Recommended Interest rate in percentage It is populated based on Currency and Tenor combination for Time Deposits Y Spread Bps Displays the value based on the IAG and Cli ent Segment Rate to Client For Time Deposit it displays the value based on value entered in the Interest rate and Spread fields It is calculated as Interest rate Spread Interest Frequency Enables the user to select the appropriate interest frequency By default Maturity is selected as Interest Frequency Auto Rollover Enables the user to select the appropriate option Yes No This can be hidden if required via Field Access Controller setup Simple Compound Indicates whether the interest type is Simple or Compound ORACLE 5 3 Field Description Mandatory Compounding Fre Indicates compounding frequency The note Y quency should be taken that Compounding Fre quency should be always lesser than Interest Frequency else there would be no effect of Compounding Interest at Maturity Displays the interest rate at maturity Y Total Amount at Displays the total amount which is calculated Y Maturity by adding interest value to the deposit amount FX Rate Displays the FX Rate of Instrument currency Y Vs Bank s base currency Total Amount at Displays the total amount at maturity in USD Y Maturity USD It is cal
29. fee includes Taxes and Charges Total Customer It displays the Total Amount charged to cus Amount tomer as per Customer Price i e Customer Price Quantity Fee Credit Limit Check Counterparty Name Enables the user to search for the appropriate Based on Counterparty Name for the transaction FAC Counterparty Ref No Enables the user to enter the transaction refer Based on ence number FAC Description Enables the user to capture the transaction N details for the order Account Details i ORACLE Field Description Mandatory DP ID Client ID Displays the depository trading accounts availa Y ble for the customer depending on the selected Portfolio Name If the Order Type is Sell then it displays only those DP Id Client Ids in drop down against which a Buy transaction was done for the selected portfolio If the Allow Omnibus flag is selected as Y at Instrument Type level the sys tem defaults this drop down to the Omnibus Account No along with the DP ID Client ID Bank Account Enables the user to select the appropriate bank Y account no from the drop down list Comments Enables the user to capture remarks before sav Y N ing the order details Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection scr
30. happened Settlement Date Displays the Settlement date for the order Transaction Type Displays the order type in the drop down list whether Buy or Sell Nominal Amount If the bond Quotation Method defined in the bond master is Quantity then it is a display field and computed as Quantity entered Face Value of bond from bond master If Bond Quotation Method is defined as Nomi nal then it is an input field In this case the derived quantity is a whole number and is expected to adhere to the minimum tradable order quantity as per the Bond master Y N ORACLE Field Description Mandatory Quantity Displays the number of the units of the bond If the bond Quotation Method as defined in the bond master is Nominal this will be a dis play field and is computed as Nominal Amount entered Face Value of the bond as per Bond Master If Bond Quotation Method is Quantity this is an input field where the Quantity is to be mentioned and is expected to adhere to Mini mum tradable Quantity Y N Order Type Specifies the Price condition of the order for the selected instrument Trigger Price If user Order Type selected is Limit Order or Stop Loss order this field is activated to enter the value and it is mandatory field else it is a disabled field and non mandatory If the user enters the Trigger Price more less than X of the LTP then system displays a warning mess
31. of business hours will automatically cancel all the open orders and update the status as cancelled The orders which are cancelled by the user will also be displayed as cancelled Rejected The orders which are cancelled by the broker exchange due to inaccuracy in the order instruction will be displayed as rejected Similar to the status Expired on change of status of a sell order to cancelled or rejected the system will add back the corresponding quantity to the balance quantity of the security or will negate the balance quantity by the corresponding quantity for a buy instruction Executed Orders which are successfully executed will be displayed as Executed Partially Executed The status of the order is displayed as partially executed when a portion of the order is executed but not all of the order Open All the orders initiated in the system and which are yet to undergo any of the above mentioned status change will all be displayed as open orders Ordered The status of the order is displayed as Ordered when order approval is not required and the user has successfully placed the order Pending Auth The status of the order is displayed as Pending Auth when the order is pending for approval from the authorizer Deleted by Maker The status of the order is displayed as Deleted by Maker when the person initiated the order deletes it Rejected by Auth The status of the order is displayed as Reje
32. the drop down list else sys tem auto populates the appropriate value Time Condition Enables the user to select appropriate val Y ues like GTC IOC Timed Order Expiry Date Enables the user to enter Order Expiry Date Y Counterparty Name Enables the user to enter the Name of the Based on FAC Counterparty for transaction Counterparty Ref No Enables the user to enter the Counterparty Based on FAC Reference Number Quantity Displays the appropriate quantity in the text Y box once the user enters the no of con tracts Bank Price Enables the user to enter Option Price for Y Private Bank ORACLE Field Description Mandatory Total Unitary com mission Displays the Total commission paid by client Client Price Enables the user to enter Option price for Client Broker Unitary com Displays the Unit Commission per unit to be N mission paid by Broker Private Unitary com Displays the Unit Commission per unit to be N mission paid by Bank Total Amount It displays the contract value and is calcu Y lated as Quantity Price Total Revenue Displays the Total Commission received by Y the Bank Description This text box will capture any specific details N for the order that the user would like to input Account Details DP ID Client ID Enables the user to select the appropriate Y DP ID details of the selected customer Bank Account Enables the user to selec
33. triggered when the last traded price in the normal market reaches or exceeds the trigger price of the order Example If for stop loss buy order the trigger price is Rs 93 00 the price is Rs 95 00 and the market last traded price is Rs 90 00 then this order is released into the system once the market price reaches or exceeds Rs 93 00 e Limit Order On opting for this option the user has the flexibility to enter any desired price If a user mentions a price it should be in multiples of the tick size for that particular security and within the day s minimum maximum price range Note For Limit Order also the system should default the Time Condition field to GTC e IPO If the system date is in the range of the selected instrument s New Issue Start Date and New Issue End Date then the instrument qualifies as an IPO Once the instrument selected is classified as an IPO Transaction should be defaulted to BUY Order Type should be defaulted to IPO Time condition should be defaulted to GTC All the above fields should be disabled If the issue start and end date is null or if the issue end date is less than the current system date for the selected instrument then the user should not be allowed to place an Order Type IPO and it should display an error message as Selected instrument is not available for IPO subscription The system also displays the Fee amount applicable for the given customer in the
34. with the respective data e Issuer Name e Scheme Type e Currency The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Step 6 Select the appropriate option for the Personal Details category The options available here are same as Customer and Other If the user selects the same as Customer option the Name of the Insured and DOB fields populate with the appropriate customer data o ORACLE If the user selects the other option then enter the appropriate data for the Name of the Insured and DOB fields Step 7 Enter the appropriate height in the Height text box Step 8 Enter the appropriate weight in the Weight text box Step 9 Enter the appropriate annual income in the Annual Income text box Step 10 Select the appropriate option for the Medical Checkup reqd field The options available are Yes or No By default the No option is selected Step 11 Enter the appropriate application no in the Application No text box Step 12 Enter the appropriate amount in the Sum Insured text box Step 13 Enter the appropriate amount in the Premium Amount text box Step 14 From the Premium Frequency drop down list select the appropriate frequency The options available here are Annually Monthly Quarterly Semi Annually Single
35. 06 2013 FI fA Buy v Market Order v 11 1 ORACLE Figure 11 1 Options Order Capture Screen Navigation After logging in the system select Order Management gt Options gt Order capture Field Description Mandatory Customer Details Customer Number Enables the user to select the customer by clicking on the search icon available next to the Customer No field Based on FAC Customer Name Displays the Customer Name for the selected Customer No Based on FAC Portfolio Name Displays the list of the portfolio names for the customer Source Code Displays the Source Code for the banker who has sourced the transaction Based on FAC Lead Generation Code Displays the Lead Generation Code for the banker who has provided the lead for the transaction Based on FAC Options Details Options Name Once the user selects the Options ID sys Y tem auto populates the corresponding Options name Underlying Asset Displays the Name of the underlying asset Y as captured in GIMS Options Type Once the user selects the Options ID sys Y tem auto populates the corresponding Options type Exercise Style American European Value defined at Y Instrument creation level is displayed Exchange Display the list of exchange values Strike Price This field displays the value defined at the Y time of creation of an Options instrument Reference Date Dis
36. Amount It displays the amount calculated as Treasury Total Amount Treasury price Quan tity Accrued Interest Customer Total It displays the amount calculated as Client Total Amount Amount Price to client Quantity Accrued Interest transaction Fee Profit Flat It displays the profit amount calculated as Profit Nominal Amount Customer Price Treasury Price Trade Fee Counterparty Name Enables the user to select the appropriate Counterparty Name Counterparty Ref No Enables the user to enter the appropriate ref no Application No Enables the user to enter the Application No Y Description Enables the user to enter the description for the selected order if any Payment Details Payment Method Enables the user to select the appropriate Y method from the drop down list Bank Account No Enables the user to select the appropriate bank account no from the drop down list Cheque No Enables the user to select the appropriate cheque no from the drop down list Comments Enables the user to enter the comments for the selected order if any ORACLE Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system
37. Display tomer in context Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who N has sourced the transaction Lead Generation Displays the Lead Generation Code for the N Code banker who has provided the lead for the transaction Deposit Details Maturing Deposit Displays the deposits that are maturing in the next business day or upto few days after next business day 5 7 ORACLE Field Description Mandatory Deposit Type Displays the default time deposit Display Deposit Details The table displays the fields Currency Start Display date Current Principal Rate to Client Origi nal tenor Maturity date Order Details Rollover Type Enables the user to select the appropriate Y Rollover Type The options available are Prin cipal Principal Interest Other Renewal Amount Displays the Renewal Amount based on the Y Rollover Type Tenor Days Enables the user to enter the new tenor Y Start Date Displays the date on which deposit is booked Y Maturity Date Displays the maturity date of the deposit Y Fixed Floating Indicates the rate of interest if it is fixed or Y floating Reference Bench Indicates Reference Benchmark like LIBOR Y for Floating mark SIBOR CDI interest rate Period of Reference Benchmark Indicates periodicity of the reference bench mark like LIBOR 30 days CDI 1 day
38. ER SEARCH window appears Enter the appropriate search criteria in the respective fields to search for the Customer No Select the appropriate customer no from the list ai ORACLE Step 2 From the Portfolio Name drop down list select the appropriate portfolio for the selected customer Step 3 From the Transaction Type drop down list select the appropriate transaction type Step 4 From the Scheme Name drop down list select the appropriate scheme Step 5 Click the Search button Once the user clicks on the Search button the details of the selected transaction appears Step 6 Click the Cancel Transaction button ORACLE 4 Order Management for Insurance Note Please note that this feature would be available to you only if your license entitles you to Mutual Funds and Insurance module 4 1 Insurance Order Capture User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y appears in the list Screen ORACLE J Meenas METO Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace PADA Oa Relationship Share te Figure 4 1 Insurance Order Capture Screen Screen N
39. Forex Order Capture Screen Navigation After logging in the system select Order Management gt Forex gt Order capture Field Description Mandatory Customer Details Customer Number Displays the customer in context However the user can select the different customer by clicking on the Change Customer icon availa ble at the top right hand corner of the screen Based on FAC Customer Name Displays the Customer Name for the selected Customer No Based on FAC Portfolio Name Displays the list of the portfolio names for the customer Source Code Displays the Source Code for the banker who has sourced the transaction Based on FAC Lead Generation Code Displays the Lead Generation Code for the banker who has provided the lead for the transaction Based on FAC Forex Details Currency Pair Display the currency pair name based on Y Commodity Currency and Terms Currency selected in Search Icon Popup Base Currency Based on the FX ID selected display informa Y tion of base currency in view mode Terms Currency Based on the FX ID selected display informa Y tion of terms currency in view mode Last Exchange Rate Displays the value of Last Exchange Rate Y Order Details Deal Type Enables the user to select the option with val Y ues like NDF and DFO Transaction Type Enables the user to select the transaction Y type from the drop down lis
40. ND USERS Oracle programs including any operating system integrated software any programs installed on the hardware and or documentation delivered to U S Government end users are commercial computer software pursuant to the applicable Federal Acquisition Regulation and agency specific supplemental regulations As such use duplication disclosure modification and adaptation of the programs including any operating system integrated software any programs installed on the hardware and or documentation shall be subject to license terms and license restrictions applicable to the programs No other rights are granted to the U S Government This software or hardware is developed for general use in a variety of information management applications It is not developed or intended for use in any inherently dangerous applications including applications that may create a risk of personal injury If you use this software or hardware in dangerous applications then you shall be responsible to take all appropriate failsafe backup redundancy and other 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 o
41. ORACLE Order Management Oracle FLEXCUBE Private Banking Release 12 0 2 0 0 Part No E49767 01 September 2013 10 11 12 13 14 Table of Contents PRCT ACC cs ne senate mecca nets acct ce ace pass eas E acc me 1 1 VW Introduction r ena ae a ede aTa i e a aaa aiaa ss aaa aa a aa aes 1 1 1 11 Key B n fils areno anrai airis iii aE EE e Eae N EEE P ELR ARE 1 1 T2 SCOPE nn a ae haute tad Maa E tale a thy nh tle RA 1 1 Wid Uo ETAO EEEE EATE EE tots crete esl ele A ces A A oh Sel ns te se 1 1 1 4 Documentation Accessibilty siiente e EAE REE ARAE ARRE 1 1 1 5 Organization of the Document sssssseesssseeerrssetirrststttrrsttttrtststtnnnssttnnnsnntennnnne enn 1 1 1 6 Conventions Used niiit aerate ee a aeria ade el 1 2 Equity Order Manageme nt ccccccseeeeeeeeeeeeeneeeeeeeeeeeeeeeeeeeeeeneneeenneeeeeees 2 1 2 1 Equity Order Capture eiieeii iae anaran naea Daaa ani er Ea aaa eaaa e iane aaki 2 3 21 1 Focussed Eist POP UD ae a e ae aee ar TE 2 11 Mutual Fund Order Management ssssssssnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnne 3 1 3 1 Mutual Fund Order Capture Subscription 00 00 2222 2 cece cece eeeeeeeee cee eeeeeeeeeteeteeeetnaeees 3 1 3 2 Mutual Fund Order Capture Redemption ccceceeeeeeeeececeeceeeeeeeeeeeeteteeeeenaees 3 8 3 3 Mutual Fund Order Capture Transfer ccceeeeeeeeeeeeeeeneeceeeeeeeeeeeeeeeeeeeeneneees 3 12 3 4 ME Sys Plan Cancell
42. Orders Helps to understand the bulk order processing Chapter 15 a Bulking Helps to understand the clubbing of orders into a single 1 6 Conventions Used This sub section explains the conventions followed in the preparation of the manual Text Description Example Illustration of the concept Bold Letters Command buttons or important text The command button titles appear as they appear on the screen Ve ORACLE 2 Equity Order Management Note Please note that this feature would be available to you only if your license entitles you to Traded Securities module Description Equity represents a share of ownership in a corporation As a unit of ownership equity typically carries voting rights that can be exercised in corporate decisions An owner of a company s equity is also entitled to share in the profits of that company This participation usually takes place in two ways 1 A dividend distribution of earnings paid by the company to the share owners 2 An appreciation in the price of the stock capital gain generated by the future prospects of the company Equity has no maturity date the shareholders are entitled to these earnings for as long as they own the shares and the company is in business Equity Markets An equity or stock market is the place where companies issue shares of stock and investors purchase and sell these shares These markets usually have th
43. Organization of the Document The Manual is organized into the following six chapters Introduction Helps to understand the purpose and the scope of the docu Chapter 1 ment 1 1 ORACLE Chapter 2 Equity Order Management Helps to understand the order management for Equity Mutual Fund Order Management Helps to understand the order manage Chapter 3 ment for Mutual Funds Order Management for Insurance Helps to understand the order man Chapter 4 agement for Insurance Chapter 5 Order Management for Deposit Helps to understand the order manage ment for Deposits Chapter 6 Order Management for Bonds Helps to understand the order manage ment for Bonds Order Management for Commodities Helps to understand the order man Chapter 7 E agement for Commodities Structured Products Order Management Helps to understand the order Chapter 8 management for Structured Products Order Management for PMS Helps to understand the order management Chapter 9 for PMS Chapter 10 Order Management for Futures Helps to understand the order manage ment for Futures Chapter 11 Order Management for Options Helps to understand the order manage ment for Options Chapter 12 Order Management for Forex Helps to understand the order manage ment for Forex Chapter 13 Common Order Book Helps to understand the status of each order initi P ated by the RM Chapter 14 Bulk
44. Please note that this feature would be available to you only if your license entitles you to Alternatives Investments module 8 1 Structured Products Order Capture Buy User Access Levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen Home Customer Finandal Planning Order Mgmt Tx Mgmt Portfolio Reports Tools My Workspace Order Mgmt gt Structured Products gt Order Capture order capture is disabled for this instrument type for your account Da A OS dins em Shee Figure 8 1 Structured Products Order Capture Buy Screen Screen Navigation After logging in the system select Order Management gt Structured Products The screen will default to the Buy tab Rules for Commencement of an Order The rules for placing the Structure Product order are Orders can be placed only for customers in active status e The orders can be placed only for RM Managed portfolio l ORACLE e The bank account information of the customer also needs to be updated in the FCPB prior to initiating an order e The Risk Profile Model of the customer should be created before placing an order
45. TED in order book table with entered reject reason For pending transfer requests e g unauthorized transaction requests no further action is allowed for the respective CPIS or CPI type Thus no orders are processed for the source customer Focussed List PoPUp If you click on icon the system displays the following pop up screen Screen Instrument Name BOND_S Bonds10 1 Mac BONO Figure 2 3 Focussed Instruments PopUp Screen Field Description Field Description Mandatory Instrument Analysis Enables you to select IAG descrip Y Group tions where instruments are defined under banks focused list an ORACLE e IF you select Select GO combination value then the system displays message as Instrument Analysis Group This is a required field e If you select any IAG GO combination value then the system displays the relevant focused list of instruments applicable for the selected IAG on the screen Focused list of Instruments is applicable for the Instrument types applicable only for RM Login The list is provided below e Equity e Mutual Funds e Bonds e Commodity e Structured Products e Insurance e PMS e Futures e Options e Simulator Screen Ang ORACLE 3 1 3 Mutual Fund Order Management Note Please note that this feature would be available to you only if your license entitles you to Mutual Funds and Insurance module
46. The system defaults the Account Type based on the Flags selected at Instrument Type level If Demat option is selected then the system displays Omnibus A c or Client A c or both in the Folio No field ORACLE If Non Demat option is selected than system displays the existing Folio No in the drop down or provides an additional text box next to account number drop down field to enter a new folio number account number Step 10 There are two ways in which you can invest in a mutual fund A one time outright payment Regular In this type of investment the user just hand over the entire amount and get the fund units depending on the value of the units on that particular day Periodic investments or this is also referred to as a SIP is a periodic investment in a mutual fund At every frequency the user will have to commit to put in a fixed amount purchasing certain units FCPB offers the users with the flexibility to invest in both the payment options These options are provided as radio buttons next to the field Payment Option Step 11 After you place an investment order in any Mutual Fund the fund house generates a folio number for that particular fund The folio number generated by the Fund house is analogous to a Customer Id and is generally generated for every unique combination of name and date of birth However there is a great disparity in the approach adopted by the various fund houses in the industry While some f
47. These redemption limits are maintained by the administrator in the Product Master If Close the Account flag is Y then the system does not validate the amount with the maximum redemption limit rule In case of SWP order if the Close the Account flag is set to No then the system validates the amount with the value entered in Maximum Amount field of SWP Details pop up of Product Master If the amount entered here is greater than the amount set up in Product Master system displays an appropriate error message Please note the units in mutual fund can encompass up to 4 decimal places Step 9 Analogous to subscription FCPB provides two approaches to redeem the holdings in a fund A one time redemption Regular In this type the user redeem over your entire holding Periodic redemptions or this is also referred to as a SWP It is a periodic redemption in a mutual fund At every frequency the user will have will have to commit to redeem fixed amount units The FCPB also facilitates the user to start a new SWP though he has already STP running in the system FCPB offers the user with the flexibility to redeem by both the payment options These options are provided as dropdown in the field Redemption Type a ORACLE Step 10 The subsequent field Frequency gets enabled only for SWP redemptions The user needs to select the frequency monthly quarterly semi annually from the drop down list provided
48. action is the sale of a company s stock by one investor to another The company does not receive or pay any money in this transaction so it is often referred to as a secondary market transaction For example if one investor sells 100 shares of General Motors stock to another investor through an exchange it is considered a secondary market transaction and has no effect on General Motors balance sheet There are various methods of buying stocks in the secondary market The most common means is through a stock broker Most trades are actually done through brokers listed with a stock exchange There are several markets or exchanges to buy and sell equity securities A company s stock must be accepted for trading or listed on a particular exchange This acceptance is based on the ability of the company to meet certain minimum size requirements and also on the amount of capital the company has raised in the public markets Selling stock is procedurally similar to buying stock Generally the investor wants to buy low and sell high although a number of reasons may induce an investor to sell at a loss e g to avoid further loss Investor can enter the orders using FCPB that can get executed either manually using execution screen or using an external third party order management system Using Order book feature Investors can track entered orders modify selected order attributes or cancel the order based on execution matched status FCPB provi
49. action requests no further action is allowed for the respective CPIS or CPI type Thus no transactions are processed for the source customer aeni ORACLE 9 1 9 Order Management for PMS Note Please note that this feature would be available to you only if your license entitles you to Alternative Investments module PMS Order Capture Buy User Access levels RM RM can place orders for RM Managed and Self Managed portfolios Portfolio Name field displays the list of Self Managed and RM Managed portfolios based on the set up done for each portfolio type at the Administration level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen Ei 27 06 2013 2 36 PM ORACLE FLEXBUBE viivate Banking Home Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Order Mgmt gt PMS gt PMS Order Capture Customer Details a9 AOS a Bank Details Figure 9 1 PMS Order Capture Buy Screen Screen Navigation After logging in the system select Order Management gt PMS gt PMS Order capture Rules for commencement of an Order The rules for placing the PMS order are Orders can be placed only for customers in active status e The orders can be placed only for RM Managed portfolio 1 ORACLE e The bank account information of the customer also needs to be updated in the FCPB prior t
50. aeeeeeeetaeeeenee 8 1 8 2 Structured Products Order Capture Sell cccceeeeeeeeeeeceeceeeeeeeeeeeeeeeeeeseesnaeeees 8 9 Order Management for PMS ccccccceceeeeeeeeeeeeeeeeeeeeeeeeeneeeeeeeeeeeeeeeeeeeenees 9 1 9 1 PMS Order Capture BUY ccescecceeeeeseeeeseeecenseeeeeeedeneeseccenseeesenedeneeseeetennenees 9 1 9 2 IPMS Order Capture Selkar a cavdeted aan a aaa e e 9 5 Futures Order Manageme nt ceeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeneeeeeesenenes 10 1 10 1 Futures Order Capture c ccccccccccceeeeeeeeeeeeceeaaeeeeeeeeeeeeeeeeeececncaeeeeeeeeeeeeneeeteees 10 1 Options Order Management cccccccccceeeeeeeeeeeeeseeeeeeeeeeeeeneeeeeeeeeeeeeeees 11 1 11 1 Options Order Capture cccecccccceceeeeeeeeeeeceeeeaeeeeeeeeeeeeeseesensccnaeeeeeeeeeeeeeeeeteees 11 1 Order Management for ForeX ccceeeeeeceeeeeeeeeeeeeeeeeeeeeeeeseeeeeeeeneeeeeeaees 12 1 12 1 Forex Order Capture min an a aa a aaee aaae 12 1 Common Order BOOK ciiccccccccsecstesecessasectcateriieshed nnsdeteticodivetateasvencttiteeesend 13 1 13 1 Cancellation of Orders Rejected by External Source cceeceeeeeeeeeteeeeeeeees 13 6 BVGE OR GGIS E r E A E E E EEA 14 1 14 1 Corpus Report iiae iedee eaaa aaraa a rave ddan ore aada ANa CEEE 14 1 14 2 Placement of Orders 15 Order Bulking _ 15 1 Order Bulking Modification onreine ae A EEEE EER 1 1 1 2 1 3 1 4 1 5 1 Preface
51. age Y N Time Condition Specifies the validity of order with respect to time When the Timed order is selected sys tem populates additional field Expiry Date and enables the user to enter the appropriate date and time Expiry Date This field is enabled only for the Timed Order type and enables the user to enter the expiry date By default the system displays the cur rent business date as Expiry Date Accrued Days Displays the No of days for which accrual has taken place Interest Displays the Accrued interest for the order Treasury Price Enables the user to enter trading desk price Treasury Yield Displays the Trading Desk Yield for the order Customer Price Enables the user to enter customer price Customer Yield Displays the Customer s Yield for the order Spread It is computed and shown as Treasury Price Customer Price for Buy Order amp Customer Price Treasury Price for sell orders Transaction Fee Including Taxes and Surcharge The value is defaulted based on the Fee setup done for the IAG Order Type Client or Client segment ORACLE Field Description Mandatory Treasury Total Amount Displays the Treasury Total Amount and is calculated as Treasury Price x Quantity x Cap Factor x Face Value 100 Accrued Interest Y Customer Total Amount Displays the Customer Total Amount and is calculated
52. ank Securities which are suspended from trading will not be displayed in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section The user can also view the instrument details available in the Generic Instrument Master by clicking on the Term Sheet hyperlink The Term Sheet pop up window appears as below Screen i FLEXCUBE PRIVATE BANKING CUST Instrument Details SP Txn Buy M O X Instrument Details Instrument Name Issuer Instrument Currency Settlement Currency Alternate Currency Minimum Amount Start Ref Date Underlying Asset Type Name Instrument Mundra Port Ltd Key Parameters Contingent coupon Coupon Payout Details UOB IB Market linked Plan UOB SGD INR Singapore Dollar 10 00 500 000 00 01 12 2008 Lifecycle Event Description The price at any point crosses a barrier of 1000 9 10percent if the barrier is hit else 20 percent 8 amp oo ORACLE Figure 8 2 Instrument Details Pop up Window Step 6 Select the appropriate Trade Date using the calendar icon Step 7 Select the appropriate Settlement Date using the calendar icon Step 8 Select the appropriate account type from the Account Type drop down list Step 9 Select the
53. apture Sell User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Admin level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen rs E JE Prate sant ng pe 205 x Z70620 2 36 PM My Workspace Home Customer Financial Planning Order Mgmt TxnMomt Portfolio Reports Tools Order Mgmt gt Commodity gt Order Capture Order capture is disabled for this instrument type for your account Customer Details Portfolio Name Custody Fee 4 Account Details DP 10 Clent10 ae Bank Account Figure 7 2 Commodity Order Capture Screen Sell Screen Navigation Select the Order Management gt Commodity gt Commodity Order capture From the Transaction drop down list select the Sell option To place the Commodity Sell transaction follow the same procedure as explained in Commodity Order Capture Sell above The only difference here is that the user needs to select the transaction type as Sell from the Transaction Type drop down list The system allows the user to place the Sell transaction only for those instruments for which the customer has holdings it ORACLE 8 Structured Products Order Management Note
54. as Customer Price x Quantity x Cap Factor x Face Value 100 Accrued Interest Transaction Fee Profit Flat Displays the Profit in absolute term and is cal culated as Spread Amount Transaction Fee Profit Per Year Displays the Profit per year It is calculated as Profit Flat Nominal Amount Total Term 365 System uses the corresponding day count convention to calculate Term and no of days in the year Counterparty Name Enables the user to select the appropriate counter party details Based on FAC Counterparty Ref No Enables the user to select the appropriate counter party ref no Based on FAC Application No In case of offline bond orders this field pro vides a facility to capture the document appli cation number N Description Enables the user to capture the transaction details for the order Payment Details DP ID Client ID Displays the depository trading accounts available for the customer depending on the selected Portfolio Name If the Order Type is Sell then it displays only those DP Id Client Ids in drop down against which a Buy transaction was done for the selected portfolio If the Allow Omnibus flag is selected as Y at Instrument Type level the system defaults this drop down to the Omni bus Account No along with the DP ID Client ID Bank Account Enables the user to select the appropriate bank account no from the drop
55. ation c cccccccccceccenseesssececeenesenceeeaesseceeeeenesecceneeendeneeesenesenees 3 14 Order Management for Insurance ccecccceeeeeeeeeeeeeeeeeeeeeeeeeeeeeeneeeeeeeneees 4 1 4 1 Insurance Order Capture ccccecceececcecceceeeeeeeeeseeeeeaaeaeeceeeseeeeseeseesennaecaeeeeeeeeess 4 1 Order Management for Deposit cccccceeeeeeeeeeeeeeeeeeeeeeeeneneeeeeeeeeeeeeenees 5 1 5 1 Deposit Order Capture Booking ccececeeceeeceeceeeeeeeeeeeeeeeeceencaesaeeeeeeeeeeeeeteees 5 1 5 2 Deposit Order Capture Rollover ccccecececececcecceeeeeeeeeeeseceeceenaecaeeeeeeeeeeeeeteees 5 6 5 3 Deposit Order Capture Pre mature Uplift 0 0 c ccccecceeeeeeeeeeeeeeeceeeeeeeeeeeeeeeeeteees 5 9 Order Management for BONS cctcecceceeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeneeeaeeeeeeeeeees 6 1 6 1 Bonds Order Capture Buy eene ea R E E E E 6 1 6 2 Bond Order Capture Sell c ccccececceeeececeecececeeceeeeeeeeeeeeeeesecaeaaeaaeeeeeeeeeeeereeeteees 6 9 Order Management for Commodities ecceeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeeees 7 1 7 4 Commodities Order Capture BUY 2 0 00 eee eeeee eee ettie eter eeeeeeeeteeeeeeeteeeeere 7 1 7 2 Commodity Order Capture Sell cc cceeeeeeeeeneee eee encneeeeeeeaeeeeeetaeeeeeeeieeeeene 7 7 Structured Products Order Management sseeeeeeeeeeeeeeeeeeeeeees 8 1 8 1 Structured Products Order Capture BUY 00 eeceeceeeeeteeee eee eeneeeeeeee
56. avigation After logging into the system select Order Management gt Insurance gt Order Capture Rules for commencement of an Order Insurance orders can be placed only for customers in active status The rules for placing the Insurance order are e The orders can be placed only for RM Managed portfolio e The bank account information of the customer also needs to be updated in the FCPB prior to initiating an order 4 ORACLE e If there is an Open order in the system with a particular CPIS another order cannot be placed for the same CPIS Field Description Mandatory Customer Details Customer No Enables the user to select the customer by Y clicking on the search icon available next to the Customer No field Customer Name Displays the Customer Name for the Y selected Customer No Portfolio Name Displays the list of the portfolio names for Y the customer in the drop down list Source Code Displays the Source Code for the banker Y who has sourced the transaction Lead Generation Displays the Lead Generation Code forthe Y code banker who has provided the lead for the transaction Instrument Details Scheme Name Enables the user to select the appropriate Y Scheme Name by clicking on the search icon Insurer Name Displays the Insurer Name for the selected scheme name Once the user selects the Scheme Name system auto populates this field Scheme Type Displays the Scheme Type f
57. calculated as Interest rate Spread Interest Frequency Enables the user to select the appropriate interest frequency By default Maturity is selected as Interest Frequency For Dual Cur rency deposits the system defaults this field to Maturity Simple Compound Indicates whether the interest type is Simple Y or Compound For Dual Currency deposits the system defaults this field to Simple inter est Compounding Fre Indicates compounding frequency The note Y quency should be taken that Compounding Fre quency should be always lesser than Interest Frequency else there would be no effect of Compounding Interest at Maturity Displays the interest rate at maturity Y Total Amount at Displays the total amount which is calculated Y Maturity by adding interest value to the deposit amount FX Rate Displays the FX Rate of Instrument currency Y Vs Bank s base currency Total Amount at Displays the total amount at maturity in USD Y Maturity USD It is calculated as Total Amount At Maturity FX Rate between Instrument Currency and Bank Currency Description It captures any specific details for the order N that the user likes to add Account Details ORACLE Field Description Mandatory Bank Account Displays the list of accounts from which Y Deposit funds gets transferred and in case of Uplift fund gets credited Comments Enables the user to enter the comments Procedure for Placing of an Deposit B
58. ception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval 10 2 ORACLE 11 1 11 Options Order Management Note Please note that this feature would be available to you only if your license entitles you to Alternative Investments module Options Order Capture User Access Levels RM RM can place orders for RM Managed and Self Managed portfolios Portfolio Name displays the list of Self Managed and RM Managed portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen ORACLE Fl EX UBE Prina Banking on 27 06 2013 2 36 PM Home Customer Financial Planning Order Mgmt Txn Mgmt Portfolio Reports Tools My Workspace Order Mgmt gt Options gt Order Capture order capture is disabled for this instrument type for your account Customer Details a Options Details Option Ni Und tv Order Details 27
59. clicks on the Fund Reversal hyperlink following screen appears a7 ORACLE Screen Meena 5 27 06 2015 2 36 PM ORACLE E A Prate Banting Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Home Customer Financial Planning Deposit gt Booking gt View SELECTED INSTRUMENT IS NOT IN APPROVED LIST THE SELECTED INSTRUMENT IS NOT RECOMMENDED FOR RISK PROFILE SELECTED INSTRUMENT IS NOT IN MODEL RISK PROFILE NOT CREATED f Figure 13 4 Fund Reversal Screen Here in this screen if the user clicks on the Reject button Fund Reversal process gets initiated indicating the user that the order is under cancellation status The system then sends this Fund Reversal request for approval changing the order status to PAR Approval Pending Rejection which means that approval is pending for rejection To cancel the order and to return to the main page the user needs to click on the Cancel button The system does not change the order status in this case Once the order is rejected it goes to approver for Fund Reversal Approval The approver can view the Approve Fund Reversal hyperlink in the order book based on the hierarchy On clicking the hyperlink following screen appears 138 ORACLE Screen veers CET 27 fn6 z013 2 36 Pm Prat Banking Home Customer Financial Planning Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Deposit Details Order Details
60. credited to customers bank account In case of sell and transfer orders though order amount is not debited fee tax gets debited Hence these amounts get credited to the customer s account Irrespective of the success or failure of fund transfer the order status changes to rejected by RTA The order status change is not dependent on the fund reversal confirmation In case of technical or any other issue during fund transfer the system gives an appropriate error message 139 ORACLE 14 1 14 Bulk Orders The Bulk Orders feature of FCPB system facilitates the user to opt for bulk order generation where the orders for the same instrument across multiple clients are generated in one go Bulk order processing is used to save time by avoiding repetitive order entry and also to take advantage of a specific market condition which lasts for a short The Bulk Orders menu is further divided into two submenus Corpus Report and Placement of Orders Corpus Report Description The submenu enables the user to generate the corpus report to determine the customer s eligibility and to check if the sufficient corpus is available with the customer to place the order The system generates this report only for the discretionary portfolio type User Access levels RM The user designated as RM can access the screen Screen Home Customer Financial Planning Order Mgmt Txn Mgmt Reports Tools My Workspace Logout Order Hors Buik Oc
61. ct the appropriate option The options available for Payment Method are ECS Cheque and DD Step 11 From the Bank Account No drop down list select the appropriate option Step 12 Enter the appropriate cheque no in the Cheque No text box Step 13 Click the Save button Once the user clicks on the Save button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval Note If an order is placed for a particular PMS with a particular Account No the subsequent orders for that PMS should be placed with the same Account No a ORACLE 9 2 PMS Order Capture Sell User Access levels RM RM can place orders for RM Managed and Self Managed portfolios Portfolio Name displays the list of Self Managed and RM Managed portfolios based on the set up done for each portfolio type at the Administration level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen amp order capture is disable
62. cted by Auth when the order is rejected during authorization Excp Approval The status of the order is displayed as Excp Approval when the user has received warning messages while placing the order and is pending for approval from the authorizer Inv Spc Approval An investment specialist is an employee of the bank with expertise in handling specific types of investments like realty structured products bonds etc There are certain instruments which need the involvement of investment specialist to complete the execution of transactions In these cases investment specialist negotiates with counterparties to arrive at a deal to get better price The status of the order is displayed as Inv Spc Approval when the Investment Specialist flag is set as Yes in Product Access Level of Employee Maintenance and is pending for approval from Investment Specialist Partially Executed Cancelled The status of the order is displayed as partially executed cancelled when a portion of the order is executed and other potion of it is cancelled 18 ORACLE The fields have been briefly described below Field Description Mandatory Input Section Customer No Enables the user to select the appropriate Customer N No to view the desired orders Instrument Enables the user to select the appropriate instrument Y Type type from the drop down list Instrument Enables the user to select the appropriate
63. culated as Total Amount At Maturity FX Rate between Instrument Currency and Bank Currency Description It captures any specific details for the order N that the user likes to add Account Details Bank Account Displays the list of accounts from which Y Deposit funds gets transferred and in case of Uplift fund gets credited Comments Enables the user to enter the comments N After entering the appropriate details click on the Submit button If no exceptions the system displays the message as Order captured successfully In case of exceptions when the user clicks on the Submit button system displays the Exception pop up window appears as explained in the Deposit Order Capture Booking if the order to be placed violates certain conditions Deposit Order Capture Pre mature Uplift The FCPB system allows the user to uplift the orders which are not yet matured The screen assumes Penalty Method as Based on Revised Rate and Elapsed Tenor for this purpose which can be defined in Product Master for every Deposit Instrument ORACLE Screen 27 06 2013 2 36 PM Tools Portfolio Reports My Workspace Home Customer Financial Planning Order Mgmt Txn Mgmt Order Mgmt gt Deposit Order Capture gt Pre mature Uplift Customer Details Account Details Figure 5 3 Deposit Order Capture Pre mature Uplift Screen Navigation After logging in the system select Order Management gt De
64. d Settle ment Dates and displays the appropriate messages Step 8 The primary step in initiating an order is to opt for a type of transaction The user can place either the bid ask buy sell order While there is no restriction on the buy transaction the sell transaction is restricted to the extent of balance quantity available for the security in the portfolio of the selected customer For multiple sale orders initiated on the same business day for a particular security within a portfolio for a customer under consideration the balance quantity is construed by considering both the current holding of the customer as well as the quantities against the orders which are in open status All the orders initiated by the users are said to be in open status till the moment they are transformed into any other status The different order statuses are discussed in the next section For E g Total Holding 1000 shares Sale Transaction Ordered 100 Executed 10 Holding 1000 10 990 Balance qty available for initiating sale Holding open qty 990 90 900 Total Holding 1000 shares Sale Transaction Ordered 100 Executed 10 Cancelled 90 Holding 1000 10 990 There are no orders in open status and hence the entire 990 is available to the user to initiate a sale transaction Step 9 FCPB allows users to enter orders with various conditions attached to them as per their requirements The conditio
65. d for this instrument type for your account oe oe Figure 9 2 PMS Order Capture Screen Screen Navigation Select the Order Management gt PMS gt PMS Order capture From the Order Type drop down list select the Sell option Procedure Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the eral icon located at the top right hand side corner of the screen Step 2 From the Order Type drop down list select the appropriate order type Here select the Sell option Once the user selects the Sell option the available Instrument names appears in the drop down list 29 ORACLE Step 3 RM Subsequent to selecting the customer the Portfolio Name drop down list defaults to the default portfolio of RM Managed portfolio type It is mandatory for the RM to decide on the appropriate portfolio prior to placing the order Step 4 From the Instrument Name drop down list select the appropriate instrument Once the user selects the appropriate Instrument Name the following fields are automatically populated e Currency e
66. demption Step 19 The system also facilitates the user to attach the Transaction Slip To attach click on the Browse button and attach the appropriate Transaction slip Step 20 After entering all the fields in accordance to the outline given in the above steps the user can Submit proceed to click on the button Once the user clicks on the Submit button system displays the Exception displays pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation e KYC is not verified If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval Note If the order is to be placed in the minor s investment account the system first checks if the KYC Check for Signatories and if it maintained as Y the guardian KYC check is manda tory for placing the order Here if the user tries to place the order and if the guardian KYC is not done the system does not allow the user to place the order and displays an appro priate exception message If the flag is maintained as N then KYC check for Signatories is not required If the order is to be placed in a portfo
67. ders gt Corpus Report a Generate Report Clear Figure 14 1 Corpus Report Screen Screen Navigation Order Management gt Bulk Orders gt Corpus Report The fields have been briefly described below Field Description Mandatory Client Seg Enables the user to select an appropriate client segment Y ment to generate the corpus report Risk Score Enables the user to select an appropriate risk score ofa Y client to generate the corpus report Model Name Enables the user to select an appropriate model asset Y allocation attached to the discretionary portfolio of a cus tomer to generate the corpus report Asset Class Enables the user to select an appropriate asset class to Y generate the corpus report 14 1 ORACLE 14 2 Field Description Mandatory Currency Enables the user to select an appropriate currency for Y corpus amount to generate the corpus report Corpus Enables the user to enter the appropriate corpus amount Y Available criteria to generate the corpus report Once the user clicks on the Generate Report button system generates the corpus report and sends it to the email id of the logged in user Based on the corpus report generated the RM can determine the eligible customers to place the bulk order Placement of Orders Description The Placement of Orders screen facilitates the user to place the bulk orders for the customers
68. des flexibility to the investors in selecting time conditions for each order among available time conditions like Good till day Immediate or cancel and applicable order types like Market Order Stop Loss Order Limit Order while placing orders Note Every order initiated through the FCPB will have a unique transaction id associated to it The FCPB assumes that this identification would be a common interfacing attribute be tween the external broker system and the FCPB Note If updating the risk score is mandatory in the bank parameters screen then risk score of a Client needs to be updated in FCPB before placing any order else the system will display error and the user will not be able to place orders This is applicable to all order capture screens Note Exception approval can be taken from the designated authorities to place an order when the risk profile of the client is not updated and the approval is valid only for a day ee ORACLE 2 1 Note Any order placed from customer login will display an order confirmation screen Note If the restrictions are found while placing the order system does not allow the user to place the order and displays an appropriate error message using the exception framework These restrictions are validated only for Buy and SIP orders Equity Order Capture User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portf
69. down list Comments Enables the user to capture remarks before saving the order details Y N ORACLE Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the 7a icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not c
70. e It can have negative value when the Customer Price is less than the Treasury Price for Buy order and when the Customer Price is more than the Treasury Price for Sell order Note If Spread is not defined in the master then system defaults the field to zero value Step 14 oF Select the appropriate Counterparty Name using the icon Step 15 Enter the appropriate ref no in the Counterparty Ref No text box Step 16 Enter the appropriate description in the Description text box Step 17 From the DP ID Client ID drop down list select the appropriate option Step 18 From the Bank Account No drop down list select the appropriate option Step 19 Click the Submit button Once the user clicks on the Save button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation e Trigger Price more less than x of the LTP where x is the no which is configurable e Spread deviated approval required If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval i ORACLE 7 2 Commodity Order C
71. e allocated to nomi nee by the insured person Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen If the Income Tax ID Required and Risk Profiler Mandatory options are set to Yes in the Instrument Type screen of Admin login and the corresponding details for the selected customers are not updated then the system displays the appropriate messages and will not allow the user to place the order Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the A icon next to the Source Code field i ORACLE When the user clicks on the icon next to the Source Code field the Banker Source Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for cert
72. e and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the a icon next to the Instrument Name field When the user clicks on the a icon next to the Instrument Name field Instrument Search window appears Enter the appropriate search criteria in the respective fields to search for the Instrument Name Note The instrument search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be dis played in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the user selects the Instrument Name following fields are automatically get populated sa ORACLE e Instrument Group e Currency Step 6 From the Order Type drop down list select the appropriate order type There are two options available for PMS Order Capture They are Buy and Sell By default Buy option is selected Step 7 Enter the appropriate account no in the Account No text box Step 8 Enter the appropriate application no in the Application No text box Step 9 Enter the appropriate amount to invest in the Invested Amount text box Step 10 From the Payment Method drop down list sele
73. e for Option Transaction They are Buy and Sell By default Buy option is selected Step 9 Enter the appropriate number in the No of Contracts text box Step 10 Select the appropriate Counterparty using Search Icon Step 11 Select the appropriate ref no in the Counterparty Ref No text box Step 12 Enter the appropriate price in Bank Price Premium Per Option text box Step 13 Enter the appropriate price in Client Price Premium Per Option text box Once the user enters the Bank Price and Client Price system auto populates the data in Quantity Total Unitary Commission Broker Unitary Commission Private Unitary Commission Total Amount and Total Revenue fields Step 14 Enter the description if any in the Description text box Step 15 Select the appropriate DP ID from the DP ID drop down list Step 16 Select the appropriate account no from the Bank Account drop down list Step 17 Click on the Submit button Once the user clicks on the Submit button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture
74. e system does not include such customer s while generating the bulk order Note In case of MF instrument type only Subscribe and Redeem orders can be placed as a part of bulk order generation The systematic orders are not allowed as a part of bulk order gen eration If the selected fund is an NFO then the system also validates for NFO start and end dates while placing the bulk order Note In case of Bonds and SP instrument types the corpus gets adjusted against the order amount and not the nominal amount 144 ORACLE 15 Order Bulking Description The Order Bulking functionality of the FCPB system enables the user to club the orders of same instrument and of the same type buy or sell into a single order for market execution Once the execution of the bulk order is updated in the system the individual orders forming part of the bulk also get auto updated as executed Order Bulking is the cost efficient way of execution as large orders get executed at lower transaction charges and in addition to this identity of individual orders and their owners can be kept private as the order get placed on behalf of a large institution User Access levels RM The system provides the order bulking menu only if the logged in RM is an investment specialist for at least one of the instrument types for which orders can be bulked and he she has the buy sell rights for the specified instrument type Screen 4 User
75. e user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval 126 ORACLE 13 Common Order Book Note This Menu can also be mapped to OPS Role User Access Levels RM The system provides the flexibility of viewing the status each order initiated by RM across all the instrument types Screen Order Customer Inst Inst Order z MD ype Dtme Cey Type Order Qty OrderPrice Order Amt O7 MF ReleneMF INR BU zoo o m embes lne foding Figure 13 1 Common Order Book Screen Screen Navigation Entry to the screen 1 Select the Order Management option on the main menu Common Order Book Note Transactions updated for the securities in the Held Away portfolio are not displayed in the Order Book By default the system displays the details of the orders of all the direct as well as indirect customers of the logged in RM based on the hierarchy during the current business day If the logged in RM is a backup RM then the system also displays the order details of the direct customers of Primary RM and it continues to display these details till the end of backup period How to read the screen 1 This order book displays the orders initiated for securities across all instrument types 2 The statuses of all the orders initiated are displayed i
76. e user clicks on the a icon next to the Source Code field the Banker Source Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Source Code Step 4 Click the a icon next to the Lead Generation Code field When the user clicks on the a icon next to the Lead Generation Code field the Banker Lead Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Lead Generation Code 2 ORACLE Step 5 The subsequent step is to capture the fund scheme details For placing the order the user has to select the fund scheme to transact The user can select the fund scheme either by direct gpae ering the name of the fund scheme or by searching for the fund scheme by clicking the button Note The fund scheme search screen displays only the schemes which are in open status and which are approved by the bank Securities which are suspended from trading will not be displayed in the search screen The user can view the Recommended instruments Focussed instruments House Views NFO details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the Scheme name is selected the system populates the Security Code which is the alternate id of the selected instrument Security Sub Type fields Step 6 Mutual fund generally offers two options o
77. e user enters the no of contracts Price Displays the appropriate price in the text box Y once the user enters the no of contracts It is in multiples of the tick size Amount It displays the contract value and is calculated Y as Quantity Price Trigger Price Enables the user to enter the trigger price ifthe Y Order Type is selected as Stop Loss or Limit Order from the drop down list else system auto populates the appropriate value 10 2 ORACLE Field Description Mandatory Time Condition Enables the user to select the appropriate time Y condition Margin Amount Displays the margin amount and is calculated Y as No of contracts of Margin defined per contract Account Details DP ID Client ID Enables the user to select the appropriate DP ID details of the selected customer Bank Account Enables the user to select the appropriate bank account detail of the selected customer Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located a
78. ed by the user If the Frequency is selected as Weekly in SIP pop up of Product Master with few days mentioned in the select box and if the Investment Dates have not been specified then while placing the order if the user selects the date month or year which does not fall on the one of the specified days of Product Master then system display an appropriate an error message Similarly an error message will be displayed if the selected date does not fall on the Investments dates specified in the Product Master Both the frequency and Commencement date are mandatory fields to be captured by the user on opting for SIP payment Also based on the Commencement date and No of transfers the system auto populates the SIP End Date The user will be restricted from initiating an SIP instruction for a date earlier than the current business date Please note that once the instruction is initiated by the user the fund house does not require any further instructions from the user to execute the forthcoming SIP instructions However FCPB would receive updates on the revised quantity of units from the fund house after execution of every SIP instruction Step 15 There should be a gap of one month for the auto generation of orders for SIPs to start This is based on the requirement from most of the AMCs that there should be a gap of a particular number of working days before the SIP auto debit starts The number of days differ from AMC to AMC For example i
79. een On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the a icon next to Source Code field and select the appropriate Source Code Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code Step 5 Click the icon next to the Instrument Name field When the user clicks on the A icon next to the Instrument Name field Security Search window appears Enter the appropriate search criteria in the respective fields to search for the Instrument Name as ORACLE Note The security search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be displayed in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the user selects the Instrument Na
80. efined in the Price Master table Order Details Transaction Date Enables the user to enter the appropriate Trans Y action Date Settlement Date Enables the user to enter the appropriate Settle Y ment Date de ORACLE Field Description Mandatory Transaction Displays the order type in the drop down list Y whether Buy or Sell Order Type Specifies the Price condition of the order for the Y selected instrument Time Condition Specifies the validity of order with respect to Y time When the Timed order is selected system populates additional field Expiry Date and ena bles the user to enter the appropriate date and time Quantity Displays the number of the units of the commod Y ity Spread Enables the user to enter the appropriate N Spread amount Treasury Price Enables the user to enter the Treasury Price Y When Order Type is selected as Market Order the system displays Treasury price as an edit able field with the Last Traded Price And when Order Type is Limit Order or Stop Loss Order then the Treasury Price is displayed with value equal to Customer Price Spread value Customer Price This field displays the Customer Price per unit of Y Commodity Currency Total Treasury Displays the total amount calculated as Treas Y Amount ury Price Quantity Fees Fee charged to the customer based on seg Y ment Instrument Group IAG of the customer The
81. er e Instrument Restriction for client country of domicile Note When such exceptions occur the system collects all the exception levels and saves the order with maximum exception level If the maximum exception level is higher than logged in user s exception level the system displays a pop up with all the exception messages with caption Exception Approval Required ea ORACLE Screen FLEXCUBE PRIVATE BANKING Exception Messages Popup Microsoft Int E Following Exception s found Approval is Required SELECTED INSTRUMENT IS NOT IN APPROVED LIST SELECTED INSTRUMENT IS NOT IN MODEL PORTFOLIO SELECTED INSTRUMENT IS NOT IN RECOMMENDED LIST DEVIATION FROM MODEL ASSET ALLOCATION you want to proceed with these exceptions Yes No Figure 2 2 Equity Exception Popup Window If the user clicks Yes the order goes for exception approval If the maximum exception level is less than then logged in user s exception level then the system displays the popup with all the exception messages If the user clicks Yes the order goes to checker for approval if required In case any exception having exception level 99999 the system displays the hard error Hence the user will not be able to place the order Note This Exception Approval process is similar for all instrument types and hence is not repeat ed for all Order Capture screens Note The Pending for Au
82. er Selected Displays the total number of orders that have for bulking been selected for bulking by selecting the Selected for Bulking option Bulk Order Quan tity Displays the sum of quantities of orders selected for bulking Amount LTP Last Traded Displays the Last traded price of the instru Price ment Bulk Order Displays the Bulk Order Amt which is calcu lated as Bulk Order qty Last Traded Price for the instrument Counter Party Displays the Counter Party chosen for the orders of the selected instrument Exchange Exchange chosen for the orders of the selected instrument No of unselected orders Displays the total number of orders that are not selected for bulking i e the orders for which the Selected for Bulking option is not selected Unselected Displays the sum of quantities of orders that orders Qty are not selected for bulking Unselected Displays the Unselected Order Amt calculated orders Amt as Unselected Order qty Last Traded Price LTP for the instrument Orders Available for Bulking Order ID Displays the Order ID of the individual child orders forming the bulk order Customer No ID Displays the Customer ID to which the order belongs Customer Name Displays the Customer Name to whom the order belongs 15 3 ORACLE Field Description Mandatory Order Qty Displays the quantity of t
83. er is to be generated Currency Enables the user to select the appropriate currency Y for which the bulk order is to be generated Corpus Available Enables the user to enter the appropriate corpus Y amount criteria for which the bulk order is to be gen erated Order Details Instrument Type Enables the user to select an appropriate Instrument Y type for which bulk order is to be placed Instrument Displays the instrument for which the bulk orderis to Y Name be placed Security Code Displays the Security Code of the selected instru Y ment Instrument Cur Displays the instrument currency of the selected Y rency instrument Settlement Cur Displays the settlement currency of the selected Y rency instrument Account Type Enables the user to select an appropriate account Y type from the drop down list This field is editable only if the selected instrument type is MF or SP If the selected instrument type is EQ BONDS COM then system defaults this drop down to Depository option and does not allow to modify the same DP Id Enables the user to select an appropriate DP Id Y Counterparty Enables the user to select an appropriate Counter Y Name party Name using the search icon Counterparty Enables the user to enter an appropriate Counter Y Ref No party Ref No in the text box Transaction Enables the user select an appropriate transaction Y Type type from the drop down list 14 3 ORACLE Field Descr
84. er to Rollover the Time Deposits to renew a TD for all deposits that are maturing in the next business day or upto few days This number is configurable via Business Parameters screen after next business day Rollover for Floating rate Benchmarks which are of Daily Periodicity like CDI LIBOR 1day EURIBOR 1day etc are not allowed for roll over Call deposits and Dual Currency deposits cannot be rolled over sp ORACLE Screen Home Customer Financial Planning Order Management gt Deposit Order Capture gt Rollover Customer Details Customer Name Portfolio Nane Sect Deposit Details Waturng Deposit Ska v Order Details OnMatuity M r Sme v stat Maturity Tescipion Account Details Bark A Order Mgmt Txn Mgmt Portfolio Reports Principal Interest Renewal Amount A Natuity Date Spread Bas Vesna CES PAJAN Tools My Workspace be there wou benn efkect of Comper Figure 5 2 Deposit Order Capture Rollover Screen Navigation After logging in the system select Order Management gt Deposit Order capture gt Rollover Field Description Mandatory Customer Details Customer Number Displays the customer in context However Y the user can select the different customer by clicking on the Change Customer icon availa ble at the top right hand corner of the screen Customer Name Displays the Customer Name for the Cus
85. es button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval e ORACLE 8 2 order capture is disabled for this instrument type for your account Structured Products Order Capture Sell User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen inanci jal Planning OrderMgmt Tan Mgmt Portfolio Reports Tools My Workspace Order Mgmt gt Structured Products gt Order Capture Order capture is disabled for this instrament type for your account oo as Parti Nane ZE Holding Details erjos eons Settlement Date Figure 8 3 SP amp Alternatives Order Capture Sell Screen Screen Navigation After logging in the system select Order Management gt SP and Alternatives The screen will default to the Buy tab Click the Sell tab Procedure Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selectio
86. et Y order Limit Order or Stop Loss Order Trigger Price Enables the user to enter the appropriate price at which the trade is expected to happen Time Condition Enables the user to enter the appropriate time condition The options available are IOC GTC and Timed Order Expiry Date Displays the order expiry date Nominal Amount It displays the stated value of an issued security which remains fixed Quantity Display the units which are calculated as Nomi nal Amount Face Value Accrued Days Displays the number of days for which the last accrual of interest has happened Accrued Interest Displays the appropriate interest accured for the selected instrument ORACLE Field Description Mandatory Treasury Price Enables the user to enter the appropriate treas ury price This field is enabled only if the instru ment is unit based else the system displays it in the disabled mode Treasury Yield Displays the corresponding YTM for a given Treasury price Customer Price Enables the user to enter the price charged to the client Customer Yield This field populates with the corresponding YTM for a given Customer price Spread Bps Enables the user to enter the appropriate spread value This is a display only field for unit based instrument Transaction Fee Displays the transaction fee for the selected transaction Treasury Total
87. f a customer wants to enroll for an SIP on 10th of every month for Rs 1000 per month for 6 months He she books the order on the 20th of January His her first order goes through on the 20th Jan but since gap between 20 Jan and 10th Feb the date on which the auto generation of orders should have started is not one month FCPB skips auto generation of order for 10th Feb and the auto generation will start from 10th March Step 16 The user also needs to select the appropriate counterparty by clicking on the a icon next to the Counterparty field It helps to recognize the customer records in transaction files sent by different counterparties oe ORACLE Step 17 If the selected scheme is an NFO scheme then for a regular order the system displays an ASBA option If this option is selected FCPB system sends a unique status i e Hold or Blocked to the core banking system after placing the order If the option is not selected the system continues with the current interface which continues to debit the user s bank account and sends the status as Debit Step 18 The user then finally proceeds to capture the bank details Both the fields in this section are mandatory The Debit From field provides the information to the fund house on the account details for debiting the due amount for subscription The Direct Credit account provides the fund house with the information on the bank details for crediting the proceeds of the re
88. f an Order The rules for placing the Mutual Fund order are comparable to those stated for equity e Orders can be placed only for customers in active status e For initiating an order the customer should have either an RM portfolio or a Self Managed portfolio coupled to his her id e The bank account information of the customer also needs to be updated in the FCPB prior to initiating an order Procedure for placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the eral icon located at the top right hand side corner of the screen If the Income Tax ID Required and Risk Profiler Mandatory options are set to Yes in the Instrument Type screen of Admin login and the corresponding details for the selected customers are not updated then the system displays the appropriate messages and will not allow the user to place the order Step 2 RM Subsequent to selecting the customer the system displays the default portfolio in the Portfolio Name drop down list Step 3 Click the A icon next to the Source Code field When th
89. first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the a icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the A icon next to Lead Generation Code field and select the appropriate Lead Generation Code 124 ORACLE If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the A icon next to the Currency Pair field When the user clicks on the a icon next to the Currency Pair field Instrument Search window appear
90. have access to that cus Display tomer can modify the corresponding order Cancel Maker and all other RMs who have access to that cus Display tomer can cancel the corresponding order Authorize Checker authorizer who has the exception rights to Display authorize the highest exception raised can authorize the corresponding order Execute The logged in RM other than Maker and who have Display access to that customer and the RM designated as Investment Specialist can execute the corresponding order Order Book display based on the Product Access Level setup 1 While listing orders for the logged in user system additionally considers Product access Level defined for the user and only shows those instrument types in the drop down list for which user has any kind of access i e Buy or Sell or Approve or Execute If for an instrument type no access is provided i e no entry in the product access table for this 1s ORACLE 13 1 user id and instrument type then the system does not display the corresponding Instrument Type in the drop down list 2 The system also displays the message No orders found for the selection or user does not have access to view orders of certain instrument types when there is no record for the selected criteria 3 The hyperlinks in order book additionally consider Product Access level The Modify Cancel hyperlinks also considers the appropriate order type access to decide
91. he corresponding Y order Order Price Displays the price at which he child order was Y placed by the RM Order Amt at LTP Displays the Order Amount calculated as Y Order qty Last Traded Price for the instru ment Maker Date amp Displays the Maker Date and time of the corre Y Time sponding order Checker Date amp Displays the Checker Date amp Time of the cor Y Time responding Selected for Enables the user to select deselect the order Y Bulking for bulking Note Bulk order can be cancelled by clicking on the Cancel hyperlink from the order book Note Investment specialist executes the bulk order through the execute screen by accessing the Execute link in the order book The system does not provide the Execute link to the child orders forming the bulk order Note When bulk order is executed completely the parent as well as the child orders get updated with the Executed status 15 4 ORACLE Order Management September 2013 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 2013 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 E
92. he user to disclose only a portion of the order quantity to the market For e g Order quantity 10000 Disclosed quantity 2000 Only 2000 are disclosed to the market The disclosed quantity should be less than equal to the order quantity After this quantity is fully matched a subsequent quantity of 2 000 is disclosed Step 13 The trigger price field will be enabled on selection of the Stop Loss order It is mandatory for the user to enter a value in this field on selection of the stop limit price condition Step 14 The user can set either of the following time conditions for his order On accessing the screen the field defaults to the Timed Order condition e Timed Order If the order is time bound user needs to enter the date on which the order should expire By default system considers the system date or current business date whichever is later as the order expiry date On the date of order expiry the system lapses the Active Timed Order In this case the expiry date has to be a valid business date i e the user needs to check for holiday master for System Exchange or Currency holiday In case the expiry date falls on any of the holidays the system displays an error message on the screen and next valid business date for order processing is displayed on the screen All Timed orders which have an expiry date can be renewed by the user The system displays an alert message in the Alerts portlet of dashboard to the inter
93. heck for the certificate and allows the user to proceed further Step 5 Click the 7a icon next to the Instrument Name field When the user clicks on the a icon next to the Bond Name field Security Search window appears Enter the appropriate search criteria in the respective fields to search for the Instrument Name Note The security search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be displayed in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the user selects the Instrument Name following fields are automatically get populated 66 ORACLE e Security Code e Instrument Currency e Settlement Currency e Security Sub Type e Holding Nominal e Holding Quantity e Average Clean Buy Price e Custody Fee e Last Traded Clean Price If the issue start and end date is null or if the issue end date is less than the current system date for the selected instrument then the user should not be allowed to select an Order Type IPO and it should display an error message as Selected instrument is not available for IPO subscription Step 6 Select the appropriate Trade Date using the calendar icon Step 7
94. hey are matched the trading system labels the orders at each stage with their corresponding status All the orders initiated by the users are said to be in open status till the moment they are transformed into any of the below given status The order statuses are displayed online in the Order Book Let us comprehend the various statuses displayed in the trading system 12 ORACLE Expired The orders which do not get executed at the exchange due to time out are displayed as Expired orders To comprehend this with uncomplicated words orders which are placed with time condition IOC or Day and fail to act in accordance will be automatically cancelled by the trading system Such orders will be identified as expired For a sell instruction on change of status of an order to expired the system will add back the corresponding quantity to the balance quantity of the security Obviously this addition of the quantity will be done to the security in the portfolio of the customer through which the user had initiated the order The reverse rule will be applied for a buy instruction Cancelled The orders associated with the Day time condition and which fail to get executed will be automatically cancelled by the trading system at the close of business Day Such orders will be denoted as Expired by the trading system However in the event of failure to receive the status information from the trading system the FCPB at the close
95. ield captures the settlement date for an instrument based on the settlement cycle main tained in the system for the exchange on which the instrument trades Custody Fee This field displays the Custody Fee based on the customer segment amp IAG Instrument Group Displays the Instrument Group for the selected Y Instrument Once the user selects the Instru ment Name system auto populates this field ee ORACLE Field Description Mandatory Exchange Enables the user to select the appropriate Exchange Last Traded Clean Price Displays the Last Traded Price Counterparty Enables the user to select the appropriate coun Y terparty Order Details Trade Date Enables the user to select the appropriate trade Based on date The system does not allow the user to FAC enter the future trade date If the trade date falls on the system or exchange holiday the system displays the appropriate warning message Settlement Date Captures the settlement date for an instrument Based on based on the settlement cycle maintained in the FAC system for the exchange on which the instru ment trades Account Type Enables the user to select the appropriate account type i e Demat or Non Demat Account No Enables the user to enter the Account No Y Transaction Type Displays the appropriate transaction type Buy Y or Sell Order Type Displays the appropriate order type mark
96. ificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Screen a FLEXCUBE PRIVATE BANKING Banker Source Code Search Windows Internet Banker Source Code Search Source Id i Banker Name Figure 4 2 Banker Source Code Search Window Step 4 Click the y icon next to the Lead Generation Code field When the user clicks on the a icon next to the Lead Generation Code field the Banker Lead Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Lead Generation Code ORACLE Screen E FLEXCUBE PRIVATE BANKING Banker Lead Code Search Windows Internet E U Banker Lead Code Search External Lead Id fora cee a i Banker Name j Figure 4 3 Banker Lead Code Search Window If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the H icon next to the Scheme Name field When the user clicks on the 4 icon next to the Scheme Name field Scheme Search window appears Enter the appropriate search criteria in the respective fields to search for the Scheme Name Once the user selects the Scheme Name following fields are populated
97. instrument N Name using the Search icon Order Type Enables the user to select the appropriate Order Type Y from the drop down list Order Status Enables the user to select the appropriate status from Y the drop down list Portfolio Enables the user to select the appropriate Portfolio Y Name Name to view the desired orders Maker Name Enables the user to select the appropriate Maker Name N to view the orders Checker Enables the user to select the appropriate Checker N Name Name to view the orders Country of Enables the user to select the appropriate Country of N Market Market using the Search icon to view the desired orders Order Date Enables the user to enter select the appropriate From N From Date to view the desired orders Order Date Enables the user to enter select the appropriate To N To Date to view the desired orders Bulking View Enables the user to view the individual or bulk orders N as per the selection If the Individual option is selected the order book displays the individual orders that form the part of a bulk order and also the orders that do not form the bulk order If the selection is Bulk the order book displays the bulk orders fulfilling the other selec tion criteria also Display Section Order ID Displays the order id of the corresponding order Display Customer No This field is displayed only for RM login The Id s of all Display the customers for whom orders were initiated are dis played here
98. iption Mandatory Order Amount Enables the user to enter the fixed order amount N Fixed Amount applicable to all customers This field appears on the screen only for the Buy transaction type Order Amount Enables the user to enter an appropriate of the N of Corpus corpus amount which would be applicable to all cus tomers This field appears on the screen only for the Buy transaction type Order Quantity Enables the user to select the order quantity for a N All Holdings bulk sell order if all the holdings in the selected instrument are to be sold This field appears on the screen only for the Sell transaction type Order Quantity Enables the user to select the order quantity as the N Holdings percentage of the existing holdings This field appears on the screen only for the Sell transaction type Once the user clicks on the Generate Orders button the bulk order gets placed and multiple child orders are generated for the eligible customers Note The system calculates the fees brokerage and commission as applicable while placing the Bulk Orders Note The system also performs the usual exception check for each of the child order generated as part of bulk order generation Note If a customer has Buy Sell restrictions either as an individual customer or as part of a client segment or as part of an IT type for the selected instrument Instrument type IAG Issuer and Industry then th
99. ition also provides the option to select the new folio using the select option of the drop down list Hence the user can choose either the existing folio or invest in a new folio Note If there are multiple folio s available for the same issuer then the system defaults the folio to the omnibus if applicable and depending on the Omnibus client level flag else defaults it to the first available folio ORACLE Note Every order initiated through the FCPB will have a unique transaction id associated to it The id would be generated for every customer portfolio order combination FCPB as sumes that this identification would be a common interfacing attribute between the exter nal system and the FCPB Note FCPB assumes that the fund house would generate a separate folio number for every cus tomer portfolio combination Hence investments made by the same customer into the same fund but in different portfolios would be issued with two separate folio numbers by the fund house Note The FCPB would update the folio number as received from the fund house against each order id Hence multiple orders associated with the same folio number would be clubbed by FCPB to display the net outcome Note FCPB assumes that the folio number attained for a holding in the FCPB would not be uti lized by the customer to make any transactions outside the FCPB system On selecting the fund scheme name the curre
100. k The pop up displays details of the total executed quantity remaining quantity and Cancelled quantity if any It also displays the Modify hyperlink on click of which the Transaction Modify screen appears to modify the transaction Cancellation of Orders Rejected by External Source The existing order book of the FCPB system has been further enhanced to support the Fund Reversal feature if the orders get rejected by external source The system displays Fund 126 ORACLE Reversal and Approve Fund Reversal hyperlinks in the order book based on the hierarchy and flags set up at the product access level FCPB facilitates the operations user to cancel these rejected orders and initiate Fund Reversal by sending an appropriate fund transfer message to the core banking system to reverse the corresponding transaction amount fee and tax if any These hyperlinks are available only for those orders which have been sent to external source for processing The screen for Fund Reversal is available only to the Operations users and it undergoes the maker and checker process The customer and RM users are not allowed to cancel the orders rejected by RTA User Access Levels Operations only the person designated as an Operations user can access this screen Screen Figure 13 3 Operations Order Book for Fund Reversal Screen Navigation After logging in the system as Operations select Order Management gt Order Book If the user
101. ldings then Min First Purchase Amount of To Fund is validated against the amount obtained ae ORACLE 3 4 Note The system validates KYC check for Joint holders while placing the transfer order Once the user clicks on the Save button the system displays the message MF Order Placed successfully For pending transfer requests e g unauthorized transaction requests no further action is allowed for the respective CPIS or CPI type Thus no orders are processed for the source customer MF Sys Plan Cancellation User Access levels RM can cancel the Systematic Plan Screen User HO HEAD Current Login 09 12 2010 8 53 AM Last Login 03 12 2010 PRIVATE BARKING Home Customer Financial Planning Order Mgmt Txn Mgmt Reports Tools My Workspace Logout Order Mgmt gt MF gt Systematic Plan Cancellation E rites Custe No r n Type S 1000 RM Managed View Folio Id Scheme Name Transac tion Type Cancel Transaction Figure 3 4 MF Sys Plan Cancellation Screen Screen Navigation After logging into the system select Order Management gt MF gt Systematic Plan Cancellation Procedure for Systematic Plan Cancellation Step 1 Enter the appropriate customer no in the Customer No text box The user can also search for the customer no by clicking on the icon next to the Customer No text box When the user clicks on the a icon the CUSTOM
102. lect the appropriate Counterparty using the icon next to the Counterparty Name field S ORACLE Step 14 Enter the appropriate reference number in the Counterparty Ref No text box Step 15 Enter the appropriate amount in the Commitment Amount text box The Commitment Amount Applicable field is enabled in the screen only if Commitment Amount Applicable field has been set to Y in the Product Master The system also displays the draw down amount till date if the Commitment Amount Applicable field is Y Step 16 Enter the appropriate application no in the Application No text box Step 17 Enter the description in the Description text box if any Step 18 From the Payment Method drop down list select the appropriate payment method The available options for payment method are ECS Cheque and DD Step 19 From the Bank Account No drop down list select the appropriate account no Step 20 Enter the appropriate cheque no in the Cheque No text box Step 21 Enter the comments in the Comments text box if any Step 22 Click the Save button Once the user clicks on the Save button system displays the Exception displays pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If the user clicks on the Y
103. lick the a icon next to the Lead Generation Code field at ORACLE When the user clicks on the a icon next to the Lead Generation Code field the Banker Lead Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Lead Generation Code Step 5 The subsequent step is to capture the security details For placing the order the user has to select the security and the exchange in which he wants to transact The user can select the security by using a section icon as explained in general characteristics Note The security search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be displayed in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section On picking a security through the search screen the security name and currency get displayed in the subsequent Security Name Currency Settlement Currency Last Traded Price Security Sub Type Holding Quantity and Custody Fee fields in the order screen Step 6 A company may have its stock listed on more than one exchange Hence on selecting the security all the exchanges in which the security is listed
104. lio where there are joint holders the system first checks if the KYC Check for Joint Holder is maintained as Y then the Joint Holder KYC check is mandatory for placing the order Here if the user tries to place the order and if KYC check of any or all joint holders is not done the system does not allow the user to place the order and displays an appropriate exception message If the flag is maintained as N then KYC check for Joint Holder is not required ot ORACLE 3 2 If the order is placed successfully the system displays the message as Order placed successfully Reference id xyz Here xyz is the order id which can be used later to track the order This id is displayed on the screen along with the message as and when the order is modified approved and also if the fund reversal is initiated and approved If the user changes the decision on the order he she can clear the entire details captured Clear earlier by clicking on the button Mutual Fund Order Capture Redemption User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios The Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y displays in the list Screen ORACLE FLERBUBE Private Banting
105. m checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the A icon next to the Option Name field When the user clicks on the a icon next to the Option Name field Instrument Search window appears Enter the appropriate search criteria in the respective fields to search for the Option instrument Note The instrument search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be dis played in the search screen The user can view the Recommended instruments Focussed instruments House Views details and Instrument Analytics details by clicking on the respective icons next to the Security ID field as explained in General Characteristics section Once the user selects the Option ID following fields are automatically get populated e Options Name e Reference Date e Contract Settlement Date e Instrument Currency e Settlement Currency e Commodity Currency Step 6 Select the appropriate Trade Date By default display the current system date or business date whichever is later but user can modify the trade date Step 7 Select Premium payment Date Payment date or date when Premium is received paid Step 8 From the Transaction drop down list select the appropriate transaction type 1S ORACLE There are two options availabl
106. master for System Exchange or Currency holiday In case the expiry date falls on any of the holidays the system displays an error message on the screen and next valid business date for order processing is displayed on the screen Step 12 ra Select the appropriate Counterparty using the icon next to the Counterparty Name field Step 13 Enter the appropriate no in the Counterparty Ref No text box Step 14 Enter the description if any in the Description text box Step 15 From the DP ID Client ID drop down list select the appropriate option Step 16 From the Bank Account No drop down list select the appropriate option Step 17 Enter the comments if any in the Comments text box Step 18 Click the Submit button Once the user clicks on the Save button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation e Trigger Price more less than x of the LTP where x is the no which is configurable e Spread deviated approval required If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval
107. me following fields are automatically get populated e Security Code e Instrument Currency e Settlement Currency e Measured Units e Last Traded Price e Spread Step 6 Enter the appropriate Transaction Date using the calendar icon Step 7 Enter the appropriate Settlement Date using the calendar icon Step 8 From the Transaction Type drop down list select the appropriate order type There are two options available for Commodity Order Capture The options are Buy and Sell Step 9 From the Order Type drop down list select the appropriate order type If the user selects the Order Type as Stop Loss or Limit Order the Trigger price field is editable and user can enter the desired trigger price else system auto populates the appropriate trigger price Step 10 Select the appropriate option from Time Condition drop down list Step 11 Enter the appropriate quantity in the Quantity text box Step 12 Enter the appropriate price in the Treasury Price text box Step 13 Enter the appropriate price in the Customer Price text box Once the Quantity and Treasury Price and Customer Price are entered system auto populates Spread Total Treasury Amount Total Customer Amount and Fee amount if any a ORACLE Note The system auto populates the Spread amount depending on the Customer Segment IAG and Order Type combination However the system recalculates this amount based on Customer Price and Treasury Pric
108. mmodities Note Please note that this feature would be available to you only if your license entitles you to Alternative Investments module Commodities Order Capture Buy User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Screen Seem Le Order capture is disabled for this instrument type for your account FOROS Figure 7 1 Commodity Order Capture Screen Buy Screen Navigation Entry to the screen Option 1 Select the Order Management option on the main menu gt Commodity gt Order capture Option 2 Select the Customer option on the main menu gt Portfolio Management gt Maintenance gt Select a portfolio except held away discretionary from the list of portfolio gt Select Commodity from the instrument type table gt BUY SELL Options from the screen Rules for Commencement of an Order The rules for placing the Commodities order are e Orders can be placed only for customers in active status fl ORACLE e The bank account information of the customer also needs to be updated in the FCPB prior to initiating an order
109. n dividend payout and reinvestment In the dividend payout option the dividend is given to the investor from time to time whereas in the reinvest option all the dividends declared by the fund are ploughed back into the scheme The next field Dividend provides the user with the option to select either of the options Dividend payout or Dividend reinvest Please note that it is not essential that all the fund schemes provide with both the options on dividend The options will be made available to the user to select based on the alternatives offered under a particular fund scheme These options are maintained in the system in the MF Instrument Master table in the database Step 7 The next field enables the user to select the appropriate exchange name from Exchange drop down list Step 8 Select the appropriate Trade Date and Settlement Date using the calendar icon In case if the user is initiating the order SIP SWP STP post cut off time the system does not allow the user to place the order and displays an appropriate warning message asking the user to place the order for some other date This is applicable only if the commencement date is same as the system date and the cut off time for that Instrument IAG is less than the current time Also the validation is applicable only for first order Step 9 From the Account Type drop down list select the appropriate account The account types available are Demat and Non Demat
110. n screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the peal icon located at the top right hand side corner of the screen oa ORACLE Step 2 RM Subsequent to selecting the customer the Portfolio Name drop down list defaults to the default portfolio of RM Managed portfolio type It is mandatory for the RM to decide on the appropriate portfolio prior to placing the order Step 3 Click the a Step 4 icon next to the Source Code field and select the Source Code Click the a icon next to the Lead Generation Code field and select the Lead Generation Code Step 5 From the Instrument Name drop down list select the appropriate Instrument name for the selected customer Once the user selects the Instrument Name following fields are automatically populated with the corresponding information e Security Code e Instrument Currency e Settlement Currency e Custody Fee e Instrument Group e Last Traded Clean Price e Exchange e Nominal Amount Held e Quantity Held Step 6 Select the appropriate Trade Date using the calendar icon Step 7 Select the appropriate Settlement Date using the calendar icon Step 8 Select the appropriate order type from the Order Type drop down list Step 9
111. n this screen 13 1 ORACLE On reaching the screen the user can view two tabs The first tab provides multiple filter alternatives to observe the order book and the second tab displays all the orders for the selected criteria 3 The first tab provides the user with the multiple filter options which can be employed either as solo or in combinations with the other filter options in the screen This provides the user with flexibility while accessing the order book The information of these filter options are provided below e Customer No This filter option is available only for an RM login This filter can be employed by the RM to analyze the status of the orders initiated for a particular customer for the current business day The RM has the choice to filter either by entering the Customer No or by searching for the Customer No using the a button e Instrument Type The user has the option to view all the orders initiated for a particular instrument on the current business day For a RM login this filter will display all the orders placed across all the customers for the selected instrument The user can search for the desired instrument name by using the F button e Order Type The RM or the customer also has the flexibility to sort out the orders by the type of transaction By default system displays the order status for all the order types The user can select the desired order type from the Order Type drop down list to view the de
112. nal users before order expiry The user can then choose to renew the order expiry date or make no changes The system displays the order status of the expired order as Expired in the order book e IOC An immediate or cancel order allows the user to buy or sell a security as soon as the order is initiated failing which the order will be cancelled by the broker s trading system Partial match is possible for the order and the unmatched portion of the order will be cancelled immediately by the broker system Step 15 The final step before submitting the order is to decide on the trading account details displayed in the drop down lists These lists are displayed in the corresponding fields of the account details section The user needs to pick the DP ld the customer id and the bank account number from the list of values displayed in the dropdown of the corresponding fields Note The Bank Accounts drop down list displays the bank accounts concatenated with the cor responding bank currency zs ORACLE If the instrument currency settlement currency and bank account currency are different and post FX rate conversion if the bank account does not have sufficient funds to process the order the system displays an appropriate error message on submission of the order Note If the selected portfolio is of type Discretionary the system defaults the Bank Account drop down list to the bank account no attached to it at
113. ncy and the current NAV of the scheme will be displayed in the corresponding Currency and NAV fields in the order screen Step 12 The next text fields enable the user to enter the Application No and Cheque No respectively The user can enter either Application No or Cheque No The next field is the amount field If the payment option is selected as Regular the system validates the amount with the minimum maximum subscription limit rule established for the particular fund scheme These subscription limits are maintained by the administrator in the MF Instrument Master table in the database Once the user enters the amount the system populates the data in the following fields as per the Fee structure set up for the Client Segment and IAG combination e Indicative Total Investment For Regular payment option the values for Amount and Indicative Total Investment are same but for SIP the Indicative Total Investment is obtained by multiplying the value in the Amount field with no of transfers The system validates the amount entered here against the amount set up in the Maximum Amount for Buy field of Product Master if any If it is greater than the value set up at product master system displays an appropriate error message In case of SIP order the system validates the amount entered in the Invested Amount field against the amount set up in the Maximum Amount field of SIP Details pop up of Product Master If it is greater
114. ns are broadly divided into Time conditions quantity conditions and price conditions Several combinations of the above are allowed thereby providing flexibility to users The price conditions provided as a drop down list in the order type field are summarized below e Market Order Market orders are orders for which price is specified as Mkt at the time order is entered For such orders the trading system determines the price and hence the price field gets disabled on selection of this option The screen displays this type of order as default order Note For Market Order the system should default the Time Condition field to GTC e Stop Loss This facility allows the user to release an order into the system after the market of the security reaches or crosses a threshold price called the trigger price On 26 ORACLE opting for the stop loss condition the user has to enter both the trigger price in the Trigger Price field and as well as the price in the Price field If the price is not specified the trigger price is taken as the price for the order The trigger price and the price mentioned should be in multiples of the tick size for that particular security and within the day s minimum maximum price range A sell order in the stop loss book gets triggered when the last traded price in the market reaches or falls below the trigger price of the order On the other hand the buy order in the Stop Loss book gets
115. o initiating an order Field Description Mandatory Customer Details Customer No Enables the user to select the customer by Y clicking on the search icon available next to the Customer No field Customer Name Displays the Customer Name for the selected Y Customer No Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who Y has sourced the transaction Lead Generation Displays the Lead Generation Code for the Y Code banker who has provided the lead for the trans action Instrument Details Instrument Name Enables the user to select the appropriate instrument name by clicking on the search icon available next to the Instrument Name field Currency Displays the currency for the selected instru Y ment name Once the Instrument Name is selected system auto populates this field Holding Amount Displays holding amount Order Details Order Type Displays the order type in the drop down list whether Buy or Sell Account No Enables the user to enter the Account No Y Application No Enables the user to enter the Application No Y Invested Amount Displays Invested amount for Buy and Y Redemption amount for Sell Bank Account Details Payment Method Enables the user to select the appropriate Y method from the drop down list Bank Account No Enables the user to select the appropriate bank account no from
116. olio of RM Managed portfolio type It is mandatory for the RM to decide on the appropriate portfolio prior to placing the order Step 3 Click the a4 Step 4 Click the A Step 5 icon next to the Source Code field icon next to the Lead Generation Code field The subsequent step is to select the fund schemes For placing the order the user has to select the fund scheme in which he wants to transact from the Scheme Name drop down list Note The fund scheme drop down displays only the schemes which are in open status Step 6 On picking a fund scheme through the search screen all the existing folio number s affiliated to the fund scheme in the portfolio of the selected customer will be displayed in the Folio No dropdown field Please note only the folio s in which the customer currently has holdings will be displayed in the drop down list It is obligatory for the user to select one of the folio numbers displayed in the list Note Every order initiated through the FCPB will have a unique transaction id associated to it The id would be generated for every customer portfolio order combination FCPB as sumes that this identification would be a common interfacing attribute between the exter nal system and the FCPB On selecting the fund scheme and the folio number the currency the current NAV and the dividend option of the scheme will be displayed in the corresponding Currency NAV
117. olios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Admin level Only portfolios for which Allow in OMS RM is set to Y gets displayed in the list Home Customer Fnandal Planning Order Mgmt Txn Momt Portfolo Reports Tools My Workspace Order Mgmt gt Equity gt Order Capture amp order capture is disabled for this instrument type for your account Customer Details Portfolo Name AM Mana AOS d Submit Clez cd iar Figure 2 1 Equity Order Capture Screen Screen Navigation Entry to the screen Option 1 Select the Order Management option on the main menu gt Equity gt Order capture oe ORACLE Note In case you proceed to the Maintenance screen without selecting a customer the system will force you to select a customer in the customer selection screen before automatically guiding you back to the Portfolio Management screen Rules for Commencement of an Order e Orders can be placed only for customers in active status e For initiating an order the customer should have either an RM portfolio or a Self Managed portfolio coupled to his id e The electronic trading account identification of the customer also needs to be updated in the FCPB prior to initiating an order e Similar to the electronic account information the customer also need
118. on FAC tomer in context Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who Based on FAC has sourced the transaction al ORACLE Field Description Mandatory Lead Generation Displays the Lead Generation Code for the Based on FAC Code banker who has provided the lead for the transaction Deposit Details Instrument Name Enables the user to select the appropriate Y instrument using the search icon Currency Displays the selected instrument currency Y Deposit Type Displays the deposit type of the selected Y instrument If the deposit type is selected as Time Deposit then system displays the rele vant fields like Interest Tenor Rate To Customer Spread bps Order Details Deposit Amount Enables the user to enter the deposit amount Y to be booked with the bank Tenor Days Enables the user to enter the appropriate Y tenor This is applicable for Time deposit and not for Call Deposits Start Date Enables the user to select the date on which Y deposit is booked Maturity Date Displays the maturity date of the selected Y deposit Dual Currency Enables the user to determine whether the Y Deposit order to be placed should have the feature of Dual Currency Deposit If this field is selected system enables three more fields Alternate CCY Fixing Date amp Strike Al
119. on next to the Instrument Name field Instrument Search window appears Choose the appropriate currency for the Deposit to search for the Deposit instrument a4 ORACLE Note The instrument search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be dis played in the search screen Once the user selects the Instrument Name following fields are automatically get populated e Currency e Deposit Type Step 6 Enter the appropriate amount in the Deposit Amount text box Step 7 Enter the appropriate deposit tenor in days in the Tenor Days text box Step 8 Select the appropriate Start Date for the deposit using the calendar icon Once the instrument details are entered the system displays the Maturity Date Step 9 Select the Dual Currency Deposit check box if the order is to be placed for Dual Currency deposit Once this field is selected system enables the Alternate Currency Fixing Days and Strike Rate fields Step 10 Select the appropriate currency from the Alternate Currency drop down list Step 11 Enter the appropriate number of days in the Fixing Days field Step 12 Select the appropriate interest type from the Fixed Floating drop down list Step 13 For Fixed Deposits enter the appropriate percentage in the Interest text box Step 14 Enter the appropriate value in the Spread Bp
120. ond master Security Sub Type Displays the Security Sub Type for the Based on selected instrument FAC ORACLE Field Description Mandatory Average Clean Buy Price Displays the average buy price of existing holdings of customer for the selected portfo lio if any The average price of the instrument displayed is calculated either on FIFO or WAC basis depending on flag selected in Bank Parameters Y Holding Nominal Displays the nominal value of the holding quantity Based on FAC Holding Quantity Displays the existing holding quantity of the selected bond instrument for the correspond ing CPIS The field defaults to zero if it is a first order of the selected instrument for the selected cus tomer Y Custody Fee Displays the Custody Fee as maintained based on the customer or customer segment amp IAG Based on FAC Last Traded Clean Price Displays the Last Traded Clean Price The field defaults to the Original Price as defined in the Price Master table It is assumed that Prices are always sent on Percentage basis and therefore the Original Price is the unconverted Percentage Price If the price is not available in table then the field defaults to the Issue Price of the Instrument as per bond master Exchange Enables the user to select the appropriate exchange Order Details Trade Date Captures the date on which the trade has
121. ooking Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the y icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the a icon next to the Instrument Name field When the user clicks on the a ic
122. or the selected Scheme Name Once the user selects the Scheme Name system auto populates this field Currency Displays the Currency for the selected Scheme Name Once the user selects the Scheme Name system auto populates this field Counterparty Enables the user to select the appropriate counterparty using the search icon Personal Details Same as Customer Other Enables the user to select whether the Insured person is customer or some other person If the Other option is selected the system allows the user to enter the appro priate details 4 2 ORACLE Field Description Mandatory Name of the Insured If the user selects the Same as Customer Y option above then system populates the Name of the Insured field If the Other option is selected enables the user to enter the appropriate name DOB If the user selects the Same as Customer Y option above then system populates the DOB field If the Other option is selected enables the user to enter the appropriate DOB Height Enables the user to enter the height in the Y Height text box Weight Enables the user to enter the weight in the Y Weight text box Annual Income Enables the user to enter the customer annual income in the Annual Income text box Medical Checkup Enables the user to select the appropriate Y reqd option for the Medical Checkup reqd field by using the radio button O
123. p down list The system allows the user to place the Sell transaction only for those instruments for which the customer has holdings FCPB also handles Put type of transactions similar to Sell transactions for holdings updation and performance computation ea ORACLE Note Bonds Order capture Modify and Execute screens compute the field level values based on whether the bond instrument selected is quoted in Percentage or Absolute Processing Logic for Yield based Trading Order Capture and Order Modify e System enables you to enter the value of Yield and computes the corresponding price provided the Day Convention and Calculation Type of the bond in context is supported in the system However the price value can be modified if needed e System computes the price in absolute terms however if the bond trades in percentage price then the system displays percentage price e While saving the data the system checks for Price and Yield combination If there is a mismatch then the system displays the message as Price amp Yield are not in synch Please check The message is displayed either as override message which can be ignored and the data saved Or as exception message then the data is passed through the exception framework e Ifthe Day Convention and Calculation Type of the bond is not supported then the system does not compute the Treasury Price or Customer Price based on the entered Yield It needs
124. plays the Date when the underlying asset Y price is fixed Contract Settlement Displays the Expiry date of a Options ID Y Date selected Instrument Currency Displays the instrument currency on selec Y tion of Future name Settlement Currency Displays the settlement currency on selec Y tion of Future name ORACLE Field Description Mandatory Commodity Currency Displays the commodity currency on selec N tion of Future name Security Code Displays the Security Code Y Last Traded Price Displays the Last Traded Price from the Y Instrument Price Order Details Trade Date By default display the current system date or Y business date whichever is later but user can modify the trade date Premium Payment Displays the Payment date or date when Y date Premium is received paid Transaction Enables the user to select the transaction Y type from the drop down list By default the system selects the Buy option Order Type Enables the user to select the appropriate Y order type from the drop down list By default the system selects the Market Type option No of Contracts Enables the user to enter the appropriate no Y of contracts Quantity Displays the appropriate quantity in the text Y box once the user enters the no of con tracts Trigger Price Enables the user to enter the trigger price if Y the Order Type is selected as Stop Loss or Limit Order from
125. posit Order capture gt Pre mature Uplift Field Description Mandatory Customer Details Customer Number Displays the customer in context However Y the user can select the different customer by clicking on the Change Customer icon availa ble at the top right hand corner of the screen Customer Name Displays the Customer Name for the Cus Display tomer in context Portfolio Name Displays the list of the portfolio names for the Y customer Deposit Details Outstanding Deposit Displays all Deposit instrument booked but not yet matured for selected customer Deposit Type Displays Deposit type of the Instrument as Display selected under Outstanding Deposit field Deposit Details The table displays the fields Currency Start Display date Current Principal Rate to Client Tenor Maturity date and Interest Accured Till Date Order Details on ORACLE Field Description Mandatory Withdrawal Enables the user to select the withdrawal options Full and Partial only for Time Deposit The system allows the user to enter the past withdrawal dates However with drawal date earlier than any of the existing Partial Uplift transaction for the same CPIS is not allowed This field is not applicable for Call Deposit Withdrawal Date Enables the user to select the date on which withdrawal is done Withdrawal Amount Displays the amount that cus
126. r allowed by law you may not use copy reproduce translate broadcast modify license transmit distribute exhibit perform publish or display any part in any form or by any means Reverse engineering disassembly or decompilation of this software unless required by law for interoperability is prohibited The information contained herein is subject to change without notice and is not warranted to be error free If you find any errors please report them to us in writing This software or hardware and documentation may provide access to or information on content products and services from third parties Oracle Corporation and its affiliates are not responsible for and expressly disclaim all warranties of any kind with respect to third party content products and services Oracle Corporation and its affiliates will not be responsible for any loss costs or damages incurred due to your access to or use of third party content products or services
127. rder Details Application No Enables the user to enter the Application No Y Sum Insured Enables the user to enter the appropriate Y amount in the Sum Insured field Premium Amount Enables the user to enter the appropriate Y amount in the Premium Amount field Premium Frequency Enables the user to enter the appropriate Y frequency for the premium amount The options available are Annually Monthly Quarterly Semi Annually and Single Pre mium Transaction Fee Displays the total fee applicable if any for the selected customer Total Amount Displays the user to enter the appropriate total amount Premium Paying Enables the user to enter the appropriate Y Period premium paying period Coverage Period Enables the user to enter the appropriate Y coverage period Additional Informa Enables the user to enter the additional tion information if any 4 3 ORACLE Field Description Mandatory Payment Details Payment Type Displays the payment type for selected Y scheme The options available are ECS Cheque and DD Account No Enables the user to enter the appropriate Y Account No from the drop down list MICR Cheque No Enables the user to enter the appropriate Y MICR Cheque No in the text box Nominee Details Name Displays the name of the nominee DOB Displays the DOB of nominee Relationship Displays the relationship of nominee with the insured person Share Displays the of shar
128. ree types of participants 1 Investors 2 Issuers 3 Financial intermediaries brokers and dealers Essentially investors have capital and need opportunities to invest issuers need capital Brokers and dealers are financial intermediaries Brokers arrange for the issuers and investors to complete a deal dealers purchase securities from issuers and sell them to investors Equity Market Transactions There are essentially three types of transactions in the equities market 1 An initial public offering 2 A seasoned offering both 1 and 2 are primary market transactions and 3 An investor to investor sale of securities Primary Market Transactions Initial Public Offering IPO In an initial public offering a privately held company offers shares in the company through the equity markets for the first time This is often referred to as taking a company public Seasoned Offering A company offers additional shares to investors after the initial public offering This is called a seasoned offering because shares of the company have been listed on an exchange and have been trading for some time el ORACLE IPOs and seasoned offerings are referred to as primary market transactions because companies sell stock directly to investors Note FCPB currently does support for purchasing securities through IPO Secondary Market Transactions Investor to investor Transactions The third type of equity market trans
129. s Enter the appropriate search criteria in the respective fields to search for the future instrument Note The instrument search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be dis played in the search screen Once the user selects the Forex ID following fields are automatically get populated e Base Currency e Terms Currency e Last Exchange Rate Step 6 Select the appropriate deal from the Deal Type drop down list Step 7 From the Transaction drop down list select the appropriate transaction type There are two options available for Forex Transaction They are Buy and Sell By default Buy option is selected Step 8 Select the appropriate Trade Date By default the system displays the current system date or business date whichever is later but user can modify the trade date Step 9 Select the appropriate FX settlement date Once the settlement date Step 10 From the Order Type drop down list select the appropriate order type If the user selects the Order Type as Stop Loss or Limit Order the Trigger price field is editable and user can enter the desired trigger price else system auto populates the appropriate trigger price Step 11 Select the appropriate option from Time Condition drop down list 1273 ORACLE Step 12 Enter the appropriate amount in the Amount In Base Currency text box
130. s text box Note The system does not display the Spread Bps field for the Call Deposits a ORACLE 5 2 Once the Spread value is entered the system displays the rate applicable to client in the Rate to Client text box The system also displays other details like Interest Frequency Simple Compound Step 15 Select the appropriate frequency from the Compounding Frequency drop down list Once the details are entered in the Deposit Amount Tenor and Rate to client fields the system displays the Interest at Maturity and Total Amount at Maturity Step 16 Enter the description if any in the Description text box Step 17 Select the appropriate account from the Bank Account drop down list Step 18 Enter the comments if any in the Comments text box Step 19 Click on the Submit button Once the user clicks on the Submit button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation If the user clicks on the Yes button in the Exception pop up window the order undergoes exception approval process as explained in Equity order capture In case no exceptions occurred order goes to checker for approval Deposit Order Capture Rollover The FCPB system allows the us
131. s available for bulking screen the following screen appears with individual order details for the selected instrument Screen ORACLE FLEXCUBE Private Banking User HO HEAD Current Login 13 09 2011 11 46 AM_Last Login 13 09 2011 11 37 AM Home Customer Financial Planning Order Mgmt Txn Mgmt Reports Tools My Workspace Logout banas Order Management gt Order Bulking Back Bulking Details Instrument Instrument ia Bulk Order Last Traded Bulk Order Amt Bulk Min aoe Unselected Unselected orders Order Type selected for Exchange A Unselected Name Ccy Qty Price Amount orders Qty Amt LTP bulking Orders Orders Available For Bulking Order Amt at Maker Checker Selected for r rder Pri Order 1d Customer No Customer Name Order Qty Order Price jks ete ee Hennger lee ea v Total All available orders Re Bulk Generate Order Figure 15 2 Order Bulking Modification Screen Screen Navigation Order Management gt Order Book gt Select Bulk as Bulking View option and click on the Modify hyperlink Taa ORACLE The fields have been briefly described below Field Description Mandatory Bulking Details Instrument Name Displays the instrument name selected for bulk order Instrument Cur rency Displays the currency of the instrument selected for bulking Order Type Displays the order type for the instrument selected for bulking Ord
132. s to include the particulars of his bank account in the FCPB prior to order initiation Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen If the Income Tax ID Required and Risk Profiler Mandatory options are set to Yes in the Instrument Type screen of Admin login and the corresponding details for the selected customers are not updated then the system displays the appropriate messages and will not allow the user to place the order Step 2 RM Subsequent to selecting the customer the Portfolio Name drop down list defaults to the default portfolio of RM Managed portfolio type It is mandatory for the RM to decide on the appropriate portfolio prior to placing the order Step 3 Click the a icon next to the Source Code field When the user clicks on the a icon next to the Source Code field the Banker Source Code Search window appears Enter the appropriate search criteria in the respective fields to search for the Source Code Step 4 C
133. sit Order Capture Booking if the order to be placed violates certain conditions ORACLE Note The Dual Currency deposits cannot be uplifted prematurely ol ORACLE 6 Order Management for Bonds Note Please note that this feature would be available to you only if your license entitles you to Traded Securities module 6 1 Bonds Order Capture Buy User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Administrator level Only portfolios for which Allow in OMS RM is set to Y displays in the list Screen ORACLE FLEXDUBE Prvte Booting Meenas CT 27 06 2013 2 36 PM Order Mgmt TxnMgmt Portfolio Reports Tools My Workspace Home Customer Financial Planning Order Management gt Bonds gt Order Capture Y A D aleme Order Details E Es Figure 6 1 Bond Order Capture Buy Screen Screen Navigation Entry to the screen Option 1 Select the Order Management option on the main menu gt Bond gt Order capture oH ORACLE Option 2 Select the Customer option on the main menu gt Portfolio Management gt Maintenance gt Select a portfolio except held away discretionary from the list of portfolio gt
134. stomer by Y clicking on the search icon available next to the Customer No field Customer Name Displays the Customer Name for the selected Y Customer No 10 1 ORACLE Field Description Mandatory Portfolio Name Displays the list of the portfolio names for the Y customer Source Code Displays the Source Code for the banker who Y has sourced the transaction Lead Generation Displays the Lead Generation Code for the Y Code banker who has provided the lead for the trans action Futures Details Futures ID Enables the user to select the Futures ID using Y search icon Futures Name Once the user selects the Future ID system Y auto populates the corresponding Future name Expiry Date The system also displays this field on selection Y of Future name Instrument Currency Displays the instrument currency on selection Y of Future name Settlement Currency Displays the settlement currency on selection Y of Future name Counterparty Enables the user to select the appropriate bro N ker or issuer using the search icon Order Details Transaction Enables the user to select the transaction type Y from the drop down list No of Contracts Enables the user to enter the appropriate no of Y contracts Order Type Enables the user to select the appropriate Y order type from the drop down list Quantity Displays the appropriate quantity in the text Y box once th
135. t By default the system selects the Buy option Trade Date By default display the current system date or Y business date whichever is later but user can modify the trade date 12 2 ORACLE Field Description Mandatory FX Settlement Date Displays the Date keyed in is considered as Y Expiry Maturity Settlement date for a given deal type This value is stored as Sub portfolio ID at holding level For forex subportfolio id should be Dealtype_Settlement date Terms In Days Displays the total number of days to settle N ment Order Type Enables the user to select the appropriate Y order type from the drop down list By default the system selects the Market Type option Trigger Price Enables the user to enter the trigger price if Y the Order Type is selected as Stop Loss or Limit Order from the drop down list else sys tem auto populates the appropriate value Time Condition Enables the user to select appropriate values Y like GTC IOC Timed Order Expiry Date Enables the user to enter Order Expiry Date Y Amount In Base Enables the user to enter Value is in Base Y Currency currency of the Instrument ID selected Treasury Rate Enables the user to enter Treasury Rate per Y unit of commodity currency Amount Treasury Value displayed is in Terms currency of the Y Rate In Terms Cur Instrument ID selected rency Spread decimal Displays the Spread as maintained in the sys
136. t the appropriate Y bank account detail of the selected cus tomer Comments Allows to capture user remarks before sav Y N ing the order details Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right oo gt a hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 11 4 ORACLE Click the a icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the syste
137. t the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the 4 icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 5 Click the a icon next to the Future ID field 10 3 ORACLE When the user clicks on the a icon next to the Future ID field Instrument Search window appears Enter the appropriate search criteria in the respective fields to search for the future instrument Note The instrument search screen displays only securities which are in open status and which are approved by the bank Securities which are suspended from trading will not be dis played in the search screen The user can view the Recommended instruments Focussed instruments House
138. tails e Order Status The RM or the customer can be aware of the status of the orders initiated by inspecting the Order Book This field provides the user the option to filter the orders placed on the current business day by their status e Date Range The user also has the opportunity to view the history of orders for a particular date range The date range can be defined in the From and To fields provided in the screen However this option will be available only after the bank s business hours The calendar for selecting the dates has been provided adjacent to each of these fields Click on the icon E in order to open the calendar and select the suitable dates Please note that the status updates are done by the trading system and are only displayed by the FCPB z Search After opting for the appropriate search option click on the button This will display all the orders in the chosen search criteria ea as Clear To change the filter criteria click on the button 4 The second tab displays all the orders placed during the current business day across all the instrument types for the selected criteria For a customer login all the orders initiated for his her Self Managed portfolio are displayed Whereas for a RM login all the orders initiated for both the RM Managed and Self Managed portfolios across all his her clientele are displayed in the screen From the time the orders are initiated to the time t
139. ternate Currency Enables the user to select the appropriate cur rency different from the Instrument currency from the drop down list Fixing Days Enables the user to indicate appropriate num ber of days before maturity date which in turn helps to derive the Fixing Date Strike Rate Enables the user to enter the exchange rate between the deposit currency and alternate currency and denoted as per market conven tions Fixed Floating Indicates the rate of interest if it is fixed or Y floating If the instrument is of type Dual Cur rency Deposit then system defaults this field to Fixed interest type ORACLE Field Description Mandatory Reference Bench Indicates Reference Benchmark like LIBOR Y for Floating mark SIBOR CDI interest rate Period of Reference Indicates periodicity of the reference bench Y for Floating Benchmark mark like LIBOR 30 days CDI 1 day etc interest rate Interest Recommended Interest rate in percentage It Y is populated based on Currency Amount and Tenor combination for Time Deposits The system also enables the user to enter nega tive Interest rate This field is not applicable for Call Deposits Spread Bps Displays the value based on the IAG and Cli ent Segment This field is not applicable for Call Deposits Rate to Client For Time Deposit it displays the value based Y on value entered in the Interest rate and Spread fields It is
140. than the value set up in the Product Master system displays an appropriate error message e Transaction fee including taxes and surcharge The value in this field is displayed based on the Fee structure set up for given Client Segment and IAG ORACLE e Total Amount It displays the amount obtained by adding Indicative Total Investment and Transaction fee If no fee is applicable the amount in this field is same as Total Indicative Investment If the selected instrument does not follow the Model asset allocation for the customer the system displays the message as Model asset allocation is deviated Do you want to proceed The user can click the OK button to continue If no risk score is defined for the customer then there will not be any model asset allocation and hence system will not display any message Step 13 The subsequent field Frequency gets enabled only for SIP payments The user needs to select the frequency monthly quarterly semi annually from the drop down list provided Let s say that the user has opted for a fund A with an investment amount of 500 with monthly frequency subsequently the effective monthly investment would be 500 Step 14 Similar to the Frequency field the next field Commencement Date also gets enabled only for SIP payments The commencement date is a pre determined date on which the SIP instruction would be executed by the fund house at a frequency defin
141. the calendar and select the suitable date Also based on the Commencement date and No of transfers the system auto populates the SWP End Date Step 12 The next field tenure is also associated only with SWP redemptions and is enabled on selection of the SWP option It is mandatory for the user to capture data in this field Step 13 The user then finally proceeds to capture the bank details This field is a mandatory field for the user The direct credit account provides the fund house with the information on the bank details for crediting the proceeds of the redemption Step 14 The user also needs to select the appropriate counterparty by clicking on the 4 icon next to the Counterparty field Also the user needs to enter the appropriate reference number in the Counterparty Ref No text box Step 15 After entering all the fields in accordance to the outline given in the above steps you can it proceed to click on the submit button On submitting the order you will be displayed with a confirmation message on the screen If you change your decision on the order you have the option to clear the entire details oN ORACLE 3 3 Clear captured earlier by clicking on the button On the contrary if you are accessing the order screen through the Portfolio Management menu navigation through Option 2 the clear button will clear only the editable fields in the screen Note On submitting the order
142. the drop down list Cheque No Displays the cheque no for the order capture This field appears only for Buy orders Redemption Amount Displays Redemption Amount ORACLE Procedure for Placing of an Order Step 1 If the user is navigating to the Order Capture screen for the first time after logging in to the system the system forces to select a customer in the customer selection screen On the other hand if the user is navigating to the screen from any other screen the system auto populates the name no and default portfolio name of the customer which is already in context Note To change the customer the user needs to click on the icon located at the top right hand side corner of the screen Step 2 RM Subsequent to selecting the customer the system displays the 1st Portfolio name in alphabetical order of Portfolio type RM Managed Step 3 Click the a icon next to Source Code field and select the appropriate Source Code If Check Certificate for Source is set to Yes in Instrument Type Master screen then the system checks for certificate and its expiry If it is set to No system does not check for the certificate and allows the user to proceed further Step 4 Click the a icon next to Lead Generation Code field and select the appropriate Lead Generation Code If Check Certificate for Lead Generator is set to Yes in Instrument Type Master screen then the system checks for certificat
143. the system will validate if the particular fund scheme is open for redemption Error message will be displayed on non compliance of the same Note The system does not validate the KYC check for Joint Holder while placing the redemption order Note Existence of restriction instruction for redemption on the particular fund scheme will curtail the user from initiating a redemption order Note System will display an error message if the user initiates a redemption request for a fund scheme during its lock in period Mutual Fund Order Capture Transfer User Access levels RM RM can place orders for RM Managed Self Managed and Discretionary portfolios The Portfolio Name field displays the list of Self Managed RM Managed and Discretionary portfolios based on the set up done for each portfolio type at the Admin level Only portfolios for which Allow in OMS RM is set to Y displays in the list sig ORACLE Screen ORACLE La Meenal s FLEX UBE private Bankina o gt 27 06 2013 1 14 PM Home Customer Financial Planning Order Mgmt Txn Mgmt Portfolio Reports Tools My Workspace Order Mgmt gt MF gt Order Capture e Dp gt Customer Details Portfolio Name RMManaged v Fund Details From ES Ea Figure 3 3 Mutual Fund Order Capture Transfer Screen Note The user can also transfer the fund details from one Scheme Name to
144. the time of portfolio creation The option is also provided whether the bank would prefer to do orders only in Omnibus account and or allow trades in individual accounts also An Omnibus Account is a pool account which has transactions of multiple clients The user can select the appropriate account based on the flag selected at Instrument Type level and applicable for all Instrument Types Note In case if the omnibus account number does not have a hyphen separated value DP id Client id on click on order submit the order will not get saved and an error message will be displayed Note FCPB assumes that the trading account utilized for transacting through FCPB would not be employed by the customer to make any transactions outside the FCPB system Step 16 After entering all the fields in accordance to the outline given in the above steps the user can Submit proceed to click on the Submit button Once the user clicks on the Save button system displays the Exception pop up window if the order to be placed violates certain conditions such as e Selected instrument is not in Approved List e Selected instrument is not in Model Portfolio e Selected instrument is not in Recommended List e Deviation from Model Asset Allocation e Trigger Price more less than x of the LTP where x is the no which is configurable e Bank A C CCY and Settlement CCY are different e Not enough balance to place the ord
145. thorization Orders would be displayed to RM s having Roles with Or der Checking Approval function Note Depending on the given permissions RM can approve Exceptions OR Order checking OR perform Both OR Nothing at instrument type level Scenarios in Order Capture All instrument types Exception Approval amp Or der Approval While Placing the Order 1 For the chosen instrument type if Maker checker is not enabled ay ORACLE e Incase no exceptions occurred order status becomes OPEN in order book e Incase of any exception order goes for exception approval e Ifthe exception approved by Exception approver order status changes to OPEN in order book table e If the exception rejected by Exception approver order status changes to EXCEPTION REJECTED in order book table with entered reject reason 2 For the chosen instrument type if Maker checker is enabled In case no exceptions occurred order goes to checker for approval e fthe checker approves the order order status becomes OPEN e Ifthe checker Rejects the order order status becomes REJECTED In case of any exception order goes to exception approval e If the exception approved by Exception approver order status changes to Pending for Authorization in order book table Then order goes to Checker for approval e If the exception rejected by Exception approver order status changes to EXCEPTION REJEC
146. to be computed manually For a saved price and yield combination the system will not validate if the data is entered e Once you click the Submit button the system checks whether price and yield is entered or not and displays hard error message e For Yield based order capture the system prompts to enter the value of Yield and then it computes corresponding price On selection of bond the system checks whether the bond is trade able in terms of Yield or Price If it is Yield based then it comes before Price and vice versa e Inthe investment specialist screen auto computation of Price or Yield is not enabled Once you click the Submit button the system checks for Price and Yield synchronization and displays an override or exception message e Ifthe Calculation Type and Day Convention for a particular bond instrument is not maintained the system retains the Price and Yield fields as blank and displays the error message as Application doesn t support lt Day Convention gt and lt Calculation Type gt Please enter manually e The simulator icon S also opens an empty pop up with the message Application doesn t support lt Day Convention gt and lt Calculation Type gt For pending transfer requests e g unauthorized transaction requests no further action is allowed for the respective CPIS or CPI type Thus no orders are processed for the source customer B 10 ORACLE 7 1 7 Order Management for Co
147. tomer wants to withdraw Days to Maturity Displays the days to maturity This field is not applicable for Call Deposit Rate to Client Rate of Interest from original Booking TD The system also enables the user to enter the neg ative rate in this field Reversal Rate This is a current borrowing rate prevailing in the market for bank or any other entity if wish to borrow The system also enables the user to enter the negative rate in this field Penal Bps Displays the difference between Rate to Client and Reversal Rate Penalty Amount Displays the Penalty Amount and is derived based on the Penalty Method chosen for the selected Deposit Instrument in Product Mas ter Net Amt to Customer This amount is the Net amount given to cus tomer i e withdrawal amount less penalty amount Description It captures any specific details for the order that the user likes to add Account Details Bank Account Displays the list of accounts from which Deposit funds gets transferred and in case of Uplift fund gets credited Comments Enables the user to enter the comments N After entering the appropriate details click on the Submit button If no exceptions the system displays the message as Order captured successfully In case of exceptions when the user clicks on the Submit button system displays the Exception pop up window appears as explained in the Depo
148. und houses are inclined to map all the additional investments of the customer into the same folio number in spite of the customer not declaring the folio number in his future applications Others tend to generate a new folio number for every application without the folio number mentioned in it Apart from this there is also an inconsistency in the levels at which the folio numbers are issued While some fund houses issue separate folio number for every Fund scheme combination others issue a new folio number for every fund scheme option combination FCPB provides its users the option to choose the existing folios numbers within the fund On picking a fund scheme through the search screen all the existing folio number s affiliated to the fund scheme in the portfolio of the selected customer are displayed in the Folio No dropdown field The user has the option either to select any of the existing folio number for making additional purchase or proceed to make a purchase exclusive of any of the existing folio numbers For first time purchase the dropdown will not have any values in it Note If the flag Folio at Issuer Level is maintained as Y at an Instrument Issuer level then FCPB system also checks if there are any holdings across the portfolios excluding held away where the issuer is same as the issuer of the selected instrument If so then it dis plays the existing folios in the drop down list to select the one from it and in add
149. whether to display the link or not Eg If user has only Buy access for Equity then Modify Cancel hyperlink are displayed only for Buy orders and not for Sell orders Sell orders will only display View and Print hyperlinks in this case For MF Transfer orders Modify and Cancel hyperlinks are displayed only when both Buy and Sell access are available For TD Booking and Rollover orders Modify and Cancel hyperlinks are displayed only when Buy access is available and for Pre mature Uplift Modify and Cancel hyperlinks will be displayed only when Sell access is available Transaction Details pop up In order to view the transaction details for the orders through the order book a new hyperlink Trxn Details is introduced for following order status in the Order Book screen e Executed e Partially Executed e Partially Executed Cancelled When the user clicks on the Trxn Details hyperlink it displays the details of transactions for a particular order Screen Bond Transaction Details Order Type BUY Ordered Quantity 500 Order Id 10101 Original Price Counterparty Ret No Date Time Stamp Counterparty Name Quantity Amount Action JM Financial Consultants Etg 30 07 2010 12 00 00 AM Dot Ltg 100 15948 Modify Total Executed Cancelled 100 400 Figure 13 2 Bond Transaction Details pop up Screen Navigation After logging in the system as RM select Order Mgmt gt Order Boo

Order Management.book - Oracle Documentation

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