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1. Carrying Firm Y Trade Date mm dd yyyy Status ACCEPTED Equals From 07 01 2009 i o REJECTED o Process Date mm dd yyyy Display Options Equals v From 07 01 2009 El Show Criteria Quadrant Commodity 60 CMX E MINI SILVER 80 CMX E MINI GOLD AL CMX COMEX 44000 ALUMINUM Add Delete Tier Indicator Exercise Strike Price Bill Carry Firm Indicator NO X YES Add Delete Opposite Firm Bad Records Agreement Reference Number Order Handling Ind n ERROR Any X 001 CMX CMX TEST FIRM A REVERSED 002 CMX CMX TEST FIRM B 003 CMX GFI Add El Delete 4 Note If a specific criterion is not selected when multiple criteria are available the search will return results for all of the listed criteria For example if no selection is made under Commodity all commodities will be returned in the search results 3 Some criteria have a drop down that provides the following options e Any allows you to search for all items and is the default selection Begins With allows you to enter the first few numbers and or letters of the item s for which you want to search Contains allows you to enter a string of numbers and or letters and search for all items that contain that string Ends With allows you to enter the last few number and or letters of the item s fpr which you want to search Equals allows you to enter the exact item for which you want to search you can also use
2. e A Profit Center can be added at the agreement or account level If a profit center is added at the account level it will supersede profit center information at the agreement level e Inthe event that a Profit Center has insufficient funds GPS will default to the U S clearing firm s bank account See the following topics for more information on using Profit Center e Search by Profit Center e Add Profit Center e Delete Profit Center e Edit Profit Center 41 User Manual Give Up Payment System Search by Profit Center You can search for all profit centers associated with an executing firm gt To search by Profit Center 1 Enter the three digit firm id or select the firm from the drop down list 2 Click Search Firm 001 CET ECLIPSE FUTURES 2009 CME Group Inc The Profit Center list displays User Manual 42 Give Up Payment System Add Profit Center You can add a profit center on the Profit Center page gt To add a profit center 1 Click Profit Center 2 Click Add 3 Provide the following information e Profit Center Name e Account Type Checking or Savings e Bank Account Number e Bank ABA code Add Profit Center Profit Center Hame Bank Account Type Bank Account Bank ABA Code f CHECKING CHECKING 5 Click Add A confirmation message displays indicating that the profit center has been added Add Search Search
3. 1234581 TESTING12 cet 123 213213 123213 123333 2 F7 e 2452346236 p ASDF444 EXEXE FGFFGH CBT FGFFGHH QWE Carry CBT A t Carry Carry Status Firm Profit Center A t 37 User Manual Give Up Payment System View Messages from the Carrying Firm Perspective Only gt To view messages on a rejected account 1 2 3 Check the box of the line item to view Click View Messages After selecting the line item you wish to view you will be able view the message that was entered for the rejected account Note This is a read only view To override the message refer to the Accept Reject Account topic Agreement Business Logic Define non tier rate sets within agreements Rate sets are defined within agreements An agreement with no rate sets will not price a trade but can serve as a master pass thru agreement to other agree ments that have rate sets Each rate set has an effective date A rate set s effective date cannot precede an agreement s effective start date An agreement with a non tier rate set cannot be converted to a tiered rate set a new agreement must be created to support a tiered rate set Define tiered rate sets within agreements All tiered trades will be priced with a base rate appears as the default rate default rate applies when trades
4. Details feature show Payment Search Form Payment Review Details Executing CME Search Results Page 1 of1 1 Rows Show All Extract view Message Prey Go to Page 1 EJ Set Page Length 10 1 69 User Manual Give Up Payment System View Messages You can view messages to see the reason a payment was rejected by the carrying firm Note The View Messages action is only available viewable under the Summarized by Details feature gt To view messages See View Messages and Notes Payment Carrying Perspective After performing a payment search carrying firms may perform the following tasks e View Messages e Reject Payments e Accept Payments Payment Review Details Carrying CME M Search Results Page 10f1 2Rows Show All Extract Prev Go to Page 1 Pag Page Length 10 SET Next E Check All y EE Opposite Firm Third Party Total Conts Carry Profit Ctr Tier Indicator gt nadjusted Give Cash Adjusted gt Detail Disp gt Total Due REJECTED NFUT21255 2 45 875 00 875 00 Check All EAEE Opposite Firm gt s Third Party Total Conts gt Carry Profit Ctr gt Tier Indicator gt nadjusted Give ash Adjusted gt Detail Disp gt Total Due gt DETTE 2009 CME Group Inc Reject Accept amp View Payments After searching for payments carrying firms may use the Payment Review page to reject and accept payments Reject Payments gt To reject a payment 1
5. N from a regular GPS based agreement View Agreements Rates Messages and Notes After performing a basic or advanced search you can view agreements rates executing firms only messages and notes for the trades displayed in the result set View Agreements gt To view agreements 1 Select View Agreement from the drop down 2 Click the trade You will be redirected to the Agreement Maintenance page To return to the trade details 3 Click Transaction Viewer 4 Click View Trades View Rates gt To view rates Executing Firms only 1 Select View Rates in the drop down 2 Click the trade You will be redirected to the Agreement Maintenance page To return to the trade details 3 Click Transaction Viewer 4 Click View Trades View Messages and Notes View messages and notes for information on why a transaction was rejected by the carrying firm gt To view messages and notes 1 select View Messages from the drop down 2 Click the trade that has been rejected You can then preview the message entered by the carrying firm User Manual 54 Give Up Payment System Note The message contains who rejected the transaction the reason it was rejected and the date it was rejected Note The executing firm has to wait until the carrying firm re accepts the transaction The executing firm can leave notes indicating that they have addressed the issue with that particular transaction 3 Tolea
6. Y Select Y if the Carry Firm should be automatically billed through GPS N Select N to indicate this agreement is a Third Party agreement There will be input fields for the Third Party billing address information It is required to enter at minimum the Customer Contact Name when specifying a Third Party agreement Note that these agreements will still need to be billed manually by the firms Entry Required Y Y Must be unique for executing firm Y Agreement date must be no more than three months prior to the current business date Y N N Can only be changed to Y if there are no cash adjustments associated with it N If editing an agreement that has an associated rate set then the bill carry firm indicator may not be changed Give Up Payment System 3rd Party Billing Information Customer Contact Phone Address 1 Address 2 City State Zip CountryiCountry Code Tiered Agreement Y Select Y if the Agreement has tiered rates associated Y If selected an Indicator with it agreement with a N Select N if the Agreement has a non tiered rate tiered rate set structure associated with it N is the default cannot be changed to a non tiered agreement Edit an Agreement Executing Perspective Only When viewing an agreement you may edit the details gt To edit an agreement 1 From the Select Action drop down select Edit Note Only Executin
7. ne All Opposite Reference Adjusted ee ee tot Adjustment Tier Firm Hbr Amount F P Date Indicator k REJECTED ABCI23 5 000 00 ADJUSTMENT 2009 04 20 Opposite Reference Adjusted Adjustment Tier Check All ee gt oes Firm Accounts Hbr Amot i Currency Description Date Pie a Accept Cash Adjustments Carrying firms can accept cash adjustments gt To accept a cash adjustment 1 Search for cash adjustments 2 Click the check box of a cash adjustment s with Rejected status Note If Check All is selected only the rows currently displayed on the page are selected Show Cash Adjustment Search Form Cash Adjustment Details Carrying CM 8 Search Results Page 10f1 1Rows Show All Extract Prev Go to Page 1 GO ng Page Length 10 S Next E ge All Opposite And Reference Adjusted mans Det Adjustment Tier Firm gt Hbr gt Amount gt d p Date Indicator gt REJECTED ABC123 5 000 00 ADJUSTMENT 2009 04 20 Opposite Reference Adjusted ene Tier b Rejection Messages for Above Selected Transactions REJECTED y TOTAL FEES ARE INCORRECT y STATUS ACCEPTED REJECTED Submit Select Accepted 4 Click Submit A confirmation message displays indicating that the cash adjustments were accepted The Status is now blank which indicates an implied acceptance User Manual 80 Give Up Payment System The reject accept message has been successfully updated Repectio
8. CME Group User Manual 7 2 15 Disclaimer Futures trading is not suitable for all investors and involves the risk of loss Futures are a leveraged investment and because only a percentage of a contract s value is required to trade it is possible to lose more than the amount of money deposited for a futures position Therefore traders should only use funds that they can afford to lose without affecting their lifestyles And only a portion of those funds should be devoted to any one trade because they cannot expect to profit on every trade All references to options refer to options on futures CME Group is a trademark of CME Group Inc The Globe Logo CME Chicago Mercantile Exchange Globex iLink E mini CME EOS Trader Galax C FirmSoft CME DataSuite and CME DataMine are trademarks of Chicago Mercantile Exchange Inc New York Mercantile Exchange NYMEX miNY and ClearPort are registered trademarks of the New York Mercantile Exchange Inc COMEX is a trademark of Commodity Exchange Inc FIX and FAST are trademarks of FIX Protocol Limited FIX FAST is a service mark of FIX Protocol Limited Dow Jones Dow Jones AIG Commodity Index The Dow Dow Jones Industrial Averagesm and DJIASM are service marks of Dow Jones amp Company Inc and American International Group Inc AlG and have been licensed for use for certain purposes by the Board of Trade of the City of Chicago Inc CBOT CBOT futures and options on
9. Exec Account Account Memo Description Displays whether the account has been accepted if left blank implies acceptance or rejected R by the carrying firm Displays the 3 digit firm id and its associated exchange Displays the profit center to which this agreement is posted If the account level profit center is populated this will override the profit center entered at the agreement level Note The executing firm can add but cannot delete or update a Profit Center at the account level if the system is in the lock period Optional Note 2 The Carry firm now has the ability to add its own Profit Center visible only to the carry firm The Carry Side Profit Center can be used to designate another bank account from where money can be debited Displays the carrying firm account number that will be used for calculation purposes Displays the carrying firm contact person s name for this account Displays the carrying firm contact person s phone number for this account Displays the executing firm account for which trades were executed If populated will be used in conjunction with the carrying account for calculation purposes Displays an editable informational field at the user s discretion Edit Account Executing Perspective Only gt To edit an account 1 Click on the check box of the account to edit The following options will display e Transfer Accounts e Delete e Edit e View Message 2 Clic
10. ACCEPTED REJECTED Select Accepted or Rejected from the drop down m 4 If you select Rejected then you will be prompted to enter either your own message or one of the generic messages before the rate set can be rejected If you select Accepted no message will be required Rejection Messages for Current Rate Sel FECTED SELECTIENTER A MESSAGE a T Bester La ett ACCOUNTS MOT ACCURATE RATE E H ERROA TOTAL FEES ARE MOCRRECT Click Submit message displays indicating that the Rate has been successfully ACCEPTED or REJECTED User Manual 26 Give Up Payment System The Rate has been successfully REJECTED Rejection Messages for Current Rate Set REJECTEO RATES IN ERROR RATE 5 IN ERROR Rate Sets A rate set must be established for each agreement You may perform the following tasks for rate sets executing perspective only e Create Rate Sets Executing Perspective Only e Copy Rate Sets Executing Perspective Only e Delete Rate Sets Executing Perspective Only e Edit Rate Sets Executing Perspective Only Create Rate Sets Executing Perspective Only You may create a new rate set which includes adding the rate details effective date and the expiration date gt To create rate sets 1 Click Create 2 Adda pass thru to indicate that rates should not be applied to this agreement a Click Create Pass Thru Rate Maintenance Date Rance 07 01 2003 to 12 31 9999 M Ba
11. Select predefined executing accounts based on the executing and carrying firm combinations selected Or enter an account that has not been predefined Carrying Account Required Select predefined carrying accounts based on the executing and carrying firm combinations selected Or enter an account that has not been predefined Buy Sell Indicator Required Indicates buy or sell Put Call Required for Options Put or Call indicator If no selection is made the GPS will process this as a Futures transaction 61 User Manual Field Commodity Org Carry Acct Original Carry Account Spread Indicator Session Indicator PNT Indicator APS Indicator Order Number Exercise Price Strike Price Quantity Trade Price Contract Date Month Trade Date Operator ID Broker Symbol Give Up Payment System Description Required Exchange code minimum of 2 bytes used for clearing The commodity list will contain the commodity codes from CME CBOT CFE One Chicago and PBT If no commodity is selected the first item in the list will be used by default The account specified on the original trade that was given up If left blank the Carrying Account value that was selected or entered will be listed in this field as well Spread Type e D Differential Spreads e L Legged Spreads e Sor6 Spread e P PIT Trade Session indicator e D Day e E Evening or G GLOBEX EFP type e B Block Trade e E EFP Trade Exchang
12. the following criteria are required e Report Type e Perspective e Firm Third Party Trade Report The Third Party Trade report provides details regarding each trade made under an agreement that is billed via a third party Payments are calculated but not paid through GPS For the Third Party Trade report the following criteria are required User Manual 92 Give Up Payment System e Perspective e Firm e Date e Payment Month e Profit Center Third Party Detail Report The Third Party Detail report provides agreement reference numbers and the contact name phone and address for the counterparty to each agreement For the Third Party Detail report the following criteria are required e Perspective e Firm Agreement Report The Agreement Report provides agreement details summarized by opposite firm including e Agreement Date e Expire Date e Customer Name e Customer Reference number e Executing Firm e Executing Account e Executing Contact e Executing Phone e Profit Center e Inter FCM Agreement Indicator e Bill Carry Firm Indicator For the Agreement Report you must select the following criteria e Perspective e Firm e Profit Center Banking Report The Banking Report displays the preliminary or final pay collect figures for the firm The Banking Report is available from the Executing Firm perspective only For the Banking Report the following criteria are required e Report Type e Perspective e
13. 123333 2 2452346236 ASDF444 EXEXE FGFFGH FGFFGHH 3 Once selected you will be prompted with an alert message asking Are you sure you want to delete this account 4 If yes click OK If no click Cancel View Messages from the Executing Perspective Viewing messages allows an executing firm to see who rejected an account the description and the date on which the account was rejected gt To view messages e Click on the check box next to the line item you wish to view e Click View Message Account List Executing Perspective CBT Page 1 of2 16 Rows Show All Extract Go to Page ee Page Length Next 1234551 TESTING12 123213 FGFFGH FGFFGHH Note Executing firm can enter notes in order to track changes made to an account The notes section is for execut ing firms only Carrying firms cannot view notes gt To enter a note e Type in the text box under the rejection message e When complete click Update The Note by and Date fields will be populated by the system User Manual 36 Give Up Payment System Rejection Messages for Above Selected Transactions View User Info Msg Hote Rejected Ey Rejection Message Message FODOTSTO TOTAL FEES ARE INCORRECT 04 20 2009 Hote Update Accept Reject Account Carrying Firm Perspective Only gt To reject an account where the informat
14. Access Request Form http www cmegroup com clearing files onlineaccess pdf 2 Complete the form and ensure that it is signed by an officer of the clearing member firm 3 Fax the form to the Customer Support Group at 312 338 2626 4 Allow 48 hours to process the request Change User Contact Information You may enter or update your contact information on the Update Contact Info page gt To change your user contact information 1 Point to the Administration tab 2 Point to My GPS 3 Click Update Contact Info User ID User Name Phone Humber Email Address 4 Make any necessary changes 5 Click Save Note This contact information will be available to other GPS users My Preferences Using the My Preferences function users can specify the default start page and number of agreements rates accounts to appear gt To change your user preferences 1 From the to the Administration tab move the mouse pointer over My GPS 2 Click My Preferences User Manual 10 Give Up Payment System Preference Home Page Default Page Length for All the Screens Submit 3 Make a selection in the Home Page Default scroll box 4 Make a selection in the Page Length scroll box 5 Click Submit Helpful Tips For controls that look like the following Trade Status ACCEPTED REJECTED To select multiple items hold down the CTRL key on your keyboard and click on the item s on which you would
15. Amount gt p Date Indicator y e Status See Payment Search Criteria e Month C current month or P previous month e Opposite Firm See Payment Search Criteria e Accounts The carrying account and the executing account if used as a pricing criterion e Reference Number See Other Payment Details e Currency See Other Payment Details e Description Description of the cash adjustment e Adjustment Date The date the firm entered the adjustment This date is not tied to any specific trade date this is for informational purposes only e User The individual s user id that made the adjustment e Tier Indicator Indicates whether rates are at a tiered level Cash Adjustments Generated by Tiered Rates e Agreements containing tiered rate sets will price all trades at the base default rate initially in nightly batch pro cessing e GPS will automatically generate cash adjustments that represent the difference between the tiered rate that applies and the base rate e GPS will create the discount subtract it from the base rate and add it back in the form of a cash adjustment e It will be described as a GPS generated cash adjustment Cash Adjustment Executing Perspective After performing your search executing firms will be able to perform the following actions on their respective result set User Manual 74 Give Up Payment System e Add Adjustments e Delete Adjustments e Edit
16. Electronically ELEC Spread Type Spread type e D Differential Spreads e L Legged Spreads e S or 6 Spread e P PIT Trade APS Ind Average Price System APS Indicator e A Average Price System trade e Gor blank Give Up trade Account Account number of the executing firm or carrying firm Depends on which perspective is being used Order Number Order number Also known as the executing firm s card order number Contract Date Month Contract date in the following format MM YYYY Put Call Put and or Call Tier Indicator Indicates whether the rates assigned to the trade are tiered or not Exercise Price Strike Price Exercise Strike price The price at which the option buyer may purchase or sell the underlying futures contract upon exercise Futures contracts will not have this price populated within the trade details Bill Carry Firm Indicator e Y trade associated with agreement that is billable through GPS e N trade associated with a third party agreement Opposite Firm The 3 digit Firmid of the executing firm or carrying firm The perspective option drives whether this is the executing firm or the carrying firm For example if your perspective is executing the opposite firm will rep resent the carrying side User Manual 50 Give Up Payment System Opposite Account The perspective option drives whether this is the executing firm or the carrying firm For example if your perspective is executing the op
17. Executing Perspective Only 00 00 0000 cece ccc aaa 28 a ORAE RE ee enn ee Re EPR A 28 Agreement Maintenance View Accounts 2 20 20 2 20 20 cc cece cc cec cee ccceccecceceeeeeeeceeseeeeeeeee 29 A Le ee 29 Inter r CM Agree MEN adan adan cars S Janus en taie eds ne 31 Add Accounts Executing Perspective Only 2 222 31 Business Rules for Adding Accounts 2 32 Account List Executing and Carrying Perspective 32 Account List Column Descriptions 2022 0 ccc cece a 33 Edit Account Executing Perspective Only 22 33 Transfer Account to Another Agreement Executing Perspective Only 2 22 22 22 35 Delete Account Executing Perspective Only 0 00 0 00 o cece cece cece nananana anaana noona anano 35 View Messages from the Executing Perspective 0 20 2 ccc ccccc ccc aa 36 User Manual 3 Table of Contents Accept Reject Account Carrying Firm Perspective Only 2 3 View Messages from the Carrying Firm Perspective Only 20 20 0 0 20 22 c cece cece ec ceeeeeeee 38 Agreement Business LOGIC 2 0 aaa 38 Carrying Firm Lock Period LL 39 Executing Firm Lock Period conc n nono cncnncn occ nncn L D raaa oon 39 Other Miscellaneous LOGIC ooo Re en RE DE RE ARE ne 39 ProM SO ne ia ABALA DAP LAAL LA 41 Search by Profit Center iii did dii didier 42 ART AMM A 43 Delete Profit Center iii nn nn nn LL LL nna 44 BULAG Me must E ETEA ee e ld ll ane naa seus ide neo ET 45 Transaction
18. Hbr Amount y p Date gt indicator ABC123 5 000 00 ADJUSTMENT 2009 04 20 Opposite gars Adjusted dea Tier dew Search Reject Cash Adjustments Carrying firms can reject cash adjustments gt To reject a cash adjustment 1 Search for cash adjustments 2 Click the check box for the cash adjustment s Note If Check All is selected only the rows that are currently being displayed are selected Show Cash Adjustment Search Form Cash Adjustment Details Carrying CME M Search Results Page 1 of1 1 Rows Show All Extract Prev Go to Page 1 GO Page Length 10 S Next E ii All Opposite Reference Adjusted none Dore Adjustment Tier Firm Hbr gt Amount gt y F Date gt Indicator ABC123 5 000 00 ADJUSTMENT 2009 04 20 Opposite Reference Adjusted usher Tier b b New Search Rejection Messages for Above Selected Transactions status y SELECTIENTER A MESSAGE STATUS ACCEPTED Submit REJECTED 3 Select Rejected 4 Select or enter a message 79 User Manual Give Up Payment System Rejection Messages for Above Selected Transactions ACCEPTED SELECTIENTER A MESSAGE Submit 5 Click Submit A confirmation message displays indicating that the cash adjustments were rejected Show Cash Adjustment Search Form Cash Adjustment Details Carrying CME 108 Search Results Page 1 of1 1 Rows Show All Extract pres Goto Page 1 ES ng Page Length 10 Next El
19. Note This field is synonymous with opposite firm 5 Click Search Transaction Viewer Trades Rules On the Transaction Viewer Trade Rules page you can set rules for automatic translation of executing firm and carrying firm account numbers For example Executing Firm 123 might execute all orders for Carrying Firm 987 in account 2222222 however at the firm s discretion the ultimate give up account for a given type of transaction might be account 3333333 Likewise the receiving account at Carrying Firm 987 might be 999999 but the ultimate account destination might be 4444444 e Adding Trade Rules e Accessing Trade Rules e Deleting Trade Rules Adding Trade Rules You can set rules to associate an executing firm with a carrying firm on the Trade Rules page gt To add trade rules 1 Select Transaction Viewer 63 User Manual a AR N 10 Give Up Payment System Click Trade Rules Make a selection in the Executing Firm drop down Make a selection in the Carrying Firm drop down Click Add Trade Rule was successfully added Carrying Firm vy 001 Carrying Account Executing Account 8000 Show Additional Criteria Mode New Carrying Account New Executing Account Order Handling Ind Change Account To 99999 ange Account To Added Trade Rules Page 1 of 1 1 Row Show All Extract Select Action In this screen the Executing Firm and Carrying Firm selections appear Enter an account
20. Number Agreement Date Customer Name EGUS Reference Number Customer Reference Executing Account Profit Center Inter FCM Agreement Bill Carry Firm Indicator 19 User Manual Description Valid Entry 3 digit Firm id and its associated exchange Executing firm assigned Agreement Reference Number Date the agreement was created entered or updated Customer Name for this Agreement Free form text when field is updated through GPS If agreement is downloaded from EGUS this field will be populated automatically and is the EGUS identifying agreement number Executing firm assigned Customer Reference Number Executing firm account number for this customer agreement Note that this field is for informational purposes only This field on the agreement record is not a pricing criterion Sales office profit center to which this agreement is associated Values within profit center drop down list will be blank by default and contain the predefined in the profit center ids derived from the profit center maintenance screen Note Depending on your security access level you may not have access to the profit center screen Y This is an Inter FCM agreement which encompasses all accounts at a single carrying firm not defined in another agreement Inter FCM firm list will be disabled unless you select Y N Not an Inter FCM agreement Allows entry of multiple carrying firms and accounts under the agreement
21. Pag Page Length SET Next El Ja CBT 001 1234551 TESTING12 CBT 001 123 213213 123213 CBT 001 CBT 001 CBT 001 CBT 001 CBT 001 CBT 001 EXEXE CBT 001 FGFFGH CBT 001 FGFFGHH Account Carry Profit Carry Carry Exec EEE Costa Account A 10 NG 3 Click Continue to Accounts lt 3 CME Group Give Up Payment System Rate Maintenance ee per peur Contact Us User Manual Log Out Y Agreement Maint E Profit Center a Transaction Viewer Ia Payment Review B Notifications E Reports X E Administration v Y Egus Agreement Review Details Carrying Perspective CBT Page 10f2 2Rows View Agreement v Prev Goto Pagal GO Next B Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date CBT 09 25 2006 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Back To Agreeme o meo o mm Rate Maintenance There are messages associated to this Rate Set view messages Date Range I 08 28 2013 to 12 31 9999 v Rate Detail List Carrying Perspective CBT Page 1 of 1 4Rows Show All Extract Prev Go to Page Set Page Length Next E RATE FUTURE OPTION 10 11 2013 G 50 000 50 000 KCB USD 10 23 2013 G 50 000 50 000 CBT USD 10 23 2013 10 11 2013 RATE FUTURE OPTION ea Continue To Accounts Back To Agreement Search New Search 2009 CME Group Inc Not
22. Search Results Page 10f1 2Rows Show All Extract Prev Go to Page 1 Page Length 10 Next E pREJECTED 875 00 875 00 p NFUT21255 2 45 Check An i Third Party gt Totsiconts CaryProMCir gt Tierindicator gt Unedusted Give UpR ash Adjusted DetaiDisp TotalDue 2009 CME Group Inc Accept Payments D To accept a payment 1 Select the check box es for the payment s that have Rejected status REJECTED Rejection Messages for Above Selected Transactions REJECTED RATE IS IN ERROR ACCEPTED ki kakai REJECTED 4 3 Click Submit A confirmation message displays indicating that the transactions have been accepted The Status code is now blank indicating an implied acceptance View Messages After searching for payments carrying firms can review messages for payments that have been rejected gt To view messages 1 Select the check box for the rejected payment 2 Click View Messages 71 User Manual Give Up Payment System Note You may only view one message at a time Rejection Messages for Above Selected Transactions View User Info MsgHote Rejected By Rejection Message Message KYVALKER RATE IS IN ERROR 03 16 2009 3 Toview the user information click View User Info Payment Rejection Message For KWALKER Mo User Info Available Cash Adjustment The Cash Ad
23. Select the check box es for the payment s Payment Review Details Carrying CME M Search Results Page 1 0f1 2Rows Show All Extract Go to Page 1 e Page Length 10 Next E i ee E sadasid Give Up Reverse Cash Adjusted e Coroner NFUT21255 2 45 0 00 2 45 USD 875 00 0 00 875 00 Unadjusted Give Up R Cash Adjusted gt Detail Disp gt Total Due gt Rejection Messages for Above Selected Payments SELECT ENTER A MESSAGE TUS ACCEPTED REJECTED 2009 CME Group Inc Select or Enter a message 4 Click Submit A confirmation message displays indicating that the payments have been rejected 5 Todisplay the rejected Status execute a new search User Manual 70 Give Up Payment System show Payment Search Form Payment Review Details Carrying CB 4 Search Results Page 1 of1 2Rows Show All Extract H Prev Goto Page 1 ea pa Page Length 10 eal Next E andi a Check Opposite Recounts Reference Third Total Profit Tier pa Cash Detail Total El i k k j i k All E Firm Hbr Party Conts Ctr Indicator Aa Adjusted Disp Due O wi t ABC 23 1 300 1 350 00 0 00 567500 5675 00 REJECTED items ABC 25 DO BANKS 0 00 950 00 0 00 950 00 Check Opposite Reference Third Total Profit Tier es Cash Detail Total All Firm Hbr Party Conts Ctr Indicator bk Anne Adjusted Disp Due a New Search Payment Review Details Carrying mn
24. Show All Extract view Message y Prev Go to Page 1 GO nag Page Length 10 SET Next El Opposite Reference Adjusted Comes Fini h Adjustment Tier Al Firm Hbr mount p Date Indicator gt 480123 6 000 00 ERROR 2009 04 20 FODOTSTD REJECTED 5 000 00 ADJUSTMENT 2009 04 20 FODOTSTD N Opposite Reference Adjusted Adjustment Tier b b b Firm gt ar Hbr gt Amount gt rs Den Date gt Indicator gt Rejection Messages for Above Selected Transactions View User Info Msg Hote Rejected By Rejection Message Message FODOTSTD TOTAL FEES ARE INCORRECT 04 20 2009 Hote Update View Payments Executing firms can view payments to see how the cash adjustment was applied against the respective payment gt To view a payment 1 Click View Payments 2 Click the cash adjustment You will be redirected to the rate set on the Payment page User Manual 78 Give Up Payment System 3 To return to the cash adjustment details a Select Payment Review b Click Cash Adjustment Cash Adjustment Carrying Perspective After performing a search carrying firms can perform the following tasks e View Messages e Reject Payments e Accept Payments Show Cash Adjustment Search Form Cash Adjustment Details Carrying CM Search Results Page 10f1 1 Rows Show All Extract Prev Go to Page 1 Go N Page Length 10 SET Next El e All Opposite PE Reference Adjusted ones S A F Adjustment Tier Firm gt
25. View Modify e Delete Notifications e View Information Notification Search You must search for notifications before you can view modify delete or view information for them gt To search for notifications 1 Click Notifications gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Y Profit Center Q Transaction Viewerv A Payment Review Es Notifications E Reports v Administration Y Egus or click the new notifications indicator on the homepage ou have new notifications 2 Enter the Search Criteria Exchange Firm Perspective Opposite Exchange Firm From To aj Zj Add El Delete 4 Date Message Type From 03 01 2009 55 To 03 13 2009 E ACCOUNT 3 Click Search Search Criteria Field Description Exchange Firm Required All of the firms for CME Group and CBOT that you have authority to view Enter the 3 digit firm id into the text box or make a selection in the drop down User Manual 82 Give Up Payment System Field Description Perspective Required Choose the From or To perspective From Notifications sent from other carrying and executing firms To Notifications sent to other carrying and executing firm Opposite Exchange Firm Required The firm to which the notification message is addressed Date Specific date s of notifications Message Type At least one required Message type e ACCOUNT e CASH e PAYMENT e RATE e TRADE
26. Viewer ooo nr kaaa aaa 47 Transaction Viewer View Trades 2 47 Ei A ee ee ete 47 Basic Search Criteria 22 20 0000 ccc ccc ccc ccc cc kaaa 48 Advanced ES o En aa A aa dec 48 Advanced Search Criteria 0000000000000000 00000 a aAA 000D PAA LLDD Pa L D nrnna 49 Viewing or Modifying Search Criteria 222 51 Additional Features li 51 Trade Detail Field Descriptions cnn Aaaa L o o onnan 51 View Agreements Rates Messages and Notes 94 View Agreements iii AA DDPA dede dede 54 MANG CA 54 View Messages and Notes 2 0 0 occ ec ec ccc ceccecceeceeceeceececeeeeecceeceeeeeeeectseeeeeeeee 54 Trade Detail Executing Perspective 0000o r oon 2 112220200202 rrn2n 55 Change an Account Executing Firms 222 55 Delete a Trade Executing Firms 2 56 Undeleleia Tade eese a i a e e a E OEE 57 Trade Detail Carrying Perspective 22222 58 Reject amp Accept Trades Carrying Firms 0 00 02 0 ecco cece ccc cc ccc cc ccc ccccccccceeeseeeeeeees 58 Business Rule Logic a en il gil bana GAN 59 Transaction Viewer Add Trades 20 60 Accessing and Adding Trades 22 60 Input Field Descriptions iii 61 POG TRADES SCANS 2 ne releer die aa con ic Ea ea 63 Transaction Viewer Trades Rules 00200000000 000000 00000 0 AN aaa 63 AddiNg a AA 63 Accessing Trade Rules iii 65 Deleting Trade Rules u cnn cnn cnn LLDD nn cnn LLDD PAAA Loan 65 PVR VIEN e Sa BAN te ee 67 FLV I
27. Viewing or Modifying Search Criteria After performing a notifications search you can view and modify the search criteria gt To view modify the search criteria 1 Search for notifications 2 Click Show Notification Search Form The search form displays above the search data Modify the Search Criteria Click Search 5 Tohide the search form click Hide Show Notification Search Form Notification Summary From CBT Search Results Page 10f3 9 Rows Show All Extract Prev Goto Page 1 El Length B me 2009 03 13 ACCOUNT 0000111771 IN AGREEMENT 002 REJECTED MARK E 2009 03 13 A ACCOUNT 0000111845 IN AGREEMENT 002 REJECTED MARK 2009 03 13 ACCOUNT 0000115300 IN AGREEMENT 002 REJECTED MARK view User Info Information Delete Delete Notifications Executing and carrying firms can delete notifications from the Notifications page Note Notifications are automatically deleted after seven business days gt To delete a notification 83 User Manual Give Up Payment System 1 Search for notifications 2 Click the check box for the notification s Note If Check All is selected only the rows currently displayed on the page are selected 3 Click Delete Search Results Page 10f3 9 Rows Show All Extract Prev Go to Page 1 ai Length 3 SET Next El 2009 03 13 ACCOUNT IN AGREEMENT 002 REJECTED MARK 2009 03 13 ACCOUNT IN AGREEMENT 002 REJECTED MARK 2009 03 13 ACCOUNT IN AGRE
28. contracts Profit Center Available if defined at the agreement or account level on the Agreement Maintenance page Tier Indicator Tier Indicator Unadjusted Give Up Revenue The total gross amount of give up fees generated for the payment cycle This amount can include revenue from previous months and rejected accounts rates or payments that have been re accepted Cash Adjusted The total of all cash adjustments entered by the executing firm via the Cash Adjustment page Detailed Disputed Total amount of individual trades rejected by the carrying firm for that account number Total Due The total give up fees plus cash adjustments minus rejected activity for the specific account number and payment cycle Currency Currency USD EUR and GBP Any currency can be selected for searching but US firms will only have payments in USD European firms can select a specific currency Payment Executing Perspective After performing a search executing firms can perform the following tasks View Rates e View Messages View Rates You can view rates to see what rate set is associated with a payment gt To view rates 1 2 Select View Rates in the drop down Click the payment The rate set is displayed on the Agreement Maintenance Rate Maintenance page To go back to the trade details select Payment Review and click Payment Note The View Rates action is only available viewable under the Summarized by
29. futures contracts based on the Dow Jones Industrial Average are not sponsored endorsed sold or promoted by Dow JoneseM and Dow Jones makes no representation regarding the advisability of trading such product s BM amp FBOVESPAT is a trademark of BM amp FBOVESPA KRX is a trademark of Korea Exchange DME is a trademark of Dubai Mercantile Exchange BMD is a trademark of Bursa Malaysia BMV is a trademark of Bolsa Mexicana De Valores All other trademarks are the property of their respective owners The information within this document has been compiled by CME Group for general purposes only CME Group assumes no responsibility for any errors or omissions Additionally all examples in this brochure are hypothetical situations used for explanation purposes only and should not be considered investment advice or the results of actual market experience All matters pertaining to rules and specifications herein are made subject to and are superseded by official CME CBOT and NYMEX rules Current rules should be consulted in all cases concerning contract specifications Copyright 2014 CME Group Inc All rights reserved Table of Contents Table of Contents Getting Started zz 8 Log In to Give Up Payment System annaa onah aaoo a aaao aaa LDDP A LDD A LLLA LL Laana 9 WROL NS a a e EOE A a E O 9 Requesting Access to Give Up Payment System GPS 10 Change User Contact Information 222222222222 10 My md LE O
30. message displays asking Are you sure you want to delete the current rate Click OK Accept Reject Rate Set Carrying Firm Perspective Only You may accept or reject rate sets from the Rate Maintenance page gt To accept or reject a rate set il Click Accept Reject Tue March 11 2014 02 39 PM CDT Contact Us User Manual Log Out lt 2 CME Group Give Up Payment System Rate Maintenance Welcome James Taylor Y Agreement Maint Y Profit Center Q Transaction Viewerv IQ Payment Review 18 Notifications B Reports Na EZ Administration v Y Egus Agreement Review Details Carrying Perspective CBT Page 10f2 2Rows View Agreement v Next El Agreement Date 09 25 2006 Rate Maintenance There are messages associated to this Rate Set view messages Date Range 08 28 2013 to 12 31 9999 v Rate Detail List Carrying Perspective CBT 001 Page 1 of 1 4Rows Show All Extract Go to Page Set Page Length Next El Prev c 1 RATE FUTURE OPTION G 1 50 000 50 000 USD 10 11 2013 G 50 000 50 000 KCB USD 10 23 2013 CBT 2 4 10 23 2013 3 0 000 50 000 10 11 2013 G l USD S 0 000 CBT FIN USD RATE FUTURE OPTION TYEE mn ny ne aw sur com sm mr ms ms cm GHz Back To Agreement Search New Search Continue To Accounts You will be prompted with Rejection Messages for the Current Rate Set Rejection Messages Tor Curent Rate Sel STATUS SELECTIENTER MESSAG
31. number in the New Carrying Account field Enter an account number in the New Executing Account field Click Add The following screen appears Added Trade Rules Page 1 of1 1 Row Show Al Extract Select Action v 2009 CME Group Inc To display the trade rule click Search The Trade Rule details appears Added Trade Rules Prev Go to Page Set Page Length SET ET ET cannes tan a 8000 To specify additional criteria a Select Edit Rule in the drop down b Click Show Additional Criteria Show Additional Criteria New Carrying Account New Executing Account Order Handling Ind Change Account To 99999 ange Account To Executing Firm Carrying Firm 001 y 001 Carrying Account Executing Account 8000 Hide Additional Criteria Commodity Exchange CBT y New Carrying Account New Executing Account Order Handling Ind ccount To 99999 ange Account To 2009 CME Group Inc User Manual 64 Give Up Payment System Additional trade rule fields include Commodity Exchange Select an exchange to which the trade rule will apply Commodity Select a commodity to which the trade rule will apply Trade Type Select whether the trade rule will apply to buy trades or sell trades Spread Indicator Select a spread type e Sor6 Spread e D Differential Spreads e L Legged Spreads F O Select whether the trade rule will apply to a futures or options trade APS Indicator Select o
32. you may view accounts 1 Select View Accounts from the drop down 2 Click an agreement earch Results Page 1011 1 Rows Show ll Extract vie greement Prev Go to Page 1 EJ Set Page Length 10 Delete Agreement Customer Hame Customer Reference Humber MTI Agreement Reference Humber g ccc Doc F JO0004 JO123 2009 03 09 Customer Hame Customer Reference Humber F RE Agreement Reference Humber F Agreement Date Executing Firms can define specific accounts under an agreement which will all be charged by the same rate set Carrying Firms can reject and accept accounts 29 User Manual Give Up Payment System lt gt CME Group Give Up Payment System Account Maintenance sve maron coma James Tar Contact Us User Manual Log Out Y Agreement Maint Y Profit Center a Transaction Viewery A Payment Review v Notifications E Reports v EZ Administration v Y Egus Agreement Review Details Executing Perspective CBT Page 10f4 4Rows View Agreement v Prev Goto ee 34 Next B Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date CBT 09 25 2006 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Back To Agreement List Account Maintenance Carry Firm 001 Add Account List Executing Perspective CBT 001 Page 1 of2 17 Rows Show All Extract Prev Go to Page
33. 0 00 INT 04 LOTT 18L 2014 01 27 0011 CME ED 12 2018 0 0 963550 SELL 3 0 000 0 00 04 LOTT 1BL 2014 01 27 CME ED 979800 SELL 18L E E Status Chg Ind Err Rev Exec Opposite Carry Trade Order comm Contract Exrcs Trade bag ENT ABS BS Cay pato roo pag sonor Oper Brkr Tier Trade Vol Egus La gt Ind Ind gt Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt Ind Executing Firm Carry Firm Mass Update Change Account 2009 CME Group Inc 5 Tochange all records that contain that executing firm executing account carrying firm and carrying account com bination click Mass Update GPS will display a count of how many transactions are to be updated prior to performing the action A confirmation message displays indicating what has changed The Account has been successfully updated for Executing Account30000 and Carrying Account arri7 Expecuting Fern 15 Expcutg Accord UE Carry Fem 00 Carry Account 27777 ss rte SE omean tet 6 Click OK In the change indicator field the old record contains an indicator of O and the new record contains an indicator of Search Results Page 10f3 23 Rows Show All Extract Change Account Go to Page 1 Set Page Length 10 SET 123 TIC e a Ind gt Ind gt Account gt Firm gt Account Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Q
34. 018 963550 0 000 0 00 PAA A In the Change Indicator field the deleted record contains a D and the Status field contains Deleted Undelete a Trade After performing a basic or advanced search in the executing firm perspective you can undelete trades during both the lock and un lock periods To undo a trade that was just deleted 1 Select Undelete Trades in the drop down 2 Click the trade 3 Click Undelete Trade Mass Undelete Trade Undelete Trade Retresh List Note This feature only works on transactions that were deleted that day The next business day trades marked for deletion will have been removed A confirmation appears indicating that the trade has been undeleted The trade has been successfully undeleted 4 Click Refresh List to update the search results list 57 User Manual Give Up Payment System The Status field appears blank and the Change Indicator changes to U undeleted which indicates an implied acceptance of the transaction Search Results Page 1 0f3 23 Rows Show Al Extract Undelete Trades v Prev Go to Page 1 Page Length 10 SET Next El NN CS Ind gt Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt CME 41011156 2014 01 27 0FG3 CME 2014 137420 SELL 0 350 0 35 USD CURR CME 41011156 2014 01 27 0FG8 CME EC 03 2014 0 137370 CME 41011156 2014 01 27 SILG CM
35. 1 LOIR MA 10 SID TIOS et dba asadas 11 Agreement Maintenance 022020000000000000 000000 000I 00I SAAN SAAN SANANG AN ANA ANN asa kakasa 13 Agreement Maintenance View Agreements 0 20 20 2 cee ce eee ccc cece cee cecceceeceeceeeeseees 13 Agreement SCAG cc accep ed seep ilies te aun igh des ce ne bacan lues 13 Additional Search Criteria cece cece cece ceccececeeeececeeeceeeeeeeeeeeseeeecteessseees 14 an a AN 15 Agreement List Executing and Carrying Perspective 15 Add an Agreement Executing Perspective Only 2 15 Agreement Details Attributes 20 19 Edit an Agreement Executing Perspective Only 2 20 Copy an Agreement Executing Perspective Only 20 Delete an Agreement Executing Perspective Only 2 21 Agreement Maintenance View Rates 20 21 ACW IR E ies chins teh it ee de ee bu bana ae ip pak bb lee nrn ha nagsi 22 Merced CA AA 22 Rae ASS a E ee enn AA dE a tr REP ne re D mane 22 Add Rate Details Executing Perspective Only 22 Rate Details Field Descriptions 2 200 200 0c ccc cece cece ec cccccccccceeeceecetceecetececseeeeecseneee 23 Edit Rate Details Executing Perspective Only 22 25 Delete Rate Details Executing Perspective Only 26 Accept Reject Rate Set Carrying Firm Perspective Only 2 26 E NN 27 Create Rate Sets Executing Perspective Only 2 27 Copy Rate Sets Executing Perspective Only 222 28 Delete Rate Sets Executing Perspective Only 28 Edit Rate Sets
36. 10 rows will be checked 2 Select Accepted or Rejected in the drop down User Manual 58 Give Up Payment System Note Carrying firms can only accept trades that were previously rejected Rejection Messages for Above Selected Transactions status EELECTIENTER A MESSAGE ec Submit Refresh List REJECTED For rejections you will be prompted to enter a message 3 Click Submit A confirmation message displays indicating that the transactions were rejected or accepted Note The Status Code is now labeled as Rejected Go to Page 1 Set Page Length 10 1 o 123 Exec Cc Trade PIC Spr PNT BIS Qty Rate Fee Cur Quad Sector Hours Oper Brkr Tier nt b Price gt gt gt gt gt gt Id gt Sym gt Ind Source gt 03 2014 137420 G SELL 1 0 350 0 35 USD CURR 02 R a 113L N 20 137370 G BUY 1 0 350 0 35 USD CURR 02 R 1BL N JLG CME G SE R 113L N Date 14 01 27 14 01 27 20 20 For accepted trades the Status Code will be blank which indicates an implied acceptance Business Rule Logic Trade Deletions Executing Firms 1 An executing firm cannot delete a trade during the lock period 8th through 15th business day for that trade cycle 2 Outside the lock period an executing firm can delete a trade under the following conditions e Ifthe Change Indicator is blank and the Status code is either blank or rejected the application will set the Change Indi
37. Adjustments e View Accounts e View Messages e View Payments Show Cash Adjustment Search Form Cash Adjustment Details Executing CH M Search Results Page 10f1 1Rows Show All Extract View Message y Goto Page 1 co pon Page Length 10 SET APrev Opposite ips Adjusted Currence line Adjustment Firm Hbr Amount y P Date gt ABC123 950 00 ie LAN Ta 2006 08 02 FOOOTSTC Opposite Reference Adjusted Adjustment Tier gt gt gt mabalin y Firm accounts gt Hbr gt Amount er c akap aa Date gt Indicator New Search Add Cash Adjustments Executing firms may add cash adjustments gt To add a cash adjustment 1 Select Payment Review 2 Click Cash Adjustments 3 Click Add Perspective Exchange Firm Executing Firm 035 C Carrying Firm 035 CET CET TEST FIRM B Opposite Exchange Firm Adjustment Month July 2006 Add El Delete 4 Carr Account Executing Account Status Tier Indicator Any bd ACCEPTED YES REJECTED NG dd E Delete BI Enter the details of the cash adjustment 75 User Manual Give Up Payment System Executing Firm Carrying Firm Description Adjustment Month Carry Account une 2008 7300 Currency Debit Credit Adjusted Amount uso DEBIT Submit New Search e Executing Firm See Payment Search Criteria e Carrying Firm See Payment Search Criteria e Description The explanation for the cas
38. E AD 2014 89660 CME 41D11156 2014 01 27 SJMM CME AD 2014 89730 E CME 53020101 2014 01 27 0007 CME ED 2017 g 970600 o E s CME 53U20101 2014 01 27 0008 CME ED 2017 970600 E BG CME CHANGE01 2014 01 27 0008 CME ED 2017 1 970600 Cc E CME 3U20101 2014 01 27 0010 CME ED 2018 966850 BUY 0 350 0 35 USD CURR 02 SELL 1 0 350 0 35 USD CURR 02 SELL 1 0 350 0 35 USD CURR 02 SELL 24 0 000 0 00 USD 04 BUY 6 0 000 0 00 USD 04 BUY 6 0 000 0 00 USD 04 BUY 12 0 000 0 00 USD 04 BUY 12 0 000 0 00 USD N N N 000000000 mmm mm a 2 x 2 z 2 2 2 2 2 2 2 z 2 z 2 2z 2 z 2 2014 01 27 1BL dr ing ba Err Rev Exec Opposite Carry Trade Order res Contract Exrcs Trade des Ser sd sets les pig Sy a pe a paf Oper Brkr Tier Trade Vol Ind gt Ind gt Account gt Firm gt Account gt Date No Date Price Price Id gt Sym gt Ind gt Source gt Quote gt New Sez Trade Detail Carrying Perspective After performing a search carrying firms can perform the following actions on result sets e View Agreements e View Messages e Reject Trades e Accept Trades Search Results Page 1 0f3 24Rows Show All Extract Prev Go to Page 1 T Length 10 SET Next E TESES eee e a gt Ind gt Ind gt Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price Sym gt Ind gt Source gt Quote o e 41011156 2014 01 27 41D11156 2014 01 27 CM
39. E EC 03 2014 0 0 137370 41011156 2014 01 27 SJLG CME AD 03 2014 00 89660 41D11156 2014 01 27 SJMM CME AD 03 2014 0 0 89730 V07423 2014 01 27 CME EO 04 2014 9925 0 200 07423 2014 01 27 7090 CME E0 04 2014 9937 0 500 07423 2014 01 27 7090 CME EO 04 2014 9950 0 300 V07423 2014 01 27 7090 CME ED 06 2015 00 994300 SELL 250 0 500 A6620 2014 01 27 0007 CME ED 12 2017 0 0 970600 SELL 24 0 000 0 00 USD 2014 01 27 CME ED 2017 970600 BUY Check All arai mn Ind Err Rev Carry Opposite Exec Trade Order corm Contract Exrcs Trade ang dni ar nari KA ra er era Once Ai i Trade Vol Ind gt Ind gt Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price gt p ym gt Source gt Quote gt BUY 0 350 0 35 USD SELL 1 0 350 0 35 USD SELL 1 0 350 0 35 USD BUY S00 0 500 SELL 500 0 500 BUY 500 0 500 000000000 mom om om m Do 7 2 z pEi z im z a az ze ERI 2e ze z 2009 CME Group Inc Reject amp Accept Trades Carrying Firms After performing a basic or advanced search in the Carrying Firm perspective you can reject or accept trades gt To reject or accept a trade 1 Select the check box of the trade s To select all rows click Check All Note This will only select the rows that are being currently viewed For example if three rows appear on the screen all three rows will be checked If 10 rows appear on the screen all
40. EMENT 002 REJECTED MARK View User Info View Information Delete New Search pop up message displays 4 Click OK Note The notification is removed from the list but no confirmation message is sent View Information Executing and carrying firms can view information for notifications on the Notifications page gt To view information 1 Search for notifications Show Notification Search Form Notification Summary From CET 4 Search Results Page 1 of17 49 Rows Show All Extract 4 Prev Goto Page 1 co Set Page Length 3 SET ne 123456769101112131415 Nex 2006 07 02 TRADE DECS6 01 BL FOR IM 07 06 DELETED FODOTSTO ml 2006 07 02 TRADE DECSS 01 BL FOR AN 0105 DELETED FODOTSTO 2006 07 02 TRADE AUGOS 01 BL FOF IM 07 06 DELETED FOOOTSTE ji F View User Info Vies Information New Search Select the check box for the notification 3 Click View Information You will be redirected to the respective screen based on the action type 4 Toreturn to the Notifications page click Notifications User Manual 84 Give Up Payment System Reports The Reports page allows you to generate customize and retrieve reports on demand 85 User Manual Give Up Payment System Accessing Reports You can access reports on the Reports page lt gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Y Profit Center A Transaction Viewerv A Payment Review v 273 Not
41. Firm e Payment Month 93 User Manual Give Up Payment System Tier Volume Report The Tier Volume Report displays original and carryover volume for all tiered agreements for the executing firm for the current processing month and prior two months Original volume is the number of contracts processed during the current month Carryover volume is the number of contracts processed for a previous month due to a re acceptance of a previous rejection The Tier Volume report is available from the Executing Firm perspective only For the Tier Volume report the following criteria are required e Report Type e Perspective e Firm Tier Rate Report The Tier Rate Report displays the rates rate attributes and volume breakdown of tier levels for each tiered agreement for the executing firm The Tier Rate report is available from the Executing Firm perspective only For the Tier Rate Report the following criteria are required e Report Type e Perspective e Firm Tier Rate Volume Report The Tier Rate Volume report shows the tier level volume breakdown with the associated rates the contract volume amount at each tier level and the amount of discount or system generated cash adjustment applied for having volume that exceeds the first tier level for the executing firm for the current processing month Note The Tier Rate Volume report is available from the Executing Firm perspective only For the Tier Rate Volume Report the following cri
42. Length 10 1 ade pa pd Rat xe a rade i NGO Sola ource SELL 50 0 000 0 00 USD METAL BUY 20 1 000 20 00 USD METAL 04 BUY 20 0 000 0 00 USD METAL Required Indicates whether results for executing firms or carrying firms will be returned Required Contains the firms for CME CBOT and OCC that you have authority to view Enter either the 3 digit firm id into the text box or make a selection in the drop down list Required The date the transaction took place e Equals allows you to specify one particular day e Month to Date automatically sets the beginning date to the first day of the current month and the end date to the current day e Between allows you to specify the beginning and end dates for your date range Note you can only view two months at a time e Last Month automatically sets the beginning and end dates to the first and last days of the pre vious month The date the trade was last processed in GPS Not required Indicates whether transactions were Accepted and or Rejected The currency of the transaction USD EUR or GBP Not required Show Criteria displays your search criteria above your search results Advanced Search The advanced search for the Transaction Viewer View Trades page consists of additional fields that can narrow search results gt To use the advanced search 1 Click Advanced User Manual 48 Give Up Payment System Perspective 9 Executing Firm
43. Number gt Executing Firm gt Agreement Reference Number Agreement Date gt 123 123 2006 03 13 JDODDA JD 123 2009 03 09 Customer Name Customer Reference Number gt ExecutingFirm Agreement Reference Number Agreement Date 2009 CME Group Inc Click on the agreement you would like to view The agreement displays Add an Agreement Executing Perspective Only You may add an agreement on the Agreement Search page 15 User Manual Give Up Payment System gt To add an agreement 1 w o N D O A On the Agreement Search page click Add Note The add agreement feature is only available from the Executing firm perspective CME G roUp Give Up Payment System Agreement Maintenance greement Maint Y Profit Center Q Transaction Viewerw A Payment Review v 73 Notifications F Reports v Administration v Y Egus Perspective Exchange Firm 9 Executing Firm Carrying Firm Agreement Reference Number Customer Name Customer Reference Number Any v Any v dd E Add El Delete 4 Opposite Exchange Firm A y Add El Delete 3 Profit Center Any v Add E Delete 4 A template will display Show Agreement Search Form Agreement Details Executing Firm Agreement Reference Number Agreement Date 02 20 2014 Fa Customer Name EGUS Reference Number Customer Ref Executing Account Executing Contact Executing Phone 123 112 3457 Profit Center Inter FCM Agreeme
44. PE CEU CME EUROPE LTD CME CHICAGO MERCANTILE EXCHANGE CMX NEW YORK MERCANTILE EXCHANGE COMEX NYX NEW YORK MERCANTILE EXCHANGE OCC OPTIONS CLEARING CORPORATION Exchange can be used by itself for a generic rate or together with the commodity code for specific rates For all third party agreements any currency is valid For a US non third party agreement only USD is valid For a European non third party agreement USD EUR and GBP are valid Codes are as follows AUD Australian Dollar MXN Mexican Peso CAD Canadian Dollar NOK Norwegian Krone CHF Swiss Franc NZD New Zealand EUR Euro SEK Swedish Krona GBP British Pound USD US Dollars JPY Japanese Yen ZAR S A Rand E ETH Electronic Trading Hours R RTH Regular Trading Hours Open Outcry Pit traded If quadrant is selected then individual commodities may not be selected and vice versa Quadrants are CBOT AG FIN INDEX CME AGS CURR INDX INT CMX AG ENERGY FIN INDEX METAL NYX AG ENERGY FIN GREEN INDEX METAL Edit Rate Details Executing Perspective Only gt To edit rate details Click Edit Select the line item you wish to edit Click Apply 25 User Manual 1 2 3 Make the required modifications 4 Give Up Payment System Delete Rate Details Executing Perspective Only gt To delete rate details Click Delete Select the line item you wish to delete An alert
45. Requested By Report Type F EZ Time Requested F Last updated F 2 Click the report request 87 User Manual Give Up Payment System The Report Criteria window displays the report criteria E 1 c chicago cme com 7131 Reporte Executing Firm Equals Executing Exchange Equals CET Delete Report You can delete a report on the View Report Request page gt To delete a report 1 Select Report 2 Click View Report Request 3 Select Delete Report from the drop down 4 Click the report 5 A message displays x A Are you sure vou want to delete the selected report cs 6 Click OK Extract Report You can extract a report on the View Report Request page gt To extract a report 1 Select Report 2 Click View Report Request 3 Select Extract Report from the drop down 4 Click the report A message displays User Manual 88 Give Up Payment System File Download 4 x Do vou want to open or save this file Mame Report txt Tupe Text Document From rggagup0lc chicago cme com som sae En While files from the Internet can be useful some files can potentially harm your computer IF pou do not trust the source do not open or save this file What s the risk 5 Click Open or Save All reports extract into a tab delimited file which can be fed into any machine readable format Trade Detail Report The Trade Detail Report displays all trades by tra
46. Results Page 1 of 4 11 Rows Show All Extract Delete y Prev Go to Page 1 Ed A Page Length 3 SET ae Profit Center Name Bank Account Type Bank Account gt Bank ABA Code P Prenote Indicator PCTR2 CHECKING 99995888K 088889999 44000 CHECKING 2453314 071000288 TEST1 CHECKING CHASE 000023452 Profit Center Hame Bank Account Type Bank Account gt Bank ABA Code gt Prenote Indicator gt 43 User Manual Give Up Payment System Delete Profit Center Once you have received a list of profit center search results on the Profit Center page you can delete profit centers gt To delete a profit center 1 Search for profit centers 2 From the Select Action drop down select Delete 3 Click the line item you wish to delete Search Results 4 Prev Goto Page 1 EM Set Page Length 2 SET Profit Center Hame Bank Account Type F Bank Account Bank ABA Code F Prenote Indicator k HSE CHECKING 11111 0023353222 PCTR2 CHECKING S999 8855 659999 x Profit Center Hame Bank Account Type F Bank Account F Bank ABA Code F Prenote Indicator F 4 A pop up message displays asking if you really want to delete this Profit Center 5 Click OK Note You can only delete a profit center that hasn t been associated with any agreements and or accounts If you attempt to do this an Error message will display There is 1 error on this page Hide Errors Profit Center TEST is associated to account s Can not d
47. S aa a eet Aa aa A oleate dled owe beeches bist eat hah ae nina Dung use 67 Payment Search Criteria 2222 iii 67 View Modify Search Criteria iii 68 Payment Details iii 68 Payment Executing Perspective LA 69 O A A GA LAG eae 69 4 User Manual Table of Contents ATEN Messages AM O o ON 70 Payment Carrying Perspective ie 70 Reject Accept amp View Payments 20 70 Reject Payments iii diese 70 Ne E PE 11 MESS e e D da 11 AA KA 12 Cash Adjustment History Report LL 12 Accessing Cash Adjustments 2e 13 Cash Adjustment Search Criteria 22222 13 SC SO A 13 Viewing or Modifying Search Criteria LL 13 CashAdjustment Detalls ER nn Cd D ce 14 Cash Adjustments Generated by Tiered Rates 74 Cash Adjustment Executing Perspective 2 202 0 0 0 00 2 c cece een cece eccececccceccececteceeeeeees 74 Add Cash Adjustments iii 19 Delete Cash Adjustments 22 76 Edit Cash Adjustments a 7 VIS FNC AA 7 View Messages and Notes 2000000000 00 0 aaa 18 VIEW PAVIMENES Een ne amine ii r da idee 18 Cash Adjustment Carrying Perspective 2 19 Reject Cash Adjustments 2 19 Accept Cash Adjustments el 80 View Messages iii 81 IN OCU ACO UNS cars e ad EG SIL ia dr ends deta 82 Notification Search iii did did deedeeceeceeeee 82 SAN CIS AA sxe 82 Viewing or Modifying Search Criteria 2222222 83 PAANAN 83 View Information sac recta ee POS ENG a pk le 84 REDONS D Le AN 85 ACCES SIN Bl REDONS aea NS PG 86 Report Request PR clio dobra ii
48. Searct Mass Delete Trades Delete Trade 2 Click the trade Note You will not receive a prompt asking if you want to delete the item You can use the undelete feature as needed 3 Click Delete Trade A confirmation displays indicating that the trade has been deleted 4 Click Refresh List to update the search results list Search Results Page 1 of 3 23 Rows Show All Extract Delete Trades Prev Go to Page 1 Set Page Length 10 Next E 123 a ear lin scare am A gt La Ind Account gt Firm gt Account gt Date gt No gt Date Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt e 41D11156 2014 01 27 R N 41011156 2014 01 27 EC 03 2014 137370 G BUY 0 350 0 35 USD CURR R LOCKEINV N N N 41011156 2014 01 27 5JLG CME AD 03 2014 0 0 89660 G SELL 1 0 350 0 35 USD CURR 02 R LOCKEINV 113L N N N 41011156 2014 01 27 SJMM CME AD 03 2014 0 0 89730 G SELL 1 0350 0 35 USD CURR 02 R LOCKEINV 113L N N N E 5320101 2014 01 27 0007 CME ED 12 2017 0 0 970600 6 G A SELL 24 0 000 0 00 USD INT 04 E LOTT 113L N N o E apa nd 53U20101 2014 01 27 0008 CME ED 12 2017 0 0 970600 6 G A BuY 6 0 000 0 00 USD INT 04 E LOTT 1BL N N Cc E CHANGE01 2014 01 27 0008 CME ED 12 2017 0 0 970600 6 G A BUY 6 0 000 0 00 USD INT 04 E LOTT 118L N N DELETED D E abo bad 53020101 2014 01 27 0009 CME ED 06 2017 0 0 975000 6 G A BUY 12 0 000 0 00 USD INT 04 E LOTT 18L N N N 53020101 2014 01 27 2
49. User Manual Log Out Y Agreement Maint rofit Center ransaction iewery iyment Review v otifications TI eports Ng Administration v gus A t Maint Y Profit Ci lat ction Vi Q Payment Ri Notificat Br E ti We Agreement Review Details Executing Perspective CBT Page 10f4 4Rows View Agreement v 4 Prev Go to PE T Next El Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date o e 09 25 2006 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Back To Agreement List Edit Account Account Carry Profit Carry Carry Carry Exec pa A Cia E CBT 44000 1231 Back To Account List Carry Firm CBT Back To Agreement Search 2009 CME Group Inc 4 If you do want to edit the account click Back to Account List Transfer Account to Another Agreement Executing Perspective Only O CME Group Give Up Payment System Account Maintenance na ee Contact Us User Manual Log Out LY Agreement Maint 7 Profit Center Q Transaction Viewery Q Payment Review 3 Notifications E Reports EF Administration v Y Egus Agreement Review Details Executing Perspective CBT Page 10f4 4Rows View Agreement v Prev Go to der T Next F Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date pc CET 09 25 2006 Back To Agreement List Account Maintenance Carry Firm Profit Cen
50. by clicking the hyperlink in the upper right corner of the Report Viewer Today s Reports Show All Reports view Report El Column Descriptions Report requests contain the following details The columns can be sorted in ascending or descending order by clicking the arrow to the right of the column header Data can only be sorted by one column at a time e Report Status Status of the submitted report e Requested The report has been submitted for processing e Running The report is currently being processed by the report server e Ready The report has completed processing and is ready to be viewed e No Data There was no data matching the report request criteria e Reviewed The report has been accessed viewed printed and or extracted e Requested By The user id of the individual who requested the report e Report Pos The number of the report request s position in the server e Report Type The title of the report e Time Requested The date and time that the report was requested View Report Criteria You can view the criteria of a report that has been requested gt To view the report criteria 1 Select View Report Criteria in the drop down Today s reports Show all reporta view Report VIEW report Report Status F Requested By Report Type F maria Time Requested F View Report Criteria Reviewed FODOTSTO Executing Message Thu Apr 16 15 34 51 COT 2009 Thu Ape Extract Report Delete Report Report Status
51. cator to D for deleted e Ifthe Change Indicator is C for change account and the Status is either blank or rejected the application will set the Change Indicator to X for a deleted rejected transaction Trade Un Deletes Executing Firms Deleted trades are removed during the nightly batch processing cycle but until the next processing cycle an executing firm can un delete a deleted trade The following rules apply when trades are un deleted e Ifthe trade is not within its lock period e Ifthe Change Indicator is D deleted and the Status is either blank or rejected the application will set the change indicator to U to indicate that a modification was made to the trade and it will be re priced to ensure accuracy e Ifthe Change Indicator is X for a deleted rejection and the Status is either blank or rejected the applic ation will set the Change Indicator back to C to indicate an account change e If the trade is within its lock period Only Rejected Trades can be modified by Executing Firms e Ifthe Change Indicator is D deleted and the Status is R rejected then the application will set the Change Indicator back to blank e Ifthe Change Indicator is X deleted rejection and the Status is R rejected transaction then the application will set the Change Indicator to C to indicate an account change Trade Change Accounts Executing Firms 1 If the e
52. ch Criteria Description The Advanced Search contains the following additional fields Quadrant A group of related contracts traded on a given Exchange If selected all contracts in that group will be displayed Quadrant selections by Exchange are described below CME Quadrants CBOT Quadrants NYMEX COMEX Quadrants CMEAM Auction Markets AG Agricultural AG Agricultural AGS Agricultural FIN Financial COMMDTY Commodity INDX Index INDEX Index ENERGY Energy INT Interest Rate FIN Financial CURR Currency INDEX Index METAL Metal GREEN Green Commodity Exchange code 2 or more bytes used for Clearing The commodity list will contain the commodity codes from CME One Chicago and the CBOT You may select a specific or multiple commodities the commodity list includes the commodity code the exchange and the commodity name 95 User Manual Give Up Payment System Fut Opt Futures FUT and or Options OPT Loc Location Location Open Outcry PIT and or Electronically ELEC Spread Type Spread type e D Differential Spreads e L Legged Spreads e S or 6 Spread e P PIT Trade APS Ind Average Price System APS Indicator e A Average Price System trade e Gor blank Give Up trade Account Account number of the executing firm or carrying firm depending on the perspective Order Number Order number Also known as the executing firm s card order number Put Call Put and or Call B
53. ci 86 View Report Request auinen dni ia Ses nat entente tee ti 86 Boo 610 BS LR A ee ne B7 GOMA D SCAIDUONS necia dabas B7 View Report Criteria iii did e iA B7 CTS Te REDON AA ta 88 ar te 88 Trade Detail Report iii didier 89 Trade Summary Report u diidiididiieee 90 Rate DEI REPON Ka a a aah Ab a GG dd isler 90 AA 90 Cash Adjustment History Report 2222222 91 O a e a o o 91 User Manual 5 Table of Contents Payment History REPON bi 92 AGCQUNLREPON rat lol dos ita 92 Message Report iii didier 92 Third Party Repaso iba 92 Third Party Trade Report 222222 92 Third Party Da MRE e e eae a 93 Agreement PONS o clan eenola hala es re listen tado ne Lead recon duties dela deca 93 Banking Report iii die died eeeeeeeceeceeceeceeceece 93 Tier Volume Report iii a aT 94 Tier Rate Report iii aa 94 Tier Rate Volume Report 2 94 Report Search Criteria iii aaa 94 Basic Search Criteria Description a 94 Advanced Search Criteria Description 6 User Manual Give Up Payment System 7 User Manual Give Up Payment System Getting Started Welcome to the Give Up Payment System online help system CME Group s Give Up Payment System GPS is a web based application accessed via the CME Group portal that is used by clearing member firms back office staff for processing payments on a monthly basis GPS provides clearing firms with the ability to track give up agreements and payments GPS system allow
54. cific Rate sets are calculated first then General Rates with the highest rank number are the first to be calculated CBOT Chicago Board of Trade CCE CME Clearing Europe CEU CME Europe LTD CME Chicago Mercantile Exchange CMX New York Mercantile Exchange COMEX e NYX New York Mercantile Exchange e OCC Options Clearing Corporation For Rate Type Specific only You must first select an Exchange in order to be able to select from the pre populated commodity codes in the drop down list The dollar amount of the futures rate as a whole number Includes a decimal point if cents are entered Field defaults to zero if left blank The dollar amount of the options rate as a whole number Includes a decimal point if cents are entered Field defaults to zero if left blank Field is free form Current values definitions as defined by the FIA are A Phone simple B Phone complex C FCM provided screen D Other provided screen SPR Spread Type PNT Privately Negotiated Trades SES Session APS Give Up Payment System E Client provided platform controlled by FCM F Client provided platform direct to exchange G FCM API or FIX H Algo Engine J Price at execution price added at initial order entry trading middle office or time of give up W Desk Electronic X Desk Pit Y Client Electronic Z Client Pit Select the Spread indicator to set rate by the following spread t
55. cing criterion The combination of executing and carrying account along with the two firm numbers must be unique amongst all agreements An error message Is received if entering a duplicate combination is attempted via the online application Carrying Firm Lock Period A carry firm can reject an account at any time Having an account rejected does not stop pricing but it does affect that trade s associated payment row as the nightly batch processing will set the payment records to reject status However during the lock period trades already priced will not be affected unless the trades for the payment month are specifically rejected A carry firm can re accept a previously rejected account at any time During the lock period if rejected trades that are related to the account in question are re accepted prior to the end of the lock period then those transactions will be re priced and be removed from the detail disputed column in the payment file A carry firm can also reject a rate set not an individual rate This rejection will flag all associated trades These trades will be labeled as errors during nightly batch processing noting that the rate set cannot be found A carry firm can also re accept a previously rejected rate set This re acceptance will flag all associated trades to be reprocessed for re pricing during the nightly batch processing Note that during the lock period if rejected trades are re accepted prior to the end
56. ck To Rates Effective Date 07 01 2009 Create Pass Thru For tiered agreements the Rate Maintenance screen displays The Default rate will apply to product groups not specified by the tiered agreement Tiered rates apply to futures and options equally you cannot specify different rates for futures versus options 27 User Manual Give Up Payment System Copy Rate Sets Executing Perspective Only You may add a rate set that mirrors a rate set of another existing agreement gt To copy rate sets 1 Click Copy 2 Choose the agreement with the rates that you would like to copy 3 Enter the Effective Date of the new rate set 4 Click Submit The rate list is immediately updated Delete Rate Sets Executing Perspective Only Unlike agreements and accounts rates can be deleted if trades are associated with them Note None of the fees for the attached give up trades will be calculated once the rate set has been deleted gt To delete rate sets 1 Click Delete An alert message displays asking Are you sure you want to delete the current rate set 2 Click OK Edit Rate Sets Executing Perspective Only The Edit option on the Rate Maintenance screen allows the end user to modify the start and or end date of the rate set gt To edit rate sets 1 Click Edit 2 Select the Date Range 3 Click Apply Changes 4 Aconfirmation message displays indicating that the rate set has been updated All t
57. cycle e Executing Account Executing firm account number in conjunction with the carrying account that has generated give up fees or cash adjustments during the payment cycle e Status Accepted or Rejected status e Third Party Indicates whether payment is from a third party payment YES or non third party NO e Tier Indicator Tier Indicator View Modity Search Criteria You can view and modify the search criteria that you have selected gt To view modify the search criteria 1 Click Show Payment Search Form 2 Modify the search criteria 3 Click Search Payment Details Results from the payment search include the following details Note The monthly payment calculation is as follows Unadjusted Give up Revenue Cash Adjusted Detail Disputed Total Due e Month e C current month e P previous month e Opposite Firm See Payment Search Criteria e Accounts In Detail Summarized By mode The carrying and executing account together in one line item This con catenation of accounts will occur if within the agreement set up the accounts are defined by both the carrying and executing account for rate calculation purposes User Manual 68 Give Up Payment System Reference Number The firm assigned 10 character Agreement Reference Number associated with the account Third Party Indicates whether payment is from a third party payment YES or non third party NO Total Conts Total
58. de date not what has been processed that day The detail will display all records based on the date parameters specified For Trade Detail Report there is a basic search and advanced search The Trade Detail Report generated depends on the perspective Executing or Carrying selected gt To perform a Trade Detail Report search 1 Enter the search criteria e Report Type Required e Perspective Required e Firm Required e Date Required Profit Center 2 Toenter advanced search criteria click Advanced See Report Search Criteria for details on the basic and advanced search criteria 3 Click Search 89 User Manual Give Up Payment System Trade Summary Report The Trade Summary report summarizes trades and associated fees for the specified period For the Trade Summary report the following criteria are required e Perspective e Firm e Trade Date defaults to Month to Date e Profit Center e Process Date Payment Month Rate Detail Report The Rate Detail Report displays the agreement and the associated rate set Note If the carrying firm perspective is used rate details for third party agreements will not be included For the Rate Detail Report the following criteria are required e Report Type e Perspective e Firm Report Type Fate Detail r Perspective Firm G Executing Cc Carrying TEST FIEME Advanced Load Criteria Save Criteria Submit Cash Adjustment The Cas
59. e If there is a message associated with the Rate Set click View Messages This will display a read only view of the message entered Under Rejection Messages you can add a note and click Update Rejection Messages for Current Rate Set ose bew lo Mey Hote Rejected By Repocir n Metsaga Message RATE SIN ERROR CET 00 13 2009 The note has been successfully updated L Rejection Messages for Current Rate seffide Userintc MsgHote Rejected By o Rejection Message Message ve RATE IS INERROR CBT 03 13 2009 Note Wl correct the rate To view the user information select the View User Info hyperlink This will display a read only view of the user that rejected the Rate Set User Manual 30 Give Up Payment System Rate Set Rejection Message For Phone Humber Email Address Ho Liper ndo Avedable Inter FCM Agreement Executing firms cannot set up specific accounts under an Inter FCM Agreement since it is firm specific The system will display FCM in the carrying firm account number field to indicate all accounts Agreements will not have update capability The screen will act as read only similar to the carrying firm perspective See the example below lt 3 CME Group Give Up Payment System Account Maintenance Y Agreement Maint Y Profit Center Q Transaction Viewery Q Payment Review v 3 Notifications B Reports ME Administration Egus x Agreement Review Details Executing Pers
60. e for Physical e N EFR Trade Exchange for Risk e T EFS Trade Exchange for Swap e O OPNT Old Privately Negotiated Trade e C RFC Request for Cross APS Indicator e A Average Price System trade e Gor Blank Give Up Trade Required The executing firm s card order number Required A required field if a put or call indicator has been specified If the added trade is a futures transaction this field will contain zeroes Required Quantity Required Trade price Required Contract Date in MM YYYY format Required Trade Date in MM DD YYYY format CME Globex Tag 50 identifier Identifies traders that are registered and authorized to trade for the firm When available displays three character symbol assigned to broker User Manual 62 Give Up Payment System Field Description Trade Hours Indicates whether the trade took place during e RTH Regular Trading Hours for Open Outcry Pit Trading e ETH Electronic Trading Hours for CME Globex Volatility Quoted Options Indicator Volatility Quoted Options Indicator Blank indicates either yes or no blank can match anything in the search Order Handling Ind Order handling indicator Add Trades Search You can search for trades from the Add Trades page gt To perform a search 1 Select Transaction Viewer 2 Click Add Trades 3 Make a selection in the Executing Firm drop down 4 Make a selection in the Carrying Firm drop down
61. earch Results View Message EP Go to Page 1 GO Page Length 10 SET Delete Adjustment rev te Edit Adjustment View Accounts View Len dante Reference Adjusted sapien ent 2010 04 15 FOOOTSTA ABC123 ABC123 500 USD DESCRIPTION 2010 05 17 KWALKER DES 2010 02 05 FOOOTSTA ABC123 Opposite Reference Adjusted Adjustment Tier EF Status ES Firm Accounts Nbr PEER Currency Description Date User A New Search 3 Click the account 77 User Manual Give Up Payment System You will be redirected to the rate set on the Agreement Maintenance page 4 Toreturn to the cash adjustment page a Select Payment Review b Click Cash Adjustment View Messages and Notes Executing firms can view messages and notes to see why a cash adjustment was rejected by the carrying firm 1 Search for cash adjustments 2 Select View Messages 3 Click the cash adjustment You can preview the message left by the carrying firm Note The message contains who the payment was rejected by the rejection message and the day that it was rejected Note The executing firm has to wait until the carrying firm re accepts the transaction The executing firm can leave notes indicating that they have addressed the issue with that particular transaction 4 Toleave anote a Enter text in the Note text box b Click Update Show Cash Adjustment Search Form Cash Adjustment Details Executing CME M Search Results Page 10f1 2Rows
62. earch Results Page 1 of3 23 Rows Show All Extrad Delete Trades y Select Action Prev Go to Page 1 Set Page Length 10 SET Change Account 123 Change OH Ind Delete Trades Chg Ind Err Rev Exec Opposite Carry Trade Order a Contract Exrcs Trade ie EN ES ma del ed sartor osr Oper Brkr Tier Trade Undelete Trades Ind Ind Account Firm Account Date No Date Price Price Id gt Sym gt Ind gt Source View Agreements View Messages 41011156 2014 01 27 OFG3 CME EC 03 2014 137420 SELL 0 350 0 35 USD CURR LOCKEINV 113L View Rates 41011156 2014 01 27 0FG8 CME EC 03 2014 0 0 137370 BUY 0 350 0 35 USD CURR 02 LOCKEINV 113L r 7 41D11156 2014 01 27 SJLG CME AD 03 2014 0 0 89660 SELL 1 0 350 0 35 USD CURR 02 LOCKEINV 113L o 41011156 2014 01 27 SJMM CME AD 03 2014 0 0 89730 SELL 1 0 350 0 35 USD CURR 02 LOCKEINV 13L 3U20101 2014 01 27 CME ED 12 2017 0 0 970600 SELL 24 0 000 0 00 USD INT 04 LOTT 113L gt 53020101 2014 01 27 0008 CME ED 12 2017 0 0 970600 BUY 6 0 000 0 00 USD INT 04 LOTT 1BL 53020101 2014 01 27 CME ED 06 2017 0 0 975000 BUY 12 0 000 0 00 USD INT 04 LOTT 1BL 53020101 2014 01 27 12 2018 SELL 3 0 000 0 00 USD INT 04 daa Ind Err Rev Opposite Carry Trade Order ara Contract Exrcs Trade De a Fe nG ra apad pao odd ex sala Oper Brkr Tier Trade Vol Ind gt Ind Firm Account gt Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt
63. elete User Manual 44 Give Up Payment System Edit Profit Center Once you have received a list of profit center search results on the Profit Center page you can edit profit centers gt To edit a Profit Center 1 Search for profit centers 2 From the Select Action drop down select Edit Click the profit center that will be edited Search Search Results Page 10f6 12 Rows Show All Extract select Action A Prev Goto Page 1 E Set Page Length 2 a 1 23456 let Profit Center Name F Bank Account Type Bank Account Bank ABA Code Prenote Indicator F HSE CHECKING 11111 0023353222 PCTR2 CHECKING 99995850Y 659999 Profit Center Name F Bank Account Type Bank Account Bank 464 Code Prenote Indicator k 4 Make any necessary changes to the following e Profit Center Name e Account Type e Account Number e ABA Code 5 To update a Profit Center select the action type Edit then click on the line item to update Search Profit Center Name Bank Account Type Bank Account Bank ABA Code Prenote Indicator PCTR2 CHECKING 399000001 06000999 Profit Center Name Bank Account Type Bank Account Bank ABA Code Prenote Indicator Profit Center Hame Bank Account Type Bank Account Bank ABA Code PCTR2 CHECKING 99994400Y 60009933 6 Click Apply 7 A confirmation message displays Profit Center Updated 45 User Manual Give Up Payment System Note The Prenote Indicator sig
64. ents are not included in the report For the Payment Report following criteria are required e Report Type e Perspective e Firm Month e Profit Center Month is exclusive to cash adjustment and the payment reports only as it reflects current and prior month 91 User Manual Give Up Payment System Payment History Report The Payment History report displays revenue for prior periods due to and or from other firms Note If the carrying firm perspective is used payments to third party agreements are not included in the report For the Payment History Report following criteria are required e Perspective e Firm e Payment month e Firm Status e Profit Center Account Report The Account report displays all the respective accounts that have been associated with a particular agreement For the Account Report following criteria are mandatory e Report Type e Perspective e Firm e Profit Center Message Report The message report displays all the system activities and transactions requiring review or correction For the Message report the following criteria are mandatory e Report Type e Perspective e Firm Third Party Report The Third Party report will allow executing firms to create a paper invoice for these types of transactions as GPS will not directly debit credit fees related to these types of agreements Only the Executing Firm perspective is available for Third Party reports For the Third Party report
65. equals to enter mul tiple accounts so that it works as an is in option 4 Click Search 5 Results are displayed with trade details Advanced Search Criteria The Advanced Search contains the following fields e Quadrant group of related contracts traded on a given Exchange If selected all contracts in that group will be dis played Quadrant selections by Exchange are described below CME Quadrants CBOT Quadrants NYMEX COMEX Quadrants CMEAM Auction Markets AG Agricultural AG Agricultural 49 User Manual Give Up Payment System CME Quadrants CBOT Quadrants NYMEX COMEX Quadrants AGS Agricultural FIN Financial COMMDTY Commodity INDX Index INDEX Index ENERGY Energy INT Interest Rate FIN Financial CURR Currency INDEX Index METAL Metal GREEN Green Commodity Exchange code 2 or more bytes used for Clearing The commodity list will contain the commodity codes from CME One Chicago the Chicago Futures Exchange CFE the Philadelphia Board of Trade PBT and the CBOT You may select one or multiple commodities the commodity list includes the commodity code the exchange and the commodity name If you enter the commodity code into the text box the list automatically scrolls to the commodity that most closely matches the entered text Sector The sector of a commodity AGS 01 CURR 02 EMINI 05 ETF 09 etc FUT OPT Futures FUT and or Options OPT Loc Location Open Outcry PIT and or
66. er Carry Account Carry Contact Carry Phone Executing Account __ oot cue vr 001 CME M 001 CME M Add Account List Executing Perspective CME 004 Account Profit Carry Carry Exec Status Center Account Contact Account Ho accounts are defined for this agreement Account Profit Carry Carry KET Status Center Account Contact Account Back To Agreement Search New Search Gains Exec Account Gains Exec Account 14 Click Add A confirmation message displays indicating that the new agreement has been added to the system lt 3 CME Group Give Up Payment System Agreement Maintenance Y Agreement Maint cs Profit Center a Transaction Viewerv a Payment Review v S Notifications E Reports gt Administration Y Egus Agreement 9648234112 has been added Agreement Review Details Executing CBT 001 Page 10f1 1Row Show All Extract View Agreement Show Agreement Search Form Go to Page Set Page Length SET Next E 3 Prev 1 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date 12345 o VICTOR mm 9648234112 10 01 2013 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date New Search User Manual 18 Give Up Payment System Agreement Details Attributes Field Executing Firm Agreement Reference
67. er Manual 20 Give Up Payment System To copy an agreement 1 Fromthe Select Action drop down select Copy Agreement Details Sgect Action Agreement Reference Humber Agreement Dole AZ 13 08 2009 Customer Ref A ICO Executing Contact Executing Phone 253 455 7830 Imer FCM Agreement Inter FCM Firm Bill Carry Firm indicator Tiered Agreement JE cd f4 2 The Executing firm will only need to enter the Agreement Reference Number to complete the copy transaction 3 Click Add You will receive a confirmation message indicating that the system accepted the new agreement Delete an Agreement Executing Perspective Only In the Agreement List you may delete agreements gt To delete an agreement 1 From the Select Action drop down click Delete Note You cannot delete an agreement if there are any give up trades that are associated with the agreement Search Results Page 20f2 2Rows Show All Extract View Agreement View Agreement Ares Goto Page 2 fea Set Page Length 1 View Rates View Accounts 12 Customer Hame Customer Reference Humber Executing Firm gt Agreement Reference Humber Agreement Date F JDODOA JO123 2009 03 09 Customer Hame F Customer Reference Humber Executing Firm gt Agreement Reference Humber Agreement Date F An alert message displays asking Are you sure you want to delete the current agreement 2 Click OK Agreement Maintenance View Rate
68. g firms may edit an agreement CME Group Give Up Payment System Agreement Maintenance Fri October 2 2013 08 22 AM CI Contact Us User Manual LogC reement Maint Y Profit Center Q Transaction Viewery GQ Payment Review Notifications Reports v Administration Y Egus Agreement Review Details Executing Perspective CBT 001 Page 10f38 38Rows View Agreement w Prev Go to Page Next El Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date 12 01 2005 o 20930 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Back To Agreement List Agreement Details Executing Firm Agreement Reference Number Agreement Date 2092 12 01 2005 E EGUS Reference Number Customer Ref MDY01 Executing Contact Executing Phone AMANDA 312 362 Customer Name Executing Account Tiered Agreement Y y N y Profit Center Inter FCM Agreement Inter FCM Firm Bill Carry Firm Indicator DLA Y N v Note The executing firm cannot modify the Executing Firm or the Agreement Reference Number Note The Inter FCM Agreement indicator can only be changed if there are no associated cash adjustments 2 Edit the Agreement Details Click Update 4 Click Apply Changes You will receive a confirmation message indicating that the system has accepted the change Copy an Agreement Executing Perspective Only You may make a copy of an agreement Us
69. gnated as give ups and resulted in a firm to firm transfer See the following topics on Transaction Viewer Add Trades for more information e Accessing and Adding Trades e Input Field Descriptions e Add Trades Search Accessing and Adding Trades gt To access and add trades 1 Select Transaction Viewer User Manual 60 Give Up Payment System 2 Click Add Trades 3 Click Add Executing Firm Carrying Firm El A 2009 CME Group Inc 4 Select the Executing Firm and Carrying Firm e Executing Firm e Carrying Firm This field is synonymous with opposite firm CME Group Give Up Payment System Add Trades Add Y Agreement Maint Y Profit Center Q Transaction Viewerv Payment Review v Notifications Org Carry Account optional Trade Hours sion li APS 6 c Ba A ETH D D CE G RTH L E EE S G NET anti ri i Order Number Strike Price Contract Date mm yyyy Trade Date mm dd yyyy rator Order Handling Ind CJ 5 Click Add Note These trades will not display in the View Trades section until nightly batch processing formats prices these trades with the other give up transactions Once processed they will be flagged with the trade source indicator of G to indicate from where these trades originated These trades will also be removed from the Add Trades pages once processed Input Field Descriptions Field Description Executing Account Required
70. h Adjustment report displays the adjustments made to the payment total that the executing firm will receive through the automated banking process Note If the carrying firm perspective is used cash adjustments made to third party agreements will not be included in the report For the Cash Adjustment Report the following criteria are required e Report Type e Perspective e Firm Month Texclusive to cash adjustment and the payment reports only as it reflects current and prior month User Manual 90 Give Up Payment System Cash Adjustment History Report The Cash Adjustment History Report displays cash adjustments processed up to three months prior to the current month For the Cash Adjustment History Report the following criteria are required e Report Type e Perspective e Firm e Month See the following topics for more information e Accessing Cash Adjustments e Cash Adjustment Search Criteria e Cash Adjustment Details e Cash Adjustments Generated by Tiered Rates e Cash Adjustment Executing Perspective e Add Cash Adjustments e Delete Cash Adjustments e Edit Cash Adjustments e View Accounts e View Messages 8 Notes e View Payments e Cash Adjustment Carrying Perspective e Reject Cash Adjustments e Accept Cash Adjustments e View Messages Payment Report The Payment report displays the revenue due to and or from other firms Note If the carrying firm perspective is used payments to third party agreem
71. h adjustment e Adjustment Month See Cash Adjustment Search Criteria e Carry Account See Cash Adjustment Search Criteria e Currency For all third party agreements any currency is valid For a US non third party agreement only USD is valid For a European non third party agreement USD EUR and GBP are valid e Debit Credit If Debit is selected the dollar amount displays a negative value If Credit is selected the dollar amount displays a positive value The cash adjustment works from the executing firm perspective A positive dollar amount will increase the cash flow from the carrying firm to the executing firm A negative dollar amount will decrease the cash flow to the executing firm by giving the carrying firm an increase credit amount e Adjusted Amount Dollar figure representation of the cash adjustment 9 Click Submit The cash adjustment will be added to the database Delete Cash Adjustments gt To delete a cash adjustment 1 Search for cash adjustments 2 Select Delete Adjustment from the drop down show Cash Adjustment Search Form Cash Adjustment Details Executing CME M Search Results Page 10f1 2Rows Show All Extract View Message y View Message EE Go to Page 1 co Page Length 10 Delete Adjustment Opposite Reference Adjusted runs OVERCHARGED BY 75 PER ALES 750 00 CONTRACT 2006 06 02 FODOTSTE ABC123 400 00 EEEEEEEE 2006 08 02 FOOOTSTB Opposite Reference Adjusted Pau me
72. h in the Executing Firm perspective you can change the executing account or carrying account listed for a trade gt To change an account 1 2 3 4 Select Change Account in the drop down Click the trade Update the executing account and or the carrying account Click Change Account or skip to the next step to perform a mass update 55 User Manual Give Up Payment System lt gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Y Profit Center la Transaction Viewerv A Payment Review v Notifications B Reports y EZ Administration Egus Show Form Show Search Criteria Show Metrics Search Results Page 10f3 23 Rows Show All Extract Change Account Go to Page 1 ee Set Page Length 10 SET 123 Status Chg Ind Err Rev Exec Opposite Carry Trade Order me Contract Exrcs Trade de Jol yes pi ma ma reg Sa ad Oper Brkr Tier Trade Vol Egus La gt ind ind Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt Ind gt al B Prev Next E 2014 01 27 2014 01 27 CME EC 2014 137370 0 350 0 35 CURR 02 LOCKEINV 2014 01 27 SILG CME AD 03 2014 0 0 89660 1 0 350 0 35 CURR 02 LOCKEINV 2014 01 27 SJMM CME AD 03 2014 00 89730 1 0350 0 35 CURR 02 LOCKEINV 13L 2014 01 27 0008 CME ED 12 2017 0 0 970600 6 0 000 0 00 INT 04 LOTT 1BL 2014 01 27 0010 CME ED 06 2018 0 0 966850 12 0 000
73. hen determining when to apply the defined rate set against the trades Note Carry Contact Carry Phone and Memo fields are also optional fields 31 User Manual Give Up Payment System 2 After you have completed defining at min the respective Carry Firm amp Carry Account click Add You may add up to five carry firms carry account combinations at a time Account Maintenance Carry Firm Profit Center Carry Account Carry Contact Carry Phone Executing Account 001 CAT TEST sz 001 CET TEST 001 CAT TEST si Ka 3 After you have completed defining at min the respective Carry Firm amp Carry Account click Add Note You may add up to five carry firm carry account combinations at a time After clicking Add you receive a confirmation message that your accounts have been added Business Rules for Adding Accounts Account Uniqueness Carry Account and Carry Firm must be unique for a particular agreement However GPS will allow for the same carry firm carry account combinations as long as the Executing Account is different Meaning a combination of Carry Firm Carry Account and Executing Account as a whole must be unique within the system in order to apply the respective rate set Executing Account If the Executing Account is populated then that account will be used in combination with the carry account as a pricing criterion Pass Thru Agreements The system will not use the Executing Account as a p
74. iewer View Trades basic advanced search will include the following fields Field Status Description Value Rejected Transactions that have been rejected by the carrying firm Blank Acts as an implied acceptance of the transactions by the carrying firm Deleted Transactions that were deleted by the executing firm this status will only exist for the day in which the trades were marked for deletion Change Indicator C Indicates an account change this will be on the new record with the newly associated account O Indicates that the record will no longer exist for calculation payment purposes X Indicates that the executing firm deleted a rejected trade D Indicates that the executing firm has marked this trade for deletion U Indicates that the rate set and or account has been rejected by the carrying firm This indicator is for nightly batch pricing to un price the transaction B Indicates that Batch Changed i e due to re pricing Blank no changes made to the transaction Error Indicator E Trades that were not priced due to a lack of either rate set or account definitions 51 User Manual Give Up Payment System Field Description Value Blank Trades were priced Reverse Indicator R indicates reversal records that were allocated or claimed in error Executing Account The account number in which the trades were executed Opposite Firm Contains the exchange CME CBOT or OCC and the 3 digit fir
75. ifications E Reports w 6 Administration Y Egus Under the Reports tab there are three options e Request Reports generate reports sorted by type e View Report Request view previous requested reports e View Batch Reports view a batch of report grouped by type Report Request Executing and Carrying firms can generate reports on the Request Reports page gt To generate a report 1 Select Reports 2 Click Request Reports Report Type Account Perspective Firm Executing O Carrying CME TEST FIRM E M Status Profit Center ACCEPTED REJECTED 2009 CME Group Inc 3 Select a Report Type in the drop down Note The displayed fields depend on the report type selected 4 Select the criteria for the report 5 Click Submit View Report Request Executing and carrying firms can view batch reports gt To view batch reports 1 Select Reports 2 Click View Batch Reports User Manual 86 Give Up Payment System Search Results Page 1 of4 18 Rows Show All Prev Goto Page 1 El Set Page Length 2 Next E 1235456789 a Trade Detail 1GP5000016 Daily 2009 04 02 Trade Detail 1GPS0000TE Daily 2009 03 31 3 Click the report A new window opens to display the report in a PDF Report Display The Report Viewer will default to showing only reports requested during the current day You can view reports requested prior to the current day
76. ill Carry Firm Indicator e Y trade associated with agreement that is billable through GPS e N trade associated with a third party agreement Bad Records Indicates Error or Reversed records Error records are records that are in an error state due to a lack of either rate set or an account definition within the system Reversal records are records submitted through GPS that reverse give ups that were allocated or claimed in error PNT Indicator Ind EFP Exchange for Physical transaction type e B Block Trade e E EFP Trade Exchange for Physical e N EFR Trade Exchange for Risk e T EFS Trade Exchange for Swap e O OPNT Old Privately Negotiated Trade e C RFC Request for Cross Trade Status Status Accepted or Rejected Account Status Status of account Accepted or Rejected Opposite Firm The 3 digit Firmid of the executing firm or carrying firm The perspective option drives whether this is the executing firm or the carrying firm For example if the perspective is Executing Firm the opposite firm will represent the carrying firm Opposite Account The perspective option drives whether this is the executing firm or the carrying firm For example if the perspective is Executing Firm the opposite account will be a carrying firm account User Manual 96
77. ion is invalid 1 Click the check box for the account 2 Select the action you wish to take Accepted or Rejected Account List Carrying Perspective CBT M Page 1 of2 13 Rows Show All Extract Go to Page Set Page Length 1234551 TESTING12 CBT M 123 22222222222 213213 123213 CBT 123333 CBT M 2 CBT M 2452346236 CBT M ASDF444 CBT EXEXE CBT MM FGFFGH FGFFGHH QWE CONT iew Message Rejection Messages for Selected Account STATUS ly SELECT ENTER A MESSAGE v STATUS ACCEPTED REJECTED 2009 CME Group Inc Note If you select Rejected then you will be prompted to enter either your own message or one of the generic messages from the drop down list before the account can be rejected If you select Accepted no message will be required 3 Click Submit Rejection Messages for Selected Account REJECTED SELECTIENTER MESSAGE ACCOUNT IE MOT ACCURATE Submit Refrezh List BILL CUSTOMER DIRECT RATE IS IN ERROR TOTAL FEES ARE INCORRECT The Account Status field updates to R for a rejection status or the R is removed if the account has been accepted back 10 Agreemen IS Account List Carrying Perspective CBT Page 10f2 13 Rows Show All Extract E Prev Go to Page Set Page Length 12 A t Carry Carry Carry Carry Carry Status Firm Profit Center A tb Contact Phone 44000 1 TEST CBT mm
78. ise the calculator sets the error code to E error and zeroes out the price fields 2 Intraday Processing takes place three times during the day Nightly Batch Processing 1 Nightly batch will delete any trades whose Change Indicator code D O or X 2 Nightly batch processing will also delete reversal records after they have been made available to the firms to view for one day only 3 Ifthe Change Indicator U or C the nightly calculator will attempt to re price and set the change indicator to B Batch If re pricing is successful the calculator will set the error code to blank as well as fill in the respective pri cing fields Otherwise the calculator sets the error code to E error and zeroes out the price fields 4 Final Month End Processing e On business day 15 all approved trades for the month get closed e Trades in error or rejected as a trade or as part of a payment rejection are carried over for one month If still in an error state after a month these trades will be deleted Transaction Viewer Add Trades Executing firms may manually enter trades that were not captured via ACS Allocated Claim System For example the following trades are examples of trades that may not be captured e CMTA Clearing Member Transfer Agreement give up trades that are passed to the carrying firm via a paper order ticket e Trades cleared in error which were not correctly desi
79. ith rejected accounts and or rate sets are carried over to the next month This means that if they are corrected after the month is closed their impact will be reflected in the new month s payment file as the old month is closed User Manual 40 Give Up Payment System Profit Center Profit Center allows you to segregate payments by account codes Banking by Profit Center is an optional field If populated in the Agreement Maintenance screen it will be utilized when applying debits credits Profit Center allows you to add and change profit center data such as banking and routing number information The Profit Center identifier is 4 to 10 digits and contains banking information for a firm i e bank account number routing number The Profit Center page only displays forthose users who have administrative permissions An office manager must send an email to Clearing Services to grant access to the Profit Center To access the Profit Center page click Profit Center in the menu bar CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Y Profit Center A Transaction Viewery G Payment Review v Notifications E Reports v Administration v Y Egus Other attributes of Profit Center e Online security access may be restricted by Profit Center e An Executing Firm can have multiple Profit Centers created for receiving payments e A Carrying Firm can have multiple Profit Centers created for sending payments
80. ive on the first calendar day of the month and expire on the last calendar day of a month For non tiered agreements the effective date must be equal to or greater than the agreement date Each agreement can have multiple rate sets defined by effective date There are two types of rate sets e General Rates used to default rates for futures and options e Specific Rates used to set individual rates for futures and options by commodity code and exchange Rate Details You may perform the following tasks for rate details on the Rate Maintenance page e Add Rate Details Executing Perspective Only e Edit Rate Details Executing Perspective Only e Delete Rate Details Executing Perspective Only Add Rate Details Executing Perspective Only User Manual 22 Give Up Payment System To add rate details 1 Click Add 2 Add details for the rate set Rate Maintenance Date Range 03 29 2009 to 12 31 9999 v Rate Type Exchange Quadrant Sector Commodity El Rank Trade Hours SPR PNT SES APS CUR Future Rate 0 0 Add Rate Details Field Descriptions Field Rate Type Exchange Commodity Future Rate Option Rate Order Handling Indicator 23 User Manual Description Valid Entry General used to set default rate for futures 4 options Specific used to set individual rates for futures and options by commodity code and exchange Sequence in which the rate is calculated Spe
81. justment report displays the adjustments made to the payment total that the executing firm will receive through the automated banking process Note If the carrying firm perspective is used cash adjustments made to third party agreements will not be included in the report For the Cash Adjustment Report the following criteria are required e Report Type e Perspective e Firm Month Cash Adjustment History Report The Cash Adjustment History Report displays cash adjustments processed up to three months prior to the current month For the Cash Adjustment History Report the following criteria are required e Report Type e Perspective e Firm e Month See the following topics for more information Accessing Cash Adjustments e Cash Adjustment Search Criteria e Cash Adjustment Details e Cash Adjustments Generated by Tiered Rates e Cash Adjustment Executing Perspective e Add Cash Adjustments e Delete Cash Adjustments Texclusive to cash adjustment and the payment reports only as it reflects current and prior month User Manual 72 Give Up Payment System e Edit Cash Adjustments e View Accounts e View Messages 4 Notes e View Payments e Cash Adjustment Carrying Perspective e Reject Cash Adjustments e Accept Cash Adjustments e View Messages Accessing Cash Adjustments gt To access the Cash Adjustment page 1 Select Payment Review 2 Select Cash Adjustments Cash Adjustment Search Criteria The ca
82. k Edit 33 User Manual CME Group Give Up Payment System Account Maintenance Give Up Payment System a anne int mo tm aa Contact Us User Manual Log Out B Reports EF Administration y Y Profit Center Y Agreement Maint IA Transaction Viewery Q Payment Review gt Notifications Agreement Review Details Executing Perspective CBT Go to Ke Go Prev H 1234 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date pa CBT o eo Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Account Maintenance Carry Firm o CBT CBT CBT CBT CBT Account List Executing Perspective CBT Go to Page El Set Page Length SET amp Prev Page 10f4 4Rows View Agreement v Next E 09 25 2006 Add Page 10f2 17 Rows Show All Extract Next E 1234551 TESTING12 Account Carry Profit Carry Carry Carry Exec gt AA Phone Account pue age CBT CBT CBT CBT CBT 44000 44000 44000 44000 123 1231 123333 2 213213 123213 CBT CBT CBT EXEXE CBT FGFFGH FGFFGHH CG lON EN lEN Account Carry Profit Carry Carry Carry Exec gt a O a BANA Fi Account RAIN lt gt CME Group Give Up Payment System Account Maintenance Back To Agreement Search New New Search h ue anse aint me Co
83. like to search To deselect this search criterion hold down the CTRL key on your keyboard and click on the item s that you would like to deselect by removing the highlighting from each item that was previously selected Note If no specific criterion is selected in these fields then the search will include both items For controls that look like the following e f no specific criteria are entered in these fields the search will include all items e To narrow your search criteria for these fields first select the method you would like to use to specify your criteria using the drop down arrow e Any allows you to search for all items and is the default selection e Begins With allows you to enter the first few numbers and or letters of the item s on which you want to search e Contains allows you to enter a string of numbers and or letters and search for all items that contain that string e Ends With allows you to enter the last few number and or letters of the item s on which you want to search e Equals allows you to enter the exact item for which you want to search you can also use equals to enter mul tiple accounts so that it works as an is in option 11 User Manual Give Up Payment System Note You are only able to use one search method per field for example you cannot select both Begins With and Equals For all selections other than Any type in the item you want to search for in the b
84. m id of the firm to whom the trade was given up Carrying Account Contains the account number to which the trade was given up to Trade Date The date the trade was executed Order Number Also known as the executing firm s card or order number Commodity The exchange code two or more bytes used for Clearing The detail will provide the exchange CME CBOT or OCC and the commodity code within a single field Contract Date The contract s month and year in the following format MM YYYY Exercise Price Options Only The price at which the option buyer may purchase or sell the underlying futures contract upon exercise Trade Price The price at which the trade was executed Put Call Blank Future PG C Call Spread D Differential Spreads L Legged Spreads S or 6 Spread Blank PIT Trade PNT B Block Trade E EFP Trade Exchange for Physical N EFR Trade Exchange for Risk T EFS Trade Exchange for Swap O OPNT Old Privately Negotiated Trade C RFC Request for Cross Note RFC s are handled as a PNT for GPS pricing purposes only Session D Day E Evening G GLOBEX APS Indicator A Average Price System trade G or Blank Give Up Trade User Manual 52 Give Up Payment System Field Order Handling Indicator Buy Sell Indicator Quantity Rate Fees Quadrant Sector Trade Hours 53 User Manual Description Value Current definitions as defined by the FIA A Phone si
85. match accounts but not the rate criteria A maximum of 5 rate tiers will be allowed per agreement All tiers will have the same rate criteria Tiered rate sets will be effective the first day of the month and expire on the last day of the month selected Editing rates can only be done when the rate set effective date is in the current or a future month to change a rate set that was effective in a prior month you must first expire the current rate set and then create a new one Tiered rates will be calculated at the base default rate and GPS will automatically generate cash adjustments in the amount of the discount during nightly processing Define accounts within agreements User Manual 38 Give Up Payment System Accounts may or may not be defined within an agreement An account must have a carry account value The carry account must be unique within an agreement You cannot add accounts to an Inter FCM agreement You can add accounts to other non Inter FCM agreements con taining the Inter FCM executing carry firm combination The Inter FCM agreement only acts as a default when there is no exact match on other agreements Entering data into the profit center field is optional but if populated both on an agreement and account level the account level will take precedence The executing account can also remain blank i e any executing account will match as a default Executing Account if populated will be utilized as a pri
86. ment Search Executing firms can find view edit copy and add agreements while Carrying firms can only find and view agreement information 13 User Manual Perspective Exchange Firm Executing Firm Cc Carrying Firm foe Agreement Reference Humber Customer Hame Customer Reference Humber Any any Add El dd E 4 Delete Delete 4 Carry Account GAINS Exec Account Any T Any del E dd E lete 4 Delete 4 Add El Delete 4 Exec Account Profit Center Any Add El Delete 4 gt To perform an Agreement Search 1 Select Executing Firm or Carrying Firm under Perspective 2 Select the firm you would like to review Input the 3 digit firm id into the text box or make a selection in the drop down list You can only access those firms for whom you have permission 3 Click Search Additional Search Criteria Use the additional search criteria listed below to narrow your agreement search Field Description Valid Entry Agreement Unique alphanumeric identifier for See Search Parameters below Reference Number each agreement within the executing firm that identifies all the accounts and rates that are associated with that agreement Customer Name Customer s name on the Agreement Customer Assigned by the executing firm Reference Number Carry Account Provides the ability to view agreements that contain the Give Up Payment System User Manual 14 Give Up Payment S
87. mple B Phone complex C FCM provided screen D Other provided screen E Client provided platform controlled by FCM F Client provided platform direct to exchange G FCM API or FIX H Algo Engine J price at Execution price added at Initial order entry trading middle office or time of give up W Desk Electronic X Desk Pit Y Client Electronic Z Client Pit B or 1 Buy S or 2 Sell The number of contracts bought or sold The trade s rate which is based on the agreement s account definition The fee amount to be paid for this trade Automatically calculated by the Nightly Batch Process by multiplying the rate times the number of contracts A group of similar or related products on a given exchange Valid quadrants are CME CBOT NYMEX COMEX INT AG ENERGY METAL INDX INDEX AG AG AGS FIN GREEN ENERGY CURR FIN FIN INDEX INDEX METAL Commodity grouping assigned by Clearing for example AGS 01 EMINI 05 CURR 02 etc R RTH Regular Trading Hours for Open Outcry Pit Trading Give Up Payment System Field Description Value E ETH Electronic Trading Hours for CME Globex Operator ID Also known as the Tag 50 used for the CME Globex trading platform to identify the individual or trading group executing the trade Broker Symbol Three character symbol assigned to broker Tier Ind Y Yes rates are tiered N No rates are not tiered Egus Ind Y is from an Egus agreement
88. n Messages for Above Selected Transactions SELECTIENTER A MESSAGE E View Messages Carrying firms can view messages to see why cash adjustments were rejected gt To view messages 1 Search for cash adjustments 2 Click the check box for the rejected cash adjustment 3 Click View Messages Note You may only view one message at a time show Cash Adjustment Search Form Cash Adjustment Details Carrying CME Search Results Page 1of1 1 Rows Show All Extract prev Goto Page 1 EJ Set Page Length 10 SET Net E ae All Opposite Reference Adjusted Camence les b Adjustment Tier Firm bk Hbr Amount k y P Date Indicator k 480123 5 000 00 ADJUSTMENT 2009 04 20 Opposite Reference Adjusted Aguste Tier Mew Search Rejection Messages for Above Selected Transactions view User Info Mag Hote Rejected By Rejection Message Message FOOOTSTD TOTAL FEES ARE INCORRECT 04 20 2009 4 Toview the user information Rejected By click View User Info Msg Hote Rejected By Rejection Message Message FOOOTST TOTAL FEES ARE INCORRECT 04 20 2009 Rejection Messages for Above Selected Transactions Hide User Info Cash Adjustment Rejection Message From FO000TSTD TRAIN D 5 Toreturn the search screen select New Search 81 User Manual Give Up Payment System Notifications Executing and carrying firms can perform the following tasks related to notifications e Search e
89. n Tier Mess Search 3 Click the cash adjustment User Manual 76 Give Up Payment System pop up message displays 4 Click OK The cash adjustment is immediately deleted and the page refreshes Edit Cash Adjustments gt To edit a cash adjustment 1 Search for cash adjustments 2 Select Edit Adjustment in the drop down show Cash Adjustment Search Form Cash Adjustment Details Executing CME Page dofi 2Rows Show All Extract Eat Adjustment Search Results View Message SET Delete Adjustment Goto Page 1 EJ Set Page Length 10 BPrev 4 Edit Adjustment View Accounts csata a Lasanen a PPOsite lunes Reference Adjusted mainan Adjustment GE 3 Click the cash adjustment 4 Edit the necessary fields e Debit Credit e Debit The dollar amount displays a negative value e Credit The dollar amount displays a positive value e Adjusted Amount The value of the cash adjustment in USD only e Description The reason the cash adjustment was necessary 5 Click Submit The cash adjustment is immediately updated View Accounts Executing firms can view accounts to see how the account was defined within the underlying agreement gt To view accounts 1 Search for cash adjustments 2 Select View Account in the drop down Show Cash Adjustment Search Form Cash Adjustment Details Executne Page 10f1 3Rows Show Al Extract View Message W S
90. nals a change has been made to the bank account information User Manual 46 Give Up Payment System Transaction Viewer lt gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint icq Profit Center Q Transaction Viewery A Payment Review v Notifications E Reports v Administration Y Egus The Transaction Viewer tab contains three options e View Trades e Add Trades e Search for and Create Trade Rules Transaction Viewer View Trades lt gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Es Profit Center A Transaction Viewery A Payment Review v 3 Notifications E Reports y Administration Y Egus gt To access the Transaction Viewer window 1 Select Transaction Viewer option from the menu bar 2 When you select the Transaction Viewer menu option you will see three sub menu options e View Trades Select this option to view trades for the current and prior month e Add Trades Select this option to enter trades e Trade Rules Select this option to search for existing relationships or to create new relationships Basic Search You can search for transactions from the Transaction Viewer tab Note If a specific criterion is not selected when multiple criteria are available the search will return results for all of the listed criteria For example if no selection is made under Status transactions with Accepted and Rejected
91. ne of the following e A Average Price Trade e G Give up Trade PNT Indicator Select B Block Trade O OPNT E EFP Trade N EFR Trade C RFCor T EFS Trade Accessing Trade Rules To access the trade rules window 1 Select the Transaction Viewer option from the menu bar 2 Select Trade Rules from the sub menu 3 When the window below appears click Add Executing Firm Carrying Firm FUTURES none Apply Executing Account Carrying Account Any Deleting Trade Rules You can delete trade rules on the Trade Rules page gt To delete a trade rule From the Trade Rules Detail search 1 Select Delete Rule in the drop down Search Results Page 2 of 4 4Rows Show All Extract SelectAction Select Action prev Go to Page Set Page Length SET Edit Rule E Delete Rule 12 34 Executing Carrying Commodity Commodity B S Spr FIO APS PNT Carry Account Carry Account Exec Account Exec Account Firm Firm Exch d Ind gt Ind Ind Before After Before After O o LA 8000 99999 Executing Carrying Commodity Commodity B S Spr FIO APS PNT Carry Account Carry Account Exec Account Exec Account Firm Firm Exch Ind d Ind Ind Before After Before After 65 User Manual Give Up Payment System 2 Click the trade rule Windows Internet Explorer 2 Are vou sure you want to delete the highlighted trade rule 3 Click OK User Manual 66 Give Up Pa
92. nt Inter FCM Firm Bill Carry Firm Indicator Tiered Agreement N y Y N Back To Agreement Search New Search Note Firms may only backdate an agreement up to 3 months Enter the Agreement Details Click Add The system displays a confirmation message Continue to add rates to the agreement Select View Rates from the drop down list Click on the agreement Enter the Agreement Details Click Add A confirmation message displays indicating that the new agreement has been added to the system User Manual 16 Give Up Payment System Agreement CM1234 has been added Show Agreement Search Form Agreement Details Agreement Reference Humber Ch 234 Executing Contact Mary Snow Inter FCM Firm x 9 Click Continue to Rates 10 Click Create to add a new rate set Date Range for the rates 123 Customer Reference Number Executing Firm eb Customer Reference Number Executing Firm Rate Maintenance Date Range LM Rate Detail List Executing Perspective CME RATE FUTURE OPTION SE TYPE RANK RATE RATE ara QUAD Sector No Rates defined for this agreement RATE FUTURE OPTION TYPE RAIE RATE RATE se AAD 11 Enter the Effective Date and Expiration Date Rate Maintenance Date Range E Effective Date Expiration Date 07 23 2010 1231 0099 Rate Type E SA E GENERAL M l Trade Hours SPR PHT SES Y Future Rate Option Rate 0 0 0 0 Rate Detail List Execu
93. ntact Us User Manual Log Out CY Profit Center Y Agreement Maint Ja Transaction Viewers A Payment Review v o Notifications B Reports X EZ Administration v Y Egus Agreement Review Details Executing Perspective CBT Prev Go to ipo Page 1 0f4 4Rows View Agreement v Next E 1234 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date m de CBT 09 25 2006 Customer Name Customer Reference Number Executing Firm Agreement Reference Number Agreement Date Account Maintenance Carry Firm CBT CBT CBT CBT CBT v Account List Executing Perspective CBT 001 Prev Go to Page Ka on Page Length Profit Carry Center gt Account gt a y 213213 ASDF444 EXEXE FGFFGH FGFFGHH Carry Carry Exec Contact Phone Account Add Page 1 of2 17 Rows Show All Extract Next Account Memo 1234551 TESTING12 123213 Profit Carry Carry Carry Exec gt ma anas wear Back To Agreement Search New Search The Edit Account screen that displays all the associated fields used to add an account now appears in Edit mode 3 Make the required modification and click Submit You will receive a confirmation message that the item has been updated User Manual 34 Give Up Payment System 3 CME Group Give Up Payment System Account Maintenance Tue March 11 2014 03 10 PM COT Contact Us
94. o the Give Up Payment application by enteringhttps gps cmegroup com in the address bar 2 Enter your SMART Click User ID and Password then click Login 3 CME Group Give Up Payment System Use your CME Group SMART Click credentials to sign in By logging in you agree to the User License Agreement User ID x ET Need to register Password forgot my password forgot my user ID Contact us If successful the Home Page appears From the common navigation menu users can select other select other SMART Click integrated applications amp CME Group Portfolio amp Risk v Post Trade v Regulatory v My Profile Give Up Payment System S CME Group Give Up Payment System Whats New The list below illustrates the updates made to the Give Up Payment System Help system Date Author Topic Description ALAS mr Getting Started login instructions updated for SMART Click integration 5 22 1115 Getting Started application url updated 10 15 14 Added Feedback feature 5 14 14 Comprehensive update to Help system 5 9 12 Initial release of Help system 9 User Manual Give Up Payment System Requesting Access to Give Up Payment System GPS Access to GPS is granted through written request from an officer of the clearing member firm In addition users must have a SMART Click profile to associate with their GPS account gt To request access to the Give Up Payment Sytem 1 Download the Member Firm On Line System
95. of the lock period then those transactions will be re priced Executing Firm Lock Period An executing firm is not allowed to change an account s carry executing account combination during the lock period An executing firm is prevented from deleting an account during the lock period An executing firm cannot change anything on an agreement s account or an agreement s profit center field during the lock period but they can change an agreement s contact name or other indicative fields If an executing firm maintains a rate or a rate set during the lock period then the trades for payment month are not re priced Only trades for the non payment month will be affected If an executing firm adds an account during the lock period then the trades for payment month are not re priced Only trades for the non payment month will be affected An executing firm can delete undelete trades during the lock out period Other Miscellaneous Logic If an executing firm deletes an account any trade associated with that account is disconnected from that agreement and reconnected to the appropriate agreement in batch processing or left in an error state on a nightly basis when outside the lock period Every night even during the lock period the payment rows are recalculated Once the month is closed that month s approved final priced trades are locked from subsequent maintenance 39 User Manual Give Up Payment System e Trades associated w
96. ox below the drop down menu click the Add hyperlink to add that item to your search list Note You must select the Add hyperlink in order for your search to execute properly If you do not you will receive an error message e Todelete an item from the search list click to highlight that item in your search list box and click the Delete hyperlink User Manual 12 Give Up Payment System Agreement Maintenance Clearing Member Firms negotiate agreements with customers who provide execution services The agreement covers several accounts held by the customer These accounts may be distributed among several different carrying firms Rates are defined by the agreement You can perform the following tasks from the Agreement Maintenance page e View Agreements e View Rates e View Accounts e 2 Viel Tag CME Group Give Up Payment System Home Page AT 09 50 AM CDT ACME Chicago Board of Trade NYMEX Company Contact Us Help Log Out EY Agreement Maint Le Profit Center A Transaction Viewer A Payment Review C3 Notifications E Reports Administration e j Pol i Batan i L a Agreement Maintenance View Agreements You can perform the following tasks from the Agreement Maintenance page when View Agreements is selected in the drop down e Agreement Search e Agreement List e Add an Agreement e Edit an Agreement e Copy an Agreement e Delete an Agreement Agree
97. p down e Opposite Firm 3 digit Firmld The perspective option determines whether this will be the executing firm or the car rying firm For example if your perspective is executing your opposite firm will be the carrying side 67 User Manual Give Up Payment System e Payment Month Current calendar month or the previous calendar month e Summarized by Select one of the following o Account Summarized by Carrying Account Displays month opposite firm carrying account total contracts profit center unadjusted give up revenue cash adjusted detail disputed and total due o Detail No Summary Records Default Summarized by Displays status month opposite firm accounts agree ment reference number third party total contracts profit center unadjusted give up revenue cash adjusted detail disputed and total due Note Carrying Firms can only perform rejections reacceptances at the detail level o Firm Summarized by executing account and opposite firm Displays month profit center opposite firm total contracts unadjusted give up revenue cash adjusted detail disputed total due o Pay Collect Shows grand total due Displays month opposite firm total contracts unadjusted give up revenue cash adjusted detail disputed and total due e Carry Account Carrying firm account number that could be in conjunction with the executing account that has gen erated give up fees or cash adjustments during the payment
98. pective CBT Page 10f17 17 Rows View Agreement Next E Account Maintenance Carry Firm _ i Executing Account 001 CBT w 001 CBT 001 CBT w 001 CBT 001 CBT Account List Executing Perspective CBT 001 Page 1 of 1 1 Row Show All Extract Next E Note If you need to change the account FCM you must first update the Inter FCM Agreement to Y on the Agreement Details Screen Add Accounts Executing Perspective Only 1 To add an account the Executing firm must first define the Carrying Firm and the associated Carrying Firm Account numbers as they are defined by their Give Up Agreement Profit Center is an optional field but can be used to segregate your accounts Profit Center will be the executing firm s profit center s and the information will be pre populated in the add screen Therefore if there are no profit centers in the drop down list they will need to be defined in the profit center screen if you have access to view this screen Note By adding profit center you will have more than one payment record So within the payment screen your payments will be segregated by profit center if this option is selected Also by adding profit center at the account level it will take precedence over a profit center added at the Agreement level The Executing Account field is optional but if you populate Executing Account GPS will utilize that field in combination with carry account w
99. posite account will be a carrying account Bad Records Indicates Error or Reversed records Error records are records that are in an error state due to a lack of either rate set or an account definition within the system Reversal records are records submitted through GPS that reverses give ups that were allocated or claimed in error Agreement Reference Number Indicates that the trade is associated with a specific agreement or agreements Order Handling Ind Indicates that the trades have the order handling indicator Viewing or Modifying Search Criteria gt To view the search criteria you have selected i 3 Additi Click the Show Transaction Viewer hyperlink at the top of the page above the Transaction Details result set The search form will then be displayed above the search data and you can view the criteria you have selected You can also modify the search criteria and then click Search to execute the search and obtain new data based on the modified criteria To re hide the search form select the Hide hyperlink onal Features gt To clear all search criteria that you have selected 1 2 2 Trad Click Clear at the bottom of the search form To switch back to the Basic Search form click Basic at the bottom of the search form Once you have defined all of the search criteria click Search to execute the search and retrieve the data e Detail Field Descriptions The search results from the Transaction V
100. rades associated with the agreement with the updated rate set will be flagged to recalculated Rate Maintenance Date Range 03 15 2005 to 12 31 9999 Back To Ratez Effective Date Expiration Date 03 15 2009 12 31 9999 Apply Changes Rate Sequence e GPS has amechanism for applying rates e Toensure accuracy of the rates applied GPS will let the end user dictate the rate calculation hierarchy with the input field labeled Rank e This rate hierarchy is provided by effective date from the most specific to the most general when calculating fees GPS calculates fees from the rates displayed on the specific rate list screen and searches backward to the top of the General rates list screen User Manual 28 Give Up Payment System e Rank works by the higher the rank number the first to be calculated There will be two ranking lists one for Specific and the other for General rates Agreement Maintenance View Accounts You can perform the following tasks from the Agreement Maintenance page when View Accounts is selected in the drop down e View Accounts e Inter FCM Agreement e Add Accounts e Business Rules for Adding Accounts e Account List e Edit Account e Transfer Account e Delete Account e View Messages from the Executing Perspective e Accept Reject Account e View Messages from the Carrying Firm Perspective e Agreement Business Logic View Accounts After executing an agreement search
101. ricing criterion on pass through agreements This is the only time the Executing field will be used as an informational read only field Account List Executing and Carrying Perspective e All added accounts appear in the Account List section e Inthis section Executing Firms can edit delete or transfer an account to another agreement or view messages on rejections e Carrying Firms can either reject or re accept an account s within the account list e The Account Status field displays an R if the account has been rejected All rejections in GPS contain a message CME G roUpP Give Up Payment System Account Maintenance Y Agreement Maint Y Profit Center Q Transaction Viewery Q Payment Review 3 Notifications B Reports y EZ Administration y Y Egus Agreement Review Details Carrying Perspective CBT 3 Prev Customer Name Customer Name Account List Carrying Perspective CBT M Page 10f2 14 Rows Show All Extract Go to Page Set Page Length Next El 12 Carry Carry Carry Exec AE AREY Phone A t gt A coan EMemo Carry Contact 44000 1 TEST 1234551 TESTING12 123 22222222222 1231 123333 2 2452346236 ASDF444 213213 123213 EXEXE FGFFGH User Manual 32 Give Up Payment System Account List Column Descriptions Column Account Status Carry Firm Profit Center Carry Account Carry Contact Carry Phone
102. s You can perform the following tasks from the Agreement Maintenance page when View Rates is selected in the drop down e View Rates e Rate Details e Accept Reject Rate Set e Rate Sets e Rate Sequence 21 User Manual Give Up Payment System View Rates From the Agreement List you may view rates for an agreement Executing Firms can view copy delete edit create or add rate sets Carrying Firms can view and reject accept rates sets gt To view rates 1 Select View Rates in the drop down S CME Group Give Up Payment System Agreement Maintenance iew gt Notifications E Reports 2 Click an agreement Tiered Rates A rate set must be established for each agreement There are two types of rates Tiered and Non Tiered Tiered rates are established at the agreement level Once an agreement is determined to establish a tiered rate structure it cannot be changed to a non tiered structure and vice versa A tiered rate structure enables you to link give up rates to volume For instance a firm might want to tier the rates it will pay offering a lower rate for larger volume as in the following example Volume Rate 1 99 contracts 1 50 contract 100 499 contracts 1 25 contract 900 2999 contracts 1 20 contract 3000 10000 contracts 1 10 contract 10000 contracts 1 00 contract When creating a tiered rate set you can add up to five levels of rates Tiered rates become effect
103. s the firms to set rates at the exchange commodity and session level for give up trades those trades where one firm executes the trade and another clears it The system will calculate pay collect amounts and net everything at the end of the month for collection payment GPS provides the following features e Web based and accessible via the CME Group portal https gps cmegroup com e Tiered Rates entry e Creation of daily and monthly ad hoc reports e Ability to search and view rates e Payment adjustment e Ability to delete and undelete trades dE CME Group Give Up Payment System Home Page ur te 03 16 PM CDT ACME Chicago Board of Trade NYMEX Company Contact Us Help Log Out EY Agreement Maint EY Profit Center CA Transaction Viewer Payment Review 7 E Notifications El Reports Le Administration Messages For Help With The Give Up Payment System Please Contact CME Clearing Services at 5121 207 2525 System availability Business hours Midnight until 7 Ph Central Standard Time Hew GPS Features e OF27 2009 Effective Monday April 27th 2009 the GPS application screens will be rebranded and have a new look and feel Please note there will be no change to current GPS functionality This release iz intended to ensure that user experience iz consistent across all CME Group applications resulting in improved usability readability and learnability Mote that all Infopac Document Direct reports will be available within GPS in
104. sh adjustment search criteria are shown below Search Criteria Perspective Executing Firm or Carrying Firm perspective Exchange Firm See Payment Search Criteria Opposite Firm See Payment Search Criteria Adjustment Month Current calendar month or previous calendar month Carry Account See Payment Search Criteria Executing Account See Payment Search Criteria Status See Payment Search Criteria Viewing or Modifying Search Criteria After performing a search for cash adjustments you can view and modify the search criteria gt To view modify the search criteria 1 Click Show Cash Adjustment Search Form above the result set 73 User Manual Give Up Payment System show Cash Adjustment Search Form Cash Adjustment Details Executing CB Search Results The search form displays above the search data 2 Modify the search criteria 3 Click Search Cash Adjustment Details After searching for cash adjustments the cash adjustment details below are displayed Show Cash Adjustment Search Form Cash Adjustment Details Executing CBT M Search Results Page 1 of1 1Rows Show All Extract view Message y Prev Go to Page 1 60 Pa Page Length 10 Next E Opposite Reference Adjusted Cimen P IA Adjustment Tier Al Firm Hbr gt Amount p Date indicator ABC123 950 00 aka An T 2006 08 02 FOOOTSTC Opposite Reference Adjusted Citen RFA RSS a Tier Firm Hbr gt
105. statuses will be returned lt 3 CME Group Give Up Payment Systonf Transaction viewer Y Agreement Maint LY Profit Center A Transaction Viewerv R Payment Review v 3 Notifications E Reports Perspective 9 Executing Firm Carrying Firm y Y Trade Date mm dd yyyy Status Payment Status ACCEPTED ACCEPTED From 7 A 1 Equal X rom 02 07 2014 E o REJECTED REJECTED C Process Date mm dd yyyy Display Options Equals v From 02 07 2014 E To E Show Criteria 2009 CME Group Inc gt To perform a basic search 1 Select Transaction Viewer 2 Click View Trades 47 User Manual 3 Provide the necessary Basic Search Criteria Click Search or proceed to the advanced search lt gt CME Group Give Up Payment System Transaction Viewer Y Agreemen t Maint Show Form REJECTED REJECTED REJECTED Y Profit Center Q Transaction Viewery A Payment Review v Notifications E Reports U 2009 07 01 400 2009 07 01 CA1005 2009 07 01 CA0002 2009 07 01 2009 07 01 Results are shown with trade details Basic Search Criteria Perspective Exchange Firm Trade Date Process Date Status Currency Show Criteria 1234 3100 0000 Give Up Payment System q User Manual Log Out v EZ Administration Y Egus Go to Page 1 08 2009 09 2009 09 2009 09 2009 Page 10f1 5Rows Show All Extract Select Action X Set Page
106. stead of Document Direct For the fulltext of this advisory click here 0540 2009 Starting March 10th 2009 the new GPS screens will be available for review under the Parallel GPS test version accessible through the CME certification portal at connectcert cme com 01 02 2009 2009 GPS End of Cycle Banking Calendar updated 2009 GPS End of Cycle Banking Calendar Banking Schedule GPS Contact List Contact List GPS Change Code Reference Guide Change Codes The Give Up Payment System Home Page is important to view as CME Group will utilize this screen to communicate messages to the Users Information on this page is subject to change but will display such items as Banking Schedule Recent Enhancements Contact Information System Availability and Change Code Listing See the following Client Systems Wiki page for CME Clearing Services contact information http www cmegroup com confluence display EPICSANDBOX Contact Information C ontactInformation ClearingServices User Manual 8 Give Up Payment System Log In to Give Up Payment System CME Account Manager uses SMART Click to manage application authentication SMART Click is a self managed centralized user profile service that authenticates access to CME Group applications and services Prior to logging into CME Account Manager users should ensure the SMART Click registration procedures are completed gt To log in to CME Group Connect 1 Using a web browser navigate t
107. ter CBT CBT CBT CBT CBT w Add Account List Executing Perspective CBT 001 Page 1 of2 17 Rows Show All Extract Prev Go to Page a Set Page Length Next El Account Profit Carry Carry Carry Exec Mc A emg sn d 1234551 TESTING12 213213 123213 EXEXE FGFFGH FGFFGHH Account Carry Profit Carry Carry Carry Exec gt gt E Phone Account Account Memo ransfer Accounts Delet View Message Back To Agreement Search New Search AMAIA gt To transfer an account to another Agreement 1 Click the check box and select an Agreement Reference number from the drop down list 2 Click Transfer Accounts A confirmation message will display 1 Accountjs have been transfered to agreement 123456 Delete Account Executing Perspective Only gt To delete an account 1 Click on the check box next to the line item you wish to delete 2 Click Delete 35 User Manual Give Up Payment System 3 CME Group Give Up Payment System Account Maintenance E Agreement Maint E Profit Center la Transaction Viewer Payment Review JS Notifications E Reports E Administration Agreement Review Details Executing Perspective CBT Carry Account 4 4 X Account List Executing Perspective CBT 001 Page 1 of2 16Rows Show Al Extract Prev Go to Page ra nath SET Next El 1234551 TESTING12 123 213213 123213
108. teria are required e Report Type e Perspective e Firm Report Search Criteria The search criteria below are available for Trade Detail Report searches Basic Search Criteria Description Report Type Type of report Perspective Executing Firm or Carrying Firm Exchange Firm All of the firms for CME Group CBOT and OCC that you have authority to view Input the 3 digit firm id into the text box or make a selection in the drop down Trade Date The date the transaction took place User Manual 94 Give Up Payment System e Equals Specifies one trading day e Month to Date Automatically sets the beginning date to the first day of the current month and the end date to the cur rent day e Between Specify the beginning and end dates for a date range e Note Only 2 months of data can be viewed at a time e Last Month Automatically sets the beginning and end dates to the first and last days of the previous month e Two Months Ago Automatically sets the beginning and end dates to 2 months prior to the current month e Three Months Ago Automatically sets the beginning and end dates to 3 months prior to the current month Profit Center Predefined account code for the profit center Process Date The date last processed Payment Month The month the trade was paid Firm Status If selected test firms are included in the resulting report Applies to Payment History and Account Reports only Advanced Sear
109. ting Perspective CME 004 RATE FUTURE OPTION TYPE Heng RATE RATE ze PUEL CEE Agreement Reference Number Agreement Reference Number Back To Agreement Search Agreement Date 03 09 2009 Customer Ref 12345 Executing Phone 000 000 0000 Wew Search Continue wa To Rates Page 2 0f3 3Rows View Agreement M Next El Agreement Date 07 23 2010 Agreement Date nent List comm PNT rs Vol Quote Vol Quote Continue To Accounts Back To Rates Commodity APS CUR RATE Le OPTION cect Ho Rates defined for this agreement Back To Agreement Search 17 User Manual Give Up Payment System To add another rate with the same date range click Add A confirmation message displays indicating that the new rate has been added to the system Rate has been created Hate Maintenance Date Range 07 23 2010 eo 12 31 9595 M Cony CT Fede create Aga Y Rate Detail List Executing Perspective CME Page 1 071 1 Row Show AN Extract Select Action M El Frev Go to Page EN Sel Page Length SET heni E FUTURE OF TRON BATE RATE G 10 51000 81 004 CUE uso QUAD Sector COMM SPR HAS Pol Quote FUTURE OPTION lan i RAT BATE QUAD Sector COMM EPR 12 Click Continue To Accounts 13 Enter Account Maintenance information to add accounts to the agreement Account Maintenance Carry Firm Profit Cent
110. uote gt 41011156 2014 01 27 0FG3 CME EC 03 2014 137420 SELL 0 350 0 35 CURR LOCKEINV 113L 41D11156 2014 01 27 CME EC 03 2014 0 0 137370 0 350 0 35 CURR 02 LOCKEINV 118L 41D11156 2014 01 27 CME AD 03 2014 pl 89660 0 350 0 35 CURR LOCKEINV 1BL 41011156 2014 01 27 CME AD 03 2014 x 89730 0 350 0 35 LOCKEINV 113L 53U20101 2014 01 27 CME ED 12 2017 1 970600 0 000 0 00 LOTT 113L 53U20101 2014 01 27 CME ED 12 2017 8 970600 0 000 0 00 LOTT 1BL 2014 01 27 CME ED 12 2017 970600 0 000 0 00 LOTT 113L 5320101 2014 01 27 CME ED 06 2017 975000 BUY 12 0 000 0 00 LOTT 113L 5320101 2014 01 27 0010 CME ED 06 2018 966850 BUY 12 0 000 0 00 LOTT 113L 53U20101 113L daga Ind Err Rev Exec Opposite Carry Trade Order comer Contract Exrcs Trade de pa Ha Aa ya see or os wag Oper Brkr Tier Trade Vol Ind gt Ind gt Account gt Firm gt Account gt Date gt No gt Date gt Price gt Price gt Id gt Sym gt Ind gt Source gt Quote gt B Prev Next B ZI 22 22 ze 2 EZE IZA ze G G G G G G G G mm om Om om m D 7 2 a Delete a Trade Executing Firms After performing a basic or advanced search in the executing firm perspective you can delete trades during both the lock and un lock periods gt To delete a trade 1 Select Delete Trades from the drop down User Manual 56 Give Up Payment System Basic Advanced Load Criteria Save Crite Show Search Criteria Show Metrics S
111. ve a note enter the text in the Note text box act 23 Transfer Accounts ENE Back To Agreement Search New Search Rejection Messages for Selected Account wiew User Info Mag Hote Rejected By Rejection Message Message FODOTSTO RATE IS IN ERROR 04 16 2009 Hote Update Click Update Trade Detail Executing Perspective After performing a search executing firms can perform the following actions on result sets Change Account Delete Trades Undelete Trades View Agreements View Messages View Rates 3 CME Group Give Up Payment System Transaction Viewer Tin March 19 2914 03 06 EM COT Contact Us User Manual Log Out Y Agreement Maint Show Form Y Profit Center Q Transaction Viewerr A Payment Review lG Notifications B Reports v EZ Administration Y Egus Go to Page 1 IE sa age Len SET 4 01 27 CME EC 2014 01 27 CME EC 03 2014 137370 BUY 1 0 350 0 35 USD CURR LOCKEINV 2014 01 27 CME AD 03 2014 89660 SELL 1 0 350 0 35 USD CURR LOCKEINV 2014 01 27 CME AD 03 2014 89730 1 0 350 0 35 USD CURR LOCKEINV 2014 01 27 CME ED 12 2017 1 970600 24 0 000 0 00 USD INT LOTT 2014 01 27 CME ED 12 2017 970600 6 0 000 0 00 USD INT LOTT 2014 01 27 CME ED 06 2017 t 12 0 000 0 00 USD INT 2014 01 27 CME ED 06 2018 1 12 0 000 0 00 USD INT 2014 01 27 CME ED 12 2018 SELL 3 0 000 0 00 USD INT 2014 01 27 Change an Account Executing Firms After performing a basic or advanced searc
112. xecuting firm changes any other portion of the trade row e g the carry account a copy of the trade is created by cloning the original row and placing a C in the Change Indicator column to indicate there has been an account 59 User Manual Give Up Payment System change and to notify the system to re price the transaction 2 When a change to an account happens the original rows Change Indicator column is set to O to signify that it is an old record O records once created cannot be further updated or deleted 3 If the trade is within its lock period the executing firm can t maintain the trade unless it also has been rejected by the carrying firm Trade Acceptance Rejected Carrying Firm 1 Carrying firms can reject transactions Those transactions that are rejected require a message in order for the execut ing firm to determine why the trade was rejected Rejected trades will have a trade status code of Rejected 2 Carrying firms can also accept rejected trades The only trades that can be accepted are those whose trade status code is listed as rejected Once accepted the trade status is simply reset back to blank Intraday Processing 1 Ifthe Change Indicator U or C the nightly calculator will attempt to re price and set the Change Indicator to B Batch If re pricing is successful the calculator will set the error code to blank as well as fill in the respective pri cing fields Otherw
113. yment System Payment Review Payment Review is used by executing and carrying firms to view revenue due to and from other firms Changes to trades rates accounts and cash adjustments will update payment records on a nightly basis lt gt CME Group Give Up Payment System Transaction Viewer Y Agreement Maint Y Profit Center A Transaction Viewer A Payment Review iE Notifications E Reports v Administration Y Egus You can perform the following tasks from the Payment Review tab e Payment View payments for the current and prior month e Cash Adjustment Enter adjustments Payments e Payment Search Criteria e Other Payment Details e View Modify Search Criteria e Payment Executing Perspective e Payment Carrying Perspective e Reject amp Accept Payments e View Messages Payment Search Criteria Perspective Executing Firm Carrying Firm Opposite Exchange Firm Agreement Ref Number Payment Month Summarized By Any v February 2014 Detail gt Add E Delete 4 E Include Test Firms Add El Delete 4 Executing Account Status Third Party Tier Indicator ACCEPTED YES YES REJECTED NO NO 2009 CME Group Inc The Payment screen includes the following criteria e Perspective Executing Firm or Carrying Firm perspective e Exchange Firm All of the firms for CME CBOT and OCC that you have authority to view Input the 3 digit firm id into the text box or make a selection in the dro
114. ypes e D Differential Spreads e L Legged Spreads e S Spread Trade includes legged and differential e P PIT Trade Blank Any input value will provide a match Select the PNT Indicator to set rate by the following PNT types e B Block Trade e E EFP Trade Exchange for Physical e N EFR Trade Exchange for Risk e T EFS Trade Exchange for Swap e O OPNT Old Privately Negotiated Trade e C RFC Request for Cross Note RFCs are handled as a PNT for GPS pricing purposes only Blank Rates will be applied match on a blank value only Please note that the Blank value denotes that this is not a PNT Transaction An EFP refers to a privately negotiated and simultaneous exchange of a futures position for a corresponding cash position i e a basis trade apart from the public auction market in the context of a non interest rate contract Select the Session Indicator to set rate by the following Session types e D Day e E Evening e G GLOBEX Blank Rates will apply match on any value Select the APS Indicator to set rate by the following APS types A APS Trade Average Price Trade G Give Up Trade a k a Allocated Claim System User Manual 24 Give Up Payment System Vol Quote Exchange CUR currency Trading Hours Quadrant Blank Rates will apply match on any value Select Y or N to set rate for trades volatility quoted or not CBT CHICAGO BOARD OF TRADE CCE CME CLEARING EURO
115. ystem specified carry account Account Memo This field is for informational Field purposes only Opposite Exchange View only agreements by the Enter the 3 digit firm id in the text box or make firm opposite firm a selection in the drop down list Search Parameters Any allows you to search for all items and is the default selection Begins With allows you to enter the first few numbers and or letters of the item s on which you wish to search Contains allows you to enter a string of numbers and or letters and search for all items that contain that string Ends With allows you to enter the last few number and or letters of the item s on which you wish to search Equals allows you to enter the exact item on which you want to search you can also use equals to enter multiple items so that it works as an is in option Free text Agreement List Executing and Carrying Perspective Y our result set should now contain the List of Agreements based on your specified criteria in the search form gt To view the Agreement List 1 2 3 4 Select View Agreement from the drop down Click Show All for all of the results to appear on one page or go to Set Page Length and enter the number of rows to display Show Agreement Search Form Show Metrics Search Results Page 10f1 2Rows Show All Extract MEA 4 Prev Go to Page 1 Ed Set Page Length 10 1 Customer Name Customer Reference

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