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Interface User Manual - Oracle Documentation

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1. sss 5 23 5 Accounting System Component Setup sssssssssseee nene 5 23 5 7 1 Fields in Accounting System Component Setup screen 5 24 5 8 Asset Management Import NAV Setup ssssssssssssssseeeeen enne 5 24 5 8 1 Fields in Asset Management Import NAV Setup Screen 5 25 5 8 2 Asset Management NAV Summary Screen sss 5 26 5 9 General Ledger Setup eee nne ete detener te nean enne Deas 5 26 5 9 1 Setting up General Ledger Template sse 5 26 5 9 2 Fields in General Ledger Template screen sse 5 27 5 9 38 GL Template Summary screen ssssssssssssee eene 5 32 5 9 4 Mapping GL template to fund investment account type combination iih ted ern e e AE ade ER RAM ER 5 35 5 9 5 Fields in GL Interface set up Screen ssssssssssssssese 5 36 5 9 6 Extraction and Generation of Event based Accounting Entries 5 37 5 9 7 Regeneration of Extract sisse eniin eniin 5 38 5 10 Accounting System General Ledger Setup sene 5 38 5 10 1 Fields in Accounting System General Ledger Setup Screen 5 39 5 11 FCIS Finware Interface eee tete nnne ttn A 5 39 5 11 1 GL Setup for FCIS Finware Interface ssssssssssssees 5 40 5 11 2 Data Flow Diagram orrira aa AE A 5 41 5 11 3 Error H
2. esssssssssssssssseeren nennen nennen 4 3 4 3 2 Cancellation of Existing Orders ssssssene nns 4 4 4 3 8 Confirmation of Executed Orders eessssesseseeeese enne 4 4 4 3 4 Status Updates xis asi a eH Aid 4 4 4 3 5 Securities Rejection rrn rire sinite einn tnn haa tun nana nn andan 4 5 Interfaces with External Systems eee 5 1 5 1 Introduction n pe mt e rt md e ftn 5 1 5 2 Setting up and Maintaining Interfaces ssssseeem em 5 1 5 2 1 Fields in Interface Maintenance Screen sssseeeeeee 5 3 5 2 2 File Specifications Section sse 5 5 5 2 8 Parameters Section T orr e aussi e e nena e e en Ha RR aa ERE Rad 5 8 5 2 4 Fund s Selection Section ssssssssee nen 5 8 5 2 5 Specifying Column Details for Interface File sss 5 9 5 2 6 Column Specifications Maintenance Fields ssssssssssss 5 9 5 2 7 Interface Maintenance Summary Screen ssssssseene 5 10 5 3 Online Execution of Interfaces iarririk ara EE eene 5 13 54 jRe Exporting Data iii PLC RUE catena 5 14 5 5 Scheduler Services s cede ndm a eiie edd 5 14 5 5 1 Defining Jobs eiie ite ded eie terr dove date reda RET v 5 15 5 5 2 Job Maintenance Summary Screen seen 5 19 5 5 9 Scheduling Jobs iioii ae E ae 5 21 5 6 Interface with External Asset Management Systems
3. The CustodyStatementOfHoldings message is sent by an account servicer to an account owner or its designated agent The account servicer may be a local agent acting on behalf of its global custodian customer a custodian acting on behalf of an investment management institution or a broker dealer a fund administrator or fund intermediary trustee or registrar etc This message reports at a specified moment in time the quantity and identification of financial instruments that the account servicer maintains for the account owner The CustodyStatementOfHoldings message is sent at the beginning of a month for reporting the month end balance of investor User requests a holding report by portfolio as of the last date of the previous month Tags in Message MessagePagination This tag indicates the pagination of the message PageNumber Mandatory This indicates the page number 998 ORACLE LastPagelndicator Mandatory This tag indicates the last page of the report This will be true for the last unit holder report and false for the others StatementGeneralDetails Mandatory This tag provides general information related to the custody statement of holdings Reference Mandatory This is the Reference Number generated by the system StatementDateTime Mandatory This indicator is the effective date as of which the report is generated ActivityIndicator Mandatory This indicator would be Yes is there is any activity reporte
4. Click Save to save your changes The GL Template Detail screen is closed and the changes made are reflected in the GL Template Summary screen 5 9 3 3 Viewing GL Template To view a record that you have previously input you must retrieve the same in the GL Template Summary screen as follows Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The GL Template Detail screen is displayed in View mode 5 9 3 4 Deleting GL Template You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for deletion we ORACLE 5 9 3 5 5 9 3 6 5 9 3 7 5 9 3 8 e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified fields are retrieved and displayed in the lo
5. e Funds pertaining to a particular AMC On selecting the AMC information related to all the funds offered by the AMC is displayed If the AMC is not specified funds of all AMCs are displayed e If AMC is specified but the fund is not specified transaction details of all funds under the given AMC are displayed along with the fund wise opening balance for that unit holder For request and response elements details and sample XML for search based on AMC refer the section titled Search Based on AMC in this chapter On receiving a Transaction Activity request from Oracle FLEXCUBE INTERNET BANKING FC IS processes the request and relays back the following information regarding the transaction e The opening balance is computed and displayed as on the start date of the specified date range e In addition to transactions entered in the given period FC IS also sends the details of the opening balance and the number of transactions entered into 18 ORACLE 7 1 13 7 1 14 7 1 15 Note In this option the opening balance as of the start date of the request is displayed The clos ing balance as on the requested end date after summing up the same is computed by Oracle FLEXCUBE INTERNET BANKING and displayed For incomplete transactions i e transactions for which the payment details or the exchange rate details are not available a message is displayed indicating that the information is incomplete as there are tra
6. 3 14 1 4 For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For outgoing messages the system will be able to generate the confirmation message only after allocation FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually Tags in Message Messageldentification Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be generated against each Messageldentification message Outgoing FCIS will send the original Message Ident
7. e COMPLETE This indicates that the trigger does not have remaining fire times in its schedule e NORMAL This indicates that the trigger is in the normal state e BLOCKED A job trigger arrives at the blocked state when the job that it is associated with is a Stateful job and it is currently executing e PAUSED This indicates that the job is manually paused from executing e ERROR A job trigger arrives at the error state when the scheduler attempts to fire it but cannot due to an error creating and executing its related job Also a job arrives at ERROR state when the associated class for the job is not present in class path Interface with External Asset Management Systems Oracle FLEXCUBE Investor Servicing provides a facility that enables you to effect data exchanges with an external accounting system You can export transaction and dividend information to this accounting system and import the NAV or the NAV per unit from this external system Typically the accounting system is FLEXCUBE Securities You must perform the following in order to configure the system to effect the export or import of accounting system information e Map the internal FCIS codes with their corresponding codes in the FLEXCUBE Securities system These codes could be accounting system codes or load component codes e Setup the import options for NAV for each fund To configure the system for the interface with FLEXCUBE Securities or any exter
8. 5 2 Editing Record e tb tdi Mei EA LER AAi Baai 3 9 3 5 3 Viewing RoCo iarciet iiig ia E ee de ea e o ne eR EAEE e aaa 3 10 3 5 4 Deleting Record aiite tU d ee aua 3 10 3 5 9 Authorizing Record un Gui LR Re 3 10 3 3 6 Amending Record iti RE AEA 3 11 3 5 7 Fields in SWIFT Element UDF Screen sssen 3 11 3 5 8 Authorizing Amended Records sse 3 12 3 5 9 Copying Attributes of Record sssssssss eene 3 12 Generating Message Manually sse emen 3 12 3 6 1 Fields in Manual Message Screen sss 3 13 3 6 2 Validation of SWIFT Messages sse 3 17 3 6 8 Incoming Message Browser Summary Screen sss 3 17 3 6 4 Outgoing Message Browser Summary Screen sss 3 19 3 6 5 Uploading Incoming Messages sssssssssee eene 3 21 3 6 6 Generation of Outgoing Messages sssssss eene 3 22 Subscription Bulk Order ssssssssssssssseeeereneenen nennen 3 23 S 441 Tagsin Message sie e bee gerer erm e s 3 23 Subscription Bulk Order Confirmation ssssssseseeeeeeeenee 3 29 38 1 Tagsin Message oia sitse eee enn e dua ene aae ae aa 3 29 Subscription Bulk Order Cancellation Instruction ssssssssssssss 3 32 3 9 T Tags im Message uaa bea 3 32 Subscription Multiple Order 2 1 e Poet Hebr legten 3 35 3 10 1 Tags in Message
9. Characters 3 4 The instruction type DO for debit orders RE for redemption pay ments BC for broker commission payments and DI for dividend payments Characters 5 12 The date stamp as yyyymmdd format Characters 13 20 A running serial number prefixed with zeros Instruction Type Alphanumeric Mandatory Select the type of business event that results in the EFT file transfer to the external bureau in the form of this batch The records that will be extracted by the system in this screen will be filtered according to the instruction type that you specify here Instruction Type Description When you select the instruction type the description for the respective instruction type is displayed The following types are available e Debit Orders e ORACLE e Redemption Payouts e Dividend Payouts e Broker Commission Payouts e NPI Payments to Trust For instance if you specify the instruction type as Redemption Payouts the system will retrieve only records of redemption transactions that have been allocated on the specified date The drop down list in this field contains all the instruction types that have been identified for the AMC and the interface The instruction types are set up in the system by the implementers at installation time Instruction Medium Display Only The instruction medium is the method using which the interfacing with the external entity is achieved Therefore the medi
10. Defining Jobs A job is a business activity which the system performs repeatedly on timely basis Oracle FLEXCUBE enables you to define a job and schedule it using Job Maintenance screen You can invoke this screen by typing UTDJOB in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Job Maintenence D New 4 Enter Query Job Details Task ID JobID FrequencyBasis Server Clock Job Description Schedule One Time Details Schedule Type On Demand On Date Job Mandatory Select On Time HH MM Event Code Occurs Day Of Week Day Of Week Occurs Select Day Of Month Day Of Month Every Month On Select Week Of Month Week Of Month OfEvery Select Days Weeks Months Duration End Date Start Date End Date Reqd Yes Time Starting At HH MM Interval Type Select Ending AKHH MM Interval Value Interval Unit Select Event Event Code Task Details Input by DateTime Mod No Authorized by Open DateTime Authorized You can specify the following fields in this screen s ORACLE Job Code Alphanumeric Mandatory Specify the unique code to identify the Job Job Description Alphanumeric Optional Specify a brief description of what the job is supposed to do Job Group Alphanumeric Optional Specify the job group name to represent the same group of jobs for identification Job Type Alphanumeric Optional Sele
11. e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The Swift Message Setup screen is opened in view mode e Select Authorize operation from Action list When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 3 4 6 Amending SWIFT Records After a record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the Swift Message Setup Summary screen from the Browser a ORACLE 3 4 7 3 4 8 3 5 e Select the status of the record that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details are ret
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13. 3 26 1 2 ForExecutionIndicator Mandatory This indicates whether the price information can be used for the execution of a transaction This indicator would be Yes for fund price details and No for component details CumbDividendlndicator Mandatory The value will always be NO Price Report Correction The PriceReportCorrection message is sent by a report provider to a report user The PriceReportCorrection message is used to correct information in a PriceReport message that was previously sent by the fund accountant If an entire PriceReport message must be corrected say for example for an incorrect trade date it is recommended that a PriceReportCancellation message be used to cancel the entire PriceReport message and a new PriceReport message be sent FCIS will check for if NAV correction is done for any of the funds on a particular date This date would be the Application Date if invoked automatically or the Effective Price Date if invoked through the screen The following cases are possible e NoFunds NAV correction No message would be generated e Case NAV correction available for fund FCIS will group the funds based on previous message reference of the price report and generate that many Price Correction Reports The system will be able to track the previous reference based on the fund and effective date of price which was communicated earlier Those funds for which NAV correction was done in FCIS but which
14. GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units Percentage based transactions will be passed under the tag HoldingsRedemptionRate GrossAmount Optional This is the gross amount invested in the fund Outgoing This will map to transaction gross amount in the fund base currency if available ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Redemption Multiple Order This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instruct
15. Status Transaction Number Transaction Date Clearing Date Clearing Status Clearer ID Clearing Level Aut ale ORACLE 2 8 1 Retrieving Record in Payment Clearing Summary Screens You can retrieve a previously entered transaction in the Summary screen as follows e Inthe browser select Payment Clearing screen and click on Summary specify any or all of the following details in the corresponding fields Thestatus ofthe transaction in the Authorized field If you choose the Blank Space option then all transactions are retrieved The status of the Transaction in the Record Status field If you choose the Blank Space option then all transactions are retrieved The number of the transaction in the Transaction Number field The dates of the transaction in the Transaction Date field The date of clearing in the Clearing Date field The status of clearing in the Clearing Status field The ID of the clearer in the ClearerID field After you have specified the required details click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner Press F7 Input the Transaction Number Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operation by sel
16. This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Previous Reference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Order to be Cancelled This is common information related to all the orders to be cancelled mes ORACLE MultipleOrderDetails Mandatory InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the val
17. corporate or bank customer Account Opening Date The date on which the CIF unit holder account is created in the FC IS database By default this date is deemed to be the application date Account Operation Type Whether the account is to be operated singly or jointly By default the account operation type is deemed to be single Whether the customer is an initial investor UH Category The unit holder category corresponding to the customer Whether a Year To Date account statement is required by the customer Acknowledgement Printed Whether an acknowledgement is to be printed on creation or modification of the account details By default an acknowledgement is deemed as necessary to be printed Agent Code The code of the agent where the unit holder account is created By default this is the code of the FCR bank where the CIF was created Branch Code The code of the agent where the unit holder account is created By default this is the code of the FCR branch where the CIF was created 9 9 ORACLE The interface process defaults some of the parameters for the creation of the single initial unit holder account as follows The unit holder is deemed to be a major The number of authorized signatories for corporate customers to 1 The account opening date as the application date The account operation type as single An acknowledgement is printed for the new account The agent and branch code of the FCR bank and bra
18. 1 Message Structure seii tenen inan n E e pn ann 3 70 3 20 2 Tags in Message Ava d o RE Da D d RE a ed Rd 3 70 3 21 Order Cancellation Status Report sssssssssssssssssee eene 3 71 3 21 1 Message Structure sisse eese eie tna tana 3 71 3 21 2 Tags in Message motei iine eE ENAERE EEAS EEE AAAA 3 72 SEPT e Ordem sce estes aaa 3 73 3 22 1 Tags in Message erine eiie OE AATE 3 73 3 23 Switch Order Confirmation niss oedi tdia eea aae a a A 3 76 3231 Fags in Message ra ed ded oet ea ivre aie ed 3 77 3 24 Switch Order Cancellation Instruction sssssssssssee 3 81 3 24 1 Tags in Message 2 siete iiid ed idoneo seed dnb tee eden eade denen 3 81 93 25 IBrice Iseport uon oco erect oe ai TO KL LA LL I dI 3 83 3 25 1 Tagsin Message iate p acte P EE ERE D pide Ere eae 3 84 3 26 Price Report Correction sssssssssssssssssseeemereenennen enne 3 86 3 26 1 Tags in Message serei nrima iiine esie ea noh RR dan AE oaa 3 86 3 27 Price Report Cancellation ssssssssssssssssssese nennen 3 88 3 27 1 Tags in Message sorrienni tiari tiii rarte iiiar isses dnte knee uen ann 3 88 3 28 Fund Estimated Cash Forecast Report sss 3 89 3 28 1 Contents of Report 2 222 cccccccccccecceceeeeeesneneeaaenaeceseeeeeeseeasecseenisaneeseeeseens 3 89 3 28 2 Tags in the Message o erar a EA EEE A nena ann 3 90
19. 3 29 Fund Confirmed Cash Forecast Report sessssssssssssse 3 91 3 29 1 Contents of Report 22 cccccseccecceceeeeeeecetecaeaaaeaeceeeeeeeensestecseesesaeseeeeeeeens 3 91 3 29 2 Tags in Message isses died dde edle ebat AR kaas Eeki 3 93 3 30 Fund Confirmed Cash Forecast Report Cancellation ssssssssss 3 94 3 30 1 Tags in Message iii ine eel pite E ridges 3 94 3 31 Fund Detailed Estimated Cash Forecast Report ssssssssssssssee 3 94 3 31 1 Tags in Message eninin rinri ae a deines dae a edo a Ree 3 95 3 32 Fund Detailed Confirmed Cash Forecast Report sssssssssssssssss 3 96 3 921 Tags in Message iin aa 3 97 3 33 Fund Detailed Confirmed Cash Forecast Report Cancellation 3 98 3 33 1 Tags in Message iind nnne O 3 98 3 34 Custody Statement of Holdings Report sss 3 98 3 34 21 Tags in Message eed med ce e den 3 98 3 35 Statement of Investment Fund Transactions sssssssssse 3 100 3 39 17 Tags in Message oie oie lie ie pU 3 101 VESTIMAt Processing iicet ete toe eo Coco pate Le te eden ttn ee te a 4 1 AN troduction aho toe Pete NE pel tu e ger leen deest 4 1 4 2 Maintenance for Vestimat Processing 4 2 4 2 1 Fields in Entity Media Maintenance Screen sse 4 2 4 3 Messages Processed in Vestima ssssssssssssssseeeene emen 4 3 4 3 1 Creation of New Orders
20. Applying a change to all unit holder accounts under a CIF account in FC IS A change made to a CIF account in FCR can be reflected in all unit holder accounts under the CIF in FC IS when it is propagated to the FC IS system by the interface process Atthe time when the system is installed the implementers set up a list of information fields in the CIF profile and the investment details profile which when changed in FCR will be reflected in all unit holder accounts under the CIF in FC IS when the change is propagated by the interface process Closure of Customer CIF Account A Customer Profile cannot be closed in FCR However the CIF account for the profile can be closed If more than one unit holder account is associated with the Customer CIF account in the FC IS database each of these accounts must be closed individually or deleted if unauthorized in FC IS before the Customer CIF account can be closed in the FCR system A user in FCR can close a bank account provided the account is not being used by one or more unit holder accounts in FC IS If the bank account is in use a message is displayed indicating this If the closure is confirmed then the account is closed 6 ORACLE Details for CIF Account in FC IS The basic profile for the CIF customer When the interface propagates CIF account information from FCR into FC IS the FC IS system interprets and records the following basic profile details that were specified in
21. Details Once you specify the search criteria click Ok button The records matching your search criteria will be displayed Swift Message Code 1of1 mmf Vv Message Reference Code Message Name To Entity Type To Entity ID Select Zj Vv Li Check the option Select along a message record to indicate the message should be manually generated The following swift message code details will be displayed e Message Reference Code e Message Name e To Entity Type e To Entity ID E ORACLE Swift Report Log Swift Report Log 1of1 HHE IV Original Reference Number From Entity Type From EntityID To Entity Type To Entity ID Select Report peel d r I xj Check the option Select along a message record to indicate the message should be manually generated The following swift report details will be displayed e Original Reference number e From Entity Type e From Entity ID e To Entity Type e To Entity ID Report Details Button Click on this button to invoke the Report Details screen Report Details Swift Report Detail Log 1of1 E FundiD Effective Date Declared NAV Lot 7 In the Report Details screen you can view the following details screen e Fund ID e Effective Date e Declared NAV Lot 9S ORACLE Swift Txn Log Swift Txn Log 4 88 M Original Reference Number Message Description Date Generated From Entity Type From EntitylD To Entity Iv s of Check the option Select al
22. FCR for the CIF account First middle and last names for individual investors or company name for a corporate customer The title to be used for the individual customer s name The gender sex of the customer The date of birth of the customer The marital status of the customer Contact Address The primary address of contact for the CIF customer Correspond At Whether the primary address of contact can be used for correspondence Primary City The city of the contact address Primary State The state of the contact address Zip Code The zip code of the primary contact address The home office telephone numbers and fax numbers of the customer Any email ID used by the customer Secondary Address Any secondary contact address at which the customer may be reached Secondary City The city of the secondary contact address Secondary State The state of the secondary contact address Secondary Zip Code The zip code of the secondary contact address Dealing Type Whether the customer deals directly as self or through an authorized representative Whether the customer is a minor By default the customer is not deemed to be a minor in the CIF account details Minimum Number of Corporate Signatory The number of authorized signatories for corporate customers By default the number of authorized signatories is deemed to be 1 First Second and Third Authorized Signatories The authorized signatories for a
23. Finware Debit actually done Finware Response Successful Transaction Save in FCIS Successful Success Log in FCIS 5 12 EPU Upload In EPU Upload FCIS receives distribution rates for all non Money Market Funds from an external system The frequency of the upload depends on the frequency of distribution rates declared for each fund 5 12 4 Interface Workflow When a file is received the system processes a record only if there is no previous EPU entry for the fund as on the distribution date and the dividend record is unprocessed If there is an EPU record already existing the system displays an error message Duplicate Record If the system does not find any duplicate records it stores the data in tables and deletes the file 5 12 2 Attributes The attributes present in the EPU upload file interface are as follows e The interface is capable of handling incoming information to FCIS as a delimited file e The upload is during EOD operations e The fields are separated by the delimiter Comma e The column headings of the header row are also separated by Comma e The records are separated by the New Line Character Outgoing responses are not within the scope of this interface in ORACLE 5 12 3 5 13 5 13 1 5 13 2 5 13 3 5 14 5 14 1 5 14 2 Message Format Refer the chapter Appendix B Upload file formats B Volume IV of Upload Format User Manual Tax Aggreg
24. From date that marks the beginning of the period for which the statement is being generated StatementPeriod gt ToDate Mandatory This indicator is the To date that marks the end of the period for which the statement is being generated UpdateType Mandatory This tag will have the value COMP to indicate that the report is complete ActivityIndicator Mandatory This indicator would be Yes is there is any activity reported in the statement Else it will be No InvestmentAccountDetails Mandatory Identification gt Proprietary gt Identification Mandatory This tag is to identify the investor s CIF ID in FCIS IntermediaryInformation gt Identification gt Proprietary Mandatory This tag provides the intermediary details attached with the Unitholder account 3 101 ORACLE SubAccountDetails Optional Identification gt Simpleldentification gt Proprietary gt Identification Mandatory This would map to the Identification Number of the Unit holder Fungiblelndicator Mandatory This tag would be set to Yes ActivityIndicator Mandatory This indicator would be set to Yes TransactionOnSubAccount Optional Identification This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Outgoing FCIS sends out the fund ISIN based on the UDF set up
25. Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The Interface Maintenance Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes 9e ORACLE 5 2 7 7 5 2 7 8 5 3 Authorizing Amended Interface Maintenance record An amended Interface Maintenance must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Copying Attributes If you want to create a new Interface Maintenance with the same attributes of an existing maintenance you can copy the attributes of an existing Interface Maintenance to a new one To copy the attributes e Retrieve the record whose attributes the new Interface Maintenance should inherit You can retrieve the record through the Summary screen or through the F7 F8 oper
26. Maintenance Detail screen You can invoke this screen by typing UTDIFAC in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button al ORACLE Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the interface that you wish to maintain FCIS Interface Maintenance Detail New t3 Enter Query Interface ID Description Import Export Type Import Export Basis PROCEDURE Interface Code SQL String Command Line Number of Files Import Enabled Export Export Data First Process per File Split Column Auto Number uio Numba File Specification Required Segmentation Auto Import Keystring Subroutine Name File Snecificatian Parameters Input by DateTime Authorized by DateTime Mod No Open Authorized In this screen you can e Define new interfaces e Enable or disable an interface definition Interface definitions for exporting the following information will be factory shipped e Holiday e CIF e Currency e Broker e Unit Holder e Fund e Transactions e Allocation e Product e Policy e Policy Transactions e Dividend Corporate Actions e Periodic Load e System parameters e Entity Details a ORACLE 5 2 1 Fields in Interface Maintenance Screen Interface ID Display Only Every interface that you define is assigned a unique identification by the system kno
27. Mandatory Repetitive This is information related to the price valuation of a financial instrument Identification Mandatory Outgoing Unique number generated by FCIS for every instance of Fund Price getting reported ValuationDateTime Optional This is the date and time of the price valuation for the investment fund fund class Outgoing This will be the effective date of the fund price and will be passed under the tag ValuationDateTime gt Date TradeDateTime Optional This is the date and time at which price is applied according to the terms stated in the prospects Outgoing This will be the effective date of the fund price and will be passed under the tag TradeDateTime gt Date FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN TotalNAV Optional Repetitive This is the value of all the holdings minus the fund s liabilities Tes ORACLE Outgoing This will be Funds Holdings Declared NAV for the Effective Date TradeDateTime TotalUnitsNumber Optional This is the total number of investment fund class units that have been issued Unit Mandatory Outgoing This would map to the tag Outstanding Units in fund data store for the fund PreviousValuationDateTime Optional This is the date and time of the previous valuation for the investment fund fund class Outgoing This will be the effective d
28. Setup Screen 2 4 2 43 Reports Printed on Saving EFT Batch 2 6 2 5 EFT Batch Maintenance Summary Screen sss 2 7 2 5 1 Retrieving Batch in EFT Setup Summary Screen sssssss 2 7 2 5 2 Editing Record usn ee et eile 2 8 2 5 3 Viewing Record cies iere d ded e aee de aera da ak 2 9 2 5 4 Authorizing Record eade ndn ad enda Eo dd nnd 2 9 2505 Amending Record aida P le ERECTA aise 2 9 2 5 6 Authorizing Amended Record seen 2 10 2 9 COPYING Attributes ecd desde e e d eb e T eaten 2 10 2 6 Marking a Batch for Re Export ssssssssseeeeeeenmmm enne enne 2 10 2 7 Payment Clearing Screen sssssssssssese ener eene nennen 2 11 2 7 1 Fields in Payment Clearing Screen sees 2 11 2 8 Payment Clearing Summary Screen sse 2 12 2 8 1 Retrieving Record in Payment Clearing Summary Screens 2 13 2 60 2 Editing Transaction aane itt Lee eater E dn Ee annue e an 2 13 2 8 8 Viewing Transaction sss 2 14 2 8 4 Deleting Transaction sss rennen nnne 2 14 2 8 5 Authorizing Transaction sse 2 14 2 8 6 Amending Tr nsatON s asarini eien rA EEE EA TEREE AEri 2 15 2 8 7 Authorizing Amended Transactions seen 2 15 2 8 8 Copying Attributes aaar a E setenta nente aded nna 2 15 2 8 0 To Clear or Reject Settl
29. Setup for more than one account type This is done by choosing the option All Account Types against the field Account Type For example if you want to define a GL setup for a fund FUND for two account types CPFOA and Cash Direct you can choose the option All Account Types instead defining two different GL templates for each of the account types You can maintain a GL Setup for more than one currency This is done by choosing the option All Currency against the field GL Currency This allows you to maintain one GL for transactions carried out by the customer in different currencies There will be a currency wise posting in the GL Extraction and Generation of Event based Accounting Entries A batch process extracts the relevant accounting entries according to the GL setup for the fund and generates the accounting entries that would be passed automatically at EOD d ORACLE 5 9 7 5 10 For cash nominee accounts no theoretical entries are generated at the AMC when the GL extract is generated since these accounts are of the Distributor The System checks whether the transaction date is a holiday in any of the calendars The settlement date Contractual Settlement Date is derived based on the mode of payment payment lag maintained for the fund As of the unitization or allocation date the theoretical cash flow indicator entries if indicated in the GL maintenance are generated At the Distributor the accounting
30. TXNDIVIDENDBASED as unstructured code CashinForecastDetails Mandatory SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Confirmed Cash In breakup for components CashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated ud ORACLE 3 33 3 33 1 3 33 1 1 3 33 1 2 3 34 3 34 1 SubTotalAmount Optional This will be the Confirmed Cash Out breakup for components Fund Detailed Confirmed Cash Forecast Report Can cellation The FundDetailedConfirmedCashForecastReportCancellation message is sent by a report provider to a report user This report will be manually generated This message is to cancel a previously sent FundDetailedConfirmedCashForecastReport message The FundDetailedConfirmedCashForecastReportCancellation message must contain the reference of the message to be cancelled This message may also contain details of the message to be cancelled but this is not recommended Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be selected by the user Custody Statement of Holdings Report
31. The creation or amendment of data could occur in any or all of the following cases e Fund rules e Reference information such as banks branches and entities such as custodians or clearing agents e Exchange rates e Fund prices e Unit holder accounts e Transactions or standing instructions Whenever data is authorized relating to any of these a hand off is triggered from the FC IS database to the local Oracle FLEXCUBE INTERNET BANKING database When a request is made by a logged in user in Oracle FLEXCUBE INTERNET BANKING the requested information is made available from the refreshed local Oracle FLEXCUBE INTERNET BANKING database Logging in to Oracle FLEXCUBE INTERNET BANKING To log in to the Oracle FLEXCUBE INTERNET BANKING application at a remote web location the investor must specify the User ID and password assigned to the investor in the Oracle FLEXCUBE INTERNET BANKING application Note The User ID used by the investor to log in to Oracle FLEXCUBE INTERNET BANKING is typically different from the unit holder ID or CIF account number of the investor in FC IS It is assigned to the investor at the time of registration at Oracle FLEXCUBE INTERNET BANKING When the investor logs in to the Oracle FLEXCUBE INTERNET BANKING system and then proceeds to specify the unit holder or CIF account number the following information is supplied by FC IS to Oracle FLEXCUBE INTERNET BANKING through the interface between the two appli
32. Type From Date To Entity ID To Date Effective Date CIF Number Find Swift Message Code 1of1 Message Reference Code Message Name x To Entity Type ToEntitjID Select 7 ia Swift Report Log 1of1 Original Reference Number From Entity Type From EntityID To Entity Type To Entity ID Select Report De 1of1 Original Reference Number Message Description Date Generated From Entity Type From Entit ID To Entity 3 6 1 Fields in Manual Message Screen Message Code Mandatory Select the message code from the drop down list Message Reference Code Mandatory Enter a unique reference number for the message Effective Date Mandatory Enter the Effective Date for the message 9 15 ORACLE CIF Number Enter the CIF number from the LOV To Entity Type Mandatory Select the Entity Type for which the message will be generated To Entity ID Mandatory Select the entity for which the message is applicable From Date Enter the From date that marks the beginning of the period for which the Manual Message generates To Date Mandatory Enter the To date that marks the end of the period for which the Manual Message generates It is mandatory that you specify the Message Code as a search criterion Once you specify the same you have the option of entering the Message Reference Code of the message you want to manually generate Swift Message Code
33. Unit holder Other Identification Identification Type ExtendedldentificationType Structured Mandatory This is a choice between Identification Type and Extended Identification Type Incoming FCIS uses data mapping to find the Unit holder account type Only PASS passport and NRIN the National Registration Number which is NRIC for Singapore are supported as Identification Types Other Identification Identification Type Additional Information Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Choice for Units NetAmount Mandatory e Incoming The system determines the Transaction Mode and Value depending on the element available If the field NetAmt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmount while processing the message If the same is available the transaction will be considered Gross 3 24 ORACLE e Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field NetAmt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmount as well as the tag NetAmt as this is mandatory GrossAmount Optional e Incoming Ifa
34. Zipcode TYZIPCODE THIRDPAR Third Party US state TYUSSTATE THIRDPAR Third party Country TYCOUN TRY THIRDPAR Third Party BIC Code for TYBICCODE Swift TRANSFER Reference Number REFEREN CENUMBER TRANSFER Account Holder Name ACCOUNTH OLDER NAME REFTYPE Reftype HAND FCISTX CID Cif Number OFF TXN N DTD OPENINGBAL FUNDID Fund OPENING Opening Balance in this BALANCE Fund for the criteria in Request 7 1 29 CIF Handoff for Enabling Internet Banking Customer numbers CIF are sent across as an offline Handoff so that FLEXCUBE shows Mutual Fund Menu only to those Customers who have an Account in FCIS 7 34 ORACLE 7 1 29 1 Request Element The table below describes the important elements of the request XML Request Element DTD Field Value Level Unitholders QUERY_UH FCISUH DTD SCODE Identifies the external system that is sending the request For exam ple HDFC XREF Keystring with Time Stamp QUERYTYPE GETCIF REQUEST RRRRMMDD DATE CID Cif Number 7 1 29 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Unithold REPLY UH FCISUH DT ERR Error Code ers D CODE ERR Error Description DESC HANDOFF UH FCISUH DT CID CIF Number CIFDTLS D STATUS Status Could be either O Open or C Closed 1 65 ORACL
35. be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based PaymentInstrumentChoice Optional The payment instruments can be cheque credit transfer direct debit and investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT Ten ORACLE 3 17 CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentif
36. both the BIC Or BEI and Proprietary Identification SWIFT UDF mapping will be used to determine the element that client would want to send ChequeDetails Mandatory Choice Number Mandatory Incoming Outgoing This will be the Transaction Cheque Number Drawee Identification Optional This is to identify the bank details FCIS supports BIC and Proprietary Identification Incoming If BIC is provided system the will get the relevant bank information if available If Proprietary Identification is provided the UDF mapping for the field would be used to determine the bank This would be a set of other information fields applicable for entity type Bank 9 80 ORACLE Outgoing As FCIS is capable of supporting both the BIC and Proprietary Identification SWIFT UDF mapping will be used to determine the element that client would want to send Credit Transfer Details Mandatory Choice Reference Optional Incoming Outgoing This will be the Transaction Reference Number Debtor Details gt Identification Mandatory FCIS supports Domestic Account based identification Incoming The details available for Domestic Account will be used in conjunction with the element details of the tag First Agent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid for the transaction currency If not these account details will be considered as third party payment d
37. browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records in the lower portion of the screen The SWIFT ELEMENT UDF Detail screen is opened in view mode Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Record An unauthorized record must be authorized in the system for it to be processed To authorize a record you must first retrieve the same in the SWIFT ELEMENT UDF Summary screen Invoke the SWIFT ELEMENT UDF Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen a ORACLE e Double click the record that you wish to authorize The SWIFT ELEMENT UDF screen is opened in view mode e Select Authorize operation from A
38. can also search the record by using combination of and alphanumeric value For example You can search the record for Message Code by using the combination of and alphanumeric value as follows Search by A The system will fetch all the records whose Message Code starts from Alphabet A Ex AGC17 AGVOG AGC74 and so forth Search by 967 The system will fetch all the records whose Message Code ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth Search by 961796 The system will fetch all the records whose Message Code contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth Editing Record You can modify the details of a record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the SWIFT ELEMENT UDF Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records of records that are unauthorized Accordingly choose the Unauthorized option from the drop down list Specify any or all of the details of the record in the corresponding fields on the screen to retrieve the record that is to be modified All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen 39 ORACLE 3 5 3 3 5 4 3 5 5 Double click the record that you wan
39. can be identified using the Load Id or the Recipient information Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value Waiving Details Optional This tag represents the override percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored ads ORACLE 3 23 WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based ForeignExchangeDetails Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Mainten
40. details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records in the lower portion of the screen The EFT Setup Detail screen is opened in view mode e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 2 5 4 Authorizing Record An unauthorized record must be authorized in the system for it to be processed To authorize a record you must first retrieve the same in the EFT Setup Summary screen e Invoke the EFT Setup Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The EFT Setup screen is opened in view mode e Select Authorize operation from Action list e Select the A option in the Auth Reject Status field Then click the Authorize Marked Records button to complete the authoriz
41. e An amended transaction must be authorized for the amendment to be made effective in the system e Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module Copying Attributes If you want to create a new transaction having the same attributes of an existing transaction you can copy the attributes of the existing transaction to the new transaction To copy the attributes of an existing transaction to a new transaction e Retrieve the transaction whose attributes the new transaction should inherit You can retrieve the transaction through the Payment Clearing Summary screen or through the F7 F8 operation which are explained in the previous section e Inthe Payment Clearing Detail screen click on Copy Action e Indicate the ID for the new transaction You can however change the details of the new transactions if required To Clear or Reject Settlement e Inthe Payment Clearing screen select the Transaction option in the Level field e Inthe Payment Mode field select the Link Settlement Number option You must key in the link settlement number for the settlement that you want to clear or reject in the Specific Number field 2 15 ORACLE Click the Show button to retrieve all the transactions that are to be settled together for the specified Link Settlement Number The system retrieves the details for these transactions and displays the same in the lower grid portion of
42. e The unit holder ID under the CIF account of the transferee unit holder e The ID and ISIN Code of the fund in which the transaction is being requested e The mode of the transaction amount units or percentage the value of the transaction in the selected mode and the currency for the transaction e For certificate option funds in which the unit holder has requested for certificates the applicability of single certificates e For Letter of Intent LOI unit holders the applicability of the transaction for Letter of Intent amount The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a transfer transaction Conversion Transactions Transaction information The unit holder or CIF account holder can initiate a conversion transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account for which the transaction is being put through e The ID and ISIN Code of the fund in which the transaction is being requested e The transaction value i e the number of units to be converted e Both From and To Delivery options as follows f physical delivery the delivery type physical address and certificate denominations lot sizes as well as the Certificate Message If delivery account or d
43. entries generated for the underlying transaction reflect the movement of funds to Distributor unit holder and fund accounts At the AMC the accounting entries generated for the underlying transaction reflect the credit or debit to fund investment fund manager Distributor rounding and transaction charge account The payment date for the underlying transaction is also arrived at according to the transaction payment mode The settlement process is initiated on the date on which payment clearing is performed which is tracked as the Actual Settlement Date At the Distributor the accounting entries generated reflect the movement of funds between the fund receivable account and the Distributor At the AMC the accounting entries generated reflect the movement of funds between the fund account and unit holder pooled investment account For cash based transactions the unitization and payment date are the same and both theoretical and actual entries are passed as on this date Regeneration of Extract Once the accounting data passed due to a GL setup has been extract you can re extract and regenerate the data if required To re extract the data you must provide the ID of the fund and the unit holder for which you wish to re extract the data and the date range between which the data was extracted If you do not provide a fund or unit holder ID the data is re extracted for entries generated within the date range specified After re extractio
44. exit the screen without processing any selected interface definitions click the Close button Re Exporting Data If you want to re export data that has already been handed off to an external system you will have to use the Re Export screen You can invoke this screen by typing UTDREEX in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Re Export D New 3 Enter Query Export From Date Export To Date Export Type AMC ID Process ID Exported Records 1of1 7 Process ID Export From Date Export Type No of Records Exported You can search for a record that has been exported Enter one of the following search criteria Export Type Select Export Type created earlier AMC Distributor ID Select a distributor ID from the list Export From Date and Export To Date DD MM YYYY Specify the period in which the file was exported Process ID Enter the Execution ID of the export which has to be re exported When you click Search button the export files that match the search criteria that you have entered will be displayed Scheduler Services Oracle FLEXCUBE Investor Servicing provides you with the facility of scheduling internal activities and having them executed as pre programmed proceedings by the system In the system the Scheduler component facilitates such proceedings Typically you can schedule any activity through t
45. invoked Incoming Msg Browser Summary New 4 Enter Query Find Options Incoming Messages Info Swift Message Type Message Status All Sender Authorized All From Date To Date Sender Swift Message Type Message Status Name Reference No Location i Reject Reason Address issa Address Line 2 City State Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Incoming Msg Browser To display the message you can specify any or all of the following details Swift msg type Subscription Bulk Order etc Specify the Swift Message type to display the message For example Subscription Bulk Order Redemption Bulk Order etc Message Status unprocessed processed repair suppressed or all Specify the status of the message that has to be displayed The status could be unprocessed processed repair suppressed or all Sender Indicate the sender of the message Auth stat Select the authorization status of the messages that you wish to view From Date Specify the date from which the system has to retrieve the messages To Date Specify the date till which the system has to retrieve the messages us ORACLE 3 6 3 1 3 6 4 All messages matching your criteria are displayed in the grid portion of the screen Click on the message that you wish to operate on in the DCN field The Incoming Message Browser screen with the details of the messag
46. option funds e Single Certificate Applicable only for certificate option funds in which the unit holder has requested for certificates e Escalation Type amount units percentage e Escalation Value e Escalation frequency e Escalation Date e Payment mode transfer credit card The information required for the payment mode are same as required for subscription transactions Redemption e Transaction mode Units Amount percentage e Transaction value Amount or Units TM ORACLE e Transaction Currency for amount e Gross Net Net basis is applicable only for Units transaction mode Gross basis is applicable to both Amount and Units transaction modes e Payment mode Transfer Check The information required for the payment mode are same as required by redemption transactions Switch e Transaction mode Units Amount percentage e Transaction value Amount or Units e Transaction Currency for Amount e From Fund e To Fund Information required for the payment mode are same as required for switch transactions Modification of existing standing instructions The following information in an existing standing instruction can be modified for a unit holder account for a fund e Sl description e Sl start date Should not be a past date e Sl end date e Sl frequency e Transaction specific details Deletion of existing standing instructions Any existing unauthorized standing instructions for a unit holder a
47. record is saved as an unauthorized record which must be authorized subsequently Specify any bank details for the unit holder account The investor can also edit or delete any existing bank details Initiate standing instructions for buy sell and switch transactions The investor can also edit or delete any previously initiated unauthorized standing instructions and request for information on the same Make changes to any income distribution setup options for the unit holder account that are unauthorized Again changes to an authorized IDS record are only possible through an amendment and the amended record is saved as an unauthorized record which must be authorized subsequently Request for the generation of account statements In addition to specifying new information or editing existing information the investor can also request for information on the unit holder account pertaining to any of the following e The status of any previously initiated transactions e The portfolio of investments e The transaction activity of the unit holder account e NAV movements e Dividend information f ORACLE Data Hand off from FC IS The FC IS system updates the Oracle FLEXCUBE INTERNET BANKING system online whenever the following are authorized in FC IS e New data created in FC IS in the course of day to day operations e Changes amendments made to data in FC IS in the course of day to day operations
48. reference Reference Iteration 1 Mandatory Incoming FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This number will be used to set the status of underlying transactions if the individual order details are not reported Outgoing FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This will be the Messageldentification number of the original cancellation order Reference Iteration 2 Mandatory Incoming The status of individual order references is communicated to FCIS in the second iteration The status will be tracked for the transaction generated by the system corresponding to this reference number Outgoing This is the Order Reference number corresponding to the transaction number for which the status is getting reported CancellationStatusReport Status Rejected Mandatory Incoming Only status tracking will happen FCIS will not track reasons for rejections if any Outgoing Following are the cases possible for reversal a transaction e Transaction is reversed and allocated Will be reported under Status with code CAND e Transaction is reversed and not allocated Will be reported under Status with code CANP e ORACLE 3 22 3 22 1 3 22 1 1 3 22 1 2 e Transaction reversal failed The FCIS error code will be reported under Rejected
49. reference not recognized by Vestima has been received in the message then Vestima issues the semt 001 001 03 SecuritiesMessageRejectionV03 which is the Securities Rejection message 4 5 ORACLE 5 1 5 2 5 Interfaces with External Systems Introduction Oracle FLEXCUBE Investor Servicing FCIS provides a facility to effect data exchanges and transfers with external systems You can import exchange rates or NAV from an external System or export transaction and dividend information to any external accounting system The external system may be a file system or an application The data exchange can be effected through an interface with the external system This interface consists of the following components e Aninterface definition that will capture all the information that is needed for processing and effecting the data exchange You can designate all the procedures that need to be called the internal tables that will be inserted into or read from the database objects that will be used the file formats and so on e The interface processing module that will actually process the interface effect the data exchange and create a log of these activities e The file access services that will be utilized by the interface processing module for the purpose of effecting the data exchange You can process an interface in one of the following ways e As part of the End of Day Procedures you can trigger the processes speci
50. reversal IPO IPO reversal transactions with Payment Mode as Transfer Accounting details should have been maintained for the Unit Holder Bulkuploads from FCIS get settled online if the transactions subscription subscrip tion reversal IPO IPO reversal are gross transactions with Payment Mode as Transfer GL Setup for FCIS Finware Interface You will have to setup a GL for the entries to be passed to FINWARE during authorization of subscription transactions in FCIS The following section lists the steps involved in setting up a GL for the FCIS Finware interface e Setupa GL Template for the business event Subscription through the General Ledger Template Setup screen e Enter Debit Credit leg details of the GL through the Debit Credit Details screen The debit account should be the Customer CASA Account and the credit leg should be the AMC CASA Account e Specify that the trigger event should be Authorization for new and reversal transactions for all events e Save the details entered in the General Ledger Template Setup screen and authorize the same e Create a GL Setup from the template created You will also have to setup a GL for the entries to be passed to FINWARE during authorization of subscription cancellations in FCIS To do this follow the procedure as explained above The only difference here will be that the debit account will be the AMC CASA Account and the credit account will be th
51. that is necessary for validating transactions of the specified type elf the transaction details are successfully validated it is saved as an unauthorized transaction pending allocation e A valid transaction number is generated Standing instruction requests whether additions changes or inquiry are accepted on holidays In such an event the start date is changed to the next working day Dividend Information Inquiry After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter enquiries regarding the dividend information for the account The account number must be specified as the inquiry parameter On receiving the dividend information request from Oracle FLEXCUBE INTERNET BANKING FC IS relays the following information for all unit holder accounts under the CIF e Unit Holder ID e Fund ID and ISIN Code e Dividend start date e Dividend end date e EPU e Units held e Unit Price e Dividend currency e Dividend amount e Tax deducted e Net Dividend Paid e Reinvestment amount e To Fund ID e Mode of payment Check Transfer Details based on payment mode are same as for transactions e Payment Amount in transfer currency If the request is for dividend information for a single unit holder ID the above information is provided for the specified unit holder ID Processing Requests Received during End of Day Process Any requests for information or relaying of informati
52. the following e Party e Country e Currency e UserDefined FCIS supports the tags SortingCriteriaType gt Unstructured and ForecastBreakdownDetails gt ReportParameter gt UserDefined indicating the break up of inflows and outflows for the following e IPO Subscription e Subscription e Redemption e Switch In e Switch Out e IPO Subscription Reversal e Subscription Reversal e Redemption Reversal e Switch In Reversal e Switch Out Reversal e Dividend e Dividend Amendment Inflow e Dividend Amendment Outflow ene ORACLE 3 32 1 3 32 1 1 3 32 1 2 Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS FundCashForecastDetails Mandatory Repetitive TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowlIndicator Mandatory FCIS will always the pass the value NO SortingCriteriaDetails Mandatory Repetitive SortingCriterionType gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code ForecastBreakdownDetails Mandatory Repetitive ReportParameter gt UserDefined gt Unstructured Outgoing FCIS will pass
53. transaction gross amount in the fund base currency if available ForeignExchangeDetails Optional Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing This will be the Transaction Settlement Date Request for Order Status Report The RequestForOrderStatusReport is sent by an instructing party to the executing party There may be one or more intermediary parties between the instructing party and the executing party The RequestForStatusReport message is used to request the status of e One or several order messages er ORACLE 3 19 1 3 19 1 1 e One or several cancellation messages e One or several individual orders within a order message If the RequestForOrderStatusReport message is used to request the status of several messages then the instructing party will receive several reply messages from the executing party i e several OrderlnstructionStatusReport messages and or OrderCancellationS
54. value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute e Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute ForeignExchangeDetails Optional This is information related to currency exchange or conversion e Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT e Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e Unit Currency This will be the transaction currency e Quoted Currency This will be the fund base currency e Exchange Rate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered e Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDetails Optional Payment Instrument Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support ch
55. 3 23 1 2 3 23 1 3 instructing party The SwitchOrderConfirmation message is sent only once to confirm that all the legs of the switch have been executed For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For an outgoing message the system will be able to generate the confirmation message only after allocation FCIS will allow generation of this message in an automated way based on a certain event that is triggered in the system or manually If the AMC of the From Fund and To Fund are different system will generate a pseudo switch transaction In other cases system will generate a normal switch transaction Tags in Message Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages R
56. AV in UHCCY 7 1 28 Viewing Multiple Funds in Transaction Activity During transaction activity if the customer requests for a particular AMC then activity will be shown for all funds in that AMC 7 1 28 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Fund QUERY_TXN FCISTXN DT SCODE Identifies the external D system that is sending the request For exam ple HDFC XREF Running Serial Number QUERYTYPE TXN_ACTIVITY REQUEST System date DATE 7 31 ORACLE Request Level DTD Field Value Element CID CIF Number UNITHOLDE Unit holder ID RID FUNDID Id of the fund NUMBER Number of Transac OFTXNS tions to display STARTDATE Start date of Transac tion ENDDATE End date of Transac tion TXNNUMBER Transaction Number TXNTYPE Transaction Type AMCID AMC Code 7 1 28 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Transactions HAND FCISTX CID CIF Number OFF_TXN gt N DTD FUND_TXN UNITHOLD Unit holder ID ERID SERIALNO Running Serial Number TXNNUM Transaction Number BER TXNDATE Transaction Date TXNTYPE Transaction Type FUNDID ID of the fund TXNMODE Transaction Mode TXN_C Transaction Currenc
57. Amount Initial Admin Fee Initial Broker Fee Investments and Disinvestment Adjustments Reversals i e Buying and reversal of Selling will be consolidated into a single value per day s transactions Similarly Disinvestments and Investment Adjustments Reversals i e Selling and reversal of Buying will be consolidated into a single value per day s transactions Note Netting of Investments and Disinvestments is not allowed xd ORACLE 5 17 2 You can report the separate records for the transactions such as Investment Amounts Disinvestment Amounts Disinvestment Units Switches In and Switches Out for the same Manco Fund per day Following points can be used as reference Disinvestment Amount Amount with a Negative Sign Investment Amount Amount with a Positive Sign Reversal of Investment Amount Amount with a Negative Sign Reversal of Disinvestment Amount Amount with a Positive Sign Disinvestment Units Units with a Negative Sign Message Format Refer to the chapter Appendix B Upload file formats B of Upload Format User Manual for details on Message format 991 ORACLE 6 1 6 Interface with Oracle FLEXCUBE Retail Oracle FLEXCUBE Retail Interface for CIF Accounts Oracle FLEXCUBE Investor Servicing FC IS interfaces with the Oracle FLEXCUBE Retail FCR system at Oracle FLEXCUBE installation The interface enables the propagation of CIF Customer Information File int
58. CIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Previous Reference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message Sus ORACLE 3 15 1 4 If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Order to be Cancelled This is common information related to all the orders to be cancelled FinanciallnstrumentDetails Mandatory This tag provides det
59. Date of Dividend CLAREDATE EPU Earnings Per Unit CORPORATE Type of Dividend Distribu ACTIONTYPE tion Could be either C Cash or S Stock SD PAREN Stock Dividend Parent TRATIO ratio 7 27 ORACLE Level Response prp Field Value Element SD RESULT Stock Dividend Resultant ANTRATIO ratio STATUS Could be either P Pro cessed or U Unprocessed 7 1 26 Viewing Corporate Actions Oracle FLEXCUBE INTERNET BANKING allows you to view investment options This gives you information about the fund distribution mode In case a fund does not have this data it indicates if a plan is Growth Plan or Dividend Plan The Default Distribution Mode will be picked up In case it is RI then Investment Option is Reinvestment else it is P for Payout 7 1 26 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Fund QUERY FCIS SCODE Identifies the external system that FUND FUND is sending the request For exam ple HDFC XREF Running Serial Number QUERY GETFUNDIDR TYPE RECORDID Not Required when fetching for all Funds else FCIS Fund ID 7 1 26 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Unitholders REPLY_FUND FCIS ERRCODE
60. Digit Grouping Symbol e Date and Time Delimiters The default values for these specifications are given below Forms Allowable Default Specification Field Delimiter Comma colon semi colon space tab null Space String Delimiter Single and double quotation marks null Null Date Format DMONY DMY MDY YMD Registry Setting Registry Setting Date Delimiter Hyphen comma space forward slash Regis Registry Setting try Setting Decimal Symbol Comma space null period Registry Setting Registry Setting Digit Grouping Comma period space null Registry Setting Registry Setting Symbol Time Delimiter Colon semi colon space null Registry Setting Registry Setting aid ORACLE 5 2 3 5 2 4 Parameters Section Procedure based interfaces will need certain parameters that you must specify for their execution You can specify the same in the Interface Details screen which you can invoke by clicking Parameters button in the main Interface Maintenance Detail screen E Interface Parameters Interface Parameters 1of1 Parameter Name x Parameter Value Standard o No Parameter Name Alphanumeric Mandatory Select the name of the parameter that is required for the procedure from the drop down list You can specify as many parameters as are necessary Standard Optional Check this box if the parameter you have selected is specific to the FCIS appl
61. E 8 1 8 Interfaces with External Systems Introduction Oracle FLEXCUBE Investor Servicing provides a facility to effect data exchanges and transfers with external systems You can import exchange rates or NAV from an external System or export transaction and dividend information to any external accounting system The external system may be a file system or an application The data exchange can be affected through an interface with the external system This interface consists of the following components e Aninterface definition that will capture all the information that is needed for processing and affecting the data exchange You can designate all the procedures that need to be called the internal tables that will be inserted into or read from the database objects that will be used the file formats and so on e The interface processing modules that will actually process the interface affect the data exchange and create a log of these activities e The file access services that will be utilized by the interface processing module for the purpose of affecting the data exchange You can process an interface in one of the following ways e As part of the End of Day Procedures you can trigger the processes specified for the interface through a simple dialog screen The system performs the data exchange and flashes a message upon successful completion of the activities e You can schedule the interface through the Schedule
62. E Investor Servicing provides the facility to set up a General Ledger for the purpose of generating accounting entries that would be passed at each event in the life cycle of a transaction The events at which the accounting entries could be required for a transaction are as follows e Unitization e Authorization e Settlement Also a set of theoretical entries could be required at initiation of the transaction For these accounting entries the relevant reporting heads are to be mapped to each transaction According to the components mapped and the setup in the system the appropriate accounting entries theoretical entries are passed at either the Distributor or AMC installation for the funds for which the setup has been maintained You can set up the General Ledger by setting up an accounting template for each transaction type and transaction event and then mapping the template for a fund investment account type combination so that the template comes into effect for transactions in the fund investment type combination Setting up General Ledger Template You can set up a General Ledger Template for each event in the life cycle of a transaction of a certain type in the GL Template Detail screen You can invoke this screen by typing 989 ORACLE UTDGLTMP in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button GL Template Detail New t53 Enter Query Template Detai
63. EXCHANG Transfer ERATE CHEQUE Exchange Rate Used for EXCHANG Cheque ERATE 7 24 ORACLE Response Level Element DTD Field Value CORPORA Type of Dividend C Cash TEACTION S Stock TYPE SD_PAREN Stock Dividend Parent TRATIO Ratio SD_RE Stock Dividend Resultant SULTAN ratio TRATIO REINVEST Units Reinvested MENTU NITS Unitholders HANDOFF_ CID CIF Number DIV gt REIN VESTMENT Level Request DTD Field Value Element UNITHOLDERID Unit holder ID FUNDID Id of the fund PAYMENTNUMBER Payment Number for this dividend TOUNITHOLDERID Reinvestment Unit holder ID TOFUNDID Reinvestment Fund ID TOFUNDCURRENCY Reinvestment Fund ID Currency REINVESTMENTEX Exchange rate used CHANGERATE REINV_AMT_TO_FUND Reinvested Amount in the Reinvestment Fund 7 25 ORACLE Request Level DTD Field Value Element UNITSALLOTED Units Allotted for Rein vestment Transaction UNITPRICE Unit Price for Rein vestment Allocation REINV_AMT Amount of Reinvest ment CORPORATEACTION Type of Dividend could TYPE be either C Cash or S Stock Unithold HANDOFF_ CID CIF Number ers DIV gt TAX COMPONENT UNITHOLDERID Unit holder ID FUNDID Id of the fund DIVIDENDNUMBER Dividend Number TAXCOMPONENTTEXT Description TAXCURRENCY Currency of Tax TAXDEDUCTEDIN FUNDCCY Tax in Fund Based Curre
64. Element The table below describes the important elements of the response XML Level Response Element DTD Field Value Transaction REPLY_TXN FCISTXN TXNNUM BER Reversed Transaction Number 7 21 ORACLE Level Besporise DTD Field Value Element TXNREF Running Serial Number NUMBER SETTLE RRRRMMDD MENTDATE ERRCODE The FCIS Error Code ERRDESC Error Description 7 1 24 Viewing Dividend Details for Customers The following dividend details are displayed for a customer e Date of Dividend e Units as on dividend date e Dividend per unit e Amount of Dividend 7 1 24 1 Request Element The table below describes the important elements of the request XML Level Request c gris Field Value Element Unitholders QUE FCISUH DTD SCODE Identifies the external sys RY UH tem that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETDIV REQUEST RRRRMMDD DATE CID CIF Number UNITHOLDE Unit holder ID Optional RID AMCID If AMC ID is given then only records of funds in that AMC will be shown 7 22 ORACLE 7 1 24 2 Response Element The table below describes the important elements of the response XML Response Level Element DTD Field Value Unitholders REPLY UH FCI
65. Error Code FUND DTD ERRDESC Error Description Fund HANDOFF_ FCISFUND FUNDID FUND gt FUN DIDR DIVDE Could be any of the CLARE following values D FREQ Daily M Monthly H Half Yearly Y Yearly Q Quarterly 7 28 ORACLE Response Element DTD Field Value Level DIVPYMT Could be any of the FREQ vales in the following list D Daily M Monthly H Half Yearly Y Yearly Q Quarterly LASTDIVNO Last Dividend Num ber LAST Last Payment Num PYMTNO ber DEFAULT Distribution Mode DISTMODE Could be any of the following P Payout R Reinvestment RESTRICT IDS CORPORA Could be either C TEACTION Cash Dividend or S TYPE Stock Dividend 7 1 27 Viewing Online Balance Total Unit Balance minus the under process units is referred as Online Balance This Balance is displayed on the Redemption and Switch Screens 7 1 27 1 Request Element The table below describes the important elements of the request XML Level Request Dyp Field Value Element Unitholders QUE FCISUH DTD SCODE Identifies the external sys RY_UH tem that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETUHDETAILS REQUEST RRRRMMDD DATE CID CIF Number 1729 ORACLE 7 1 27 2 Response Element The table below describes the important elements of the response XML Le
66. FCIS sends out the fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS InvestmentAccountDetails Mandatory Accountldentification Proprietary Identification xd ORACLE Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to OwnerDetails tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Incoming This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Incoming FCIS uses data mapping to find the Unit holder account type Choice for Units NetAmount Holdings Redemption Rate Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field NetAmt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag Gro
67. Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided E Example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference 89 ORACLE 3 19 Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction FinanciallnstrumentDetails Mandatory Identification Mandatory This tag provides details to identify a fund Outgoing FCIS sends out the fund ISIN Choice for Units NetAmount HoldingsRedemptionRate Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmoun Unit based transactions will be passed under the tag Units Percentage based transactions will be passed under the HoldingsRedemptionRate tag GrossAmount Optional Outgoing This will map to
68. I J This report will be generated for all funds in an AMC as maintained in the message maintenance The trigger could be based on an event or manual Tags in the Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS EstimatedFundCashForecastDetails Mandatory Optional TradeDateTime Optional Outgoing This will be the date for which the report is being generated oa ORACLE 3 29 3 29 1 3 29 1 1 FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowlIndicator Mandatory FCIS will always the pass the value NO EstimatedCashInForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash In EstimatedCashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash Out Fund Confirmed Cash Forecast Report The FundConfirmedCashForecastReport message is sent by a report provider to a report user This message is used to provide a confirmed report of the cash incomings and outgoings per investment fund This message can be used to r
69. Interface User Guide Oracle FLEXCUBE Investor Servicing Release 12 0 4 0 0 Part Number E57474 01 September 2014 ORACLE Table of Contents 1 AboutThis Manual oto ctc rti aeo eE ooa c desastres cce e ti aaant 1 1 LIS uiro eie n 1 1 1 2 Related Documents seseiisinse eed aei i n ene eden d da nha einen n aaa 1 1 1 9 Audience on uten edm deae euu anti ud eie 1 1 1 4 OrganizatiOn z exce A vade mme eeu iet 1 1 1 5 Conventions Used in this Manual sss enne 1 2 1 5 1 General Convonti rnS seisis nennen nennen nnns enn 1 2 1 5 2 Keyboard Conventions sse 1 2 1 6 Glossary oF Icons eee reete ete ep tete nine Rec SE daa ne ta E es 1 2 1 7 X Abbreviations and Acronyms sssssssssseeeeenm nennen ener enne 1 2 1 8 Getting Help iicet E piam eite baee 1 3 2 Creating Electronic Fund Transfer Interfaces 2 1 2 1 lntroduction tiis deine nh dee ete dedere sie dE dendi AA aede a and ina 2 1 2 2 Creating Transfer Instruction Files sseeen me 2 1 2 9 Few Basic Terms oum Reit tec iet diesen ne debt te desee 2 1 23 1 Generating EFT Files Serera seed epe cc tue Pe Euro eee dH 2 2 2 39 2 Re exporting Batch EFT File sse 2 3 2 4 EFT Batch Generation Screen ssssssssssssee emen 2 3 2 41 Generating EFT Batch in this Screen seen 2 3 2 42 Fields in EFT
70. L statement that is associated with manipulation of data You can import data into any of the following database object types e Table You can import data from an external specified file into an internal table e Procedure You can import the data from an external file to a temporary internal table and run a procedure to validate the imported data and populate it into the required internal table You can choose the required option from the drop down list according to the type of interface Interface Code Alphanumeric Mandatory The interface code identifies the two components or applications that are on either end of any interface definition Any interface has a sending system that exports data and a receiving system that receives the exported data as an import Specify the interface code that identifies the sending and receiving systems for the interface using the options in the drop down list The interface code is captured for information purposes only s ORACLE The following table displays the different codes and the sending and receiving systems identified for each Interface Code Sending System Receiving System I2F FLEXCUBE Investor Services Operating System C2l FLEXCUBE Securities FLEXCUBE Investor Services 12C FLEXCUBE Investor Services FLEXCUBE Securities F2l Operating System FLEXCUBE Investor Services I2 FLEXCUBE Investor Services FLEXCUBE Investor Services SQL String Com
71. Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund Identification Mandatory Outgoing FCIS sends out the fund ISIN for the Switch To fund UnitsNumber gt Unit Mandatory Outgoing The allocated units for the switch out leg of the transaction Amount Mandatory This is the net amount of the switch out transaction in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed TradeDateTime Mandatory This is a choice between Date and DateTime nd ORACLE Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandatory This is the price at which order was executed PriceDetails gt ExtendedType Mandatory Outgoing FCIS will support the code OTHR only Value Amount Mandatory Outgoing This will be the allocation price of the Switch From fund CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO CommissionDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory This indicates the load corresponding to the commission that is being overridden The Load in the system can be identified using the Load I
72. Mrs bou ce ud gt 7 11 7 1 15 NAV Movement oii ea rte det ro E HE RB A HERR adne eA 7 11 7 1 16 Update Profile e e e eed ei ead a ee 7 12 7 1 17 Entering Modifying and Deleting Bank Account Details 7 13 7 1 18 Income Distribution Profile cssssnnn 7 13 7 1 19 Standing INSTRUCTIONS opereert a E S nennen ennt 7 14 7 1 20 Dividend Information Inquiry 7 16 7 1 21 Processing Requests Received during End of Day Process 7 16 7 1 22 Search Based on AMC sse eene 7 17 7 1 23 Viewing Joint Unit Holders seen 7 19 7 1 24 Viewing Dividend Details for Customers sse 7 22 7 1 25 Viewing Dividend Details for Funds sseeenee 7 26 7 1 26 Viewing Corporate Actions sssssssssssess eene nennen 7 28 7 1 27 Viewing Online Balance sssssssssssssee eene nnns 7 29 7 1 28 Viewing Multiple Funds in Transaction Activity sssuusss 7 31 7 1 29 CIF Handoff for Enabling Internet Banking sess 7 34 8 Interfaces with External Systems eene 8 1 8 1 Introductions e iom reete tte reote eee ue o teu f ee 8 1 82 FCIS 8 2 1 8 2 2 8 2 3 8 2 4 AWD Interface EP INE 8 2 Maintaining Interface Specific Details esee 8 2 Interface Attributes bm s C petes 8 2 Process WOSKIIOW cecccccccccecceseseeeec
73. NO Foreign Exchange Details Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e Unit Currency This will be the transaction currency e Quoted Currency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions Commission General Details Optional This indicates the load corresponding to the From Entity Type U and To Entity Type F Total mountofCommissions Optional Outgoing FCIS sends out the value of the load where the From Entity Type is U and To Entity Type is F CommissionDetails Type gt Extended Type Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Amount Mandatory Outgoing This tag corresponds to the individual Loads under the main U F load viz F M and F A loads Rate Optional This tag corresponds to the rates of individual Loads under the main U F load viz F M and F A loads ChargeGeneralDetails Optional This tag corresponds to the sum of all the loads other than the load mentioned in the CommissionGeneralDetails tag wie ORACLE 3 12 TotalAmountofCharges Optional Outgoing FCIS sends out the sum f all the loads othe
74. SUH DTD ERRCODE Error Code ERRDESC Error Description Unitholders HANDOFF FCISUH DTD CID CIF Number DIV gt DIVI DEND UNITHOLD Unit holder ID ERID UNITHOLD Customer Name ERNAME FUNDID ID of the fund ISINCODE ISIN DIVIDEND Dividend Number NUMBER PAYMENT Payment Number for this NUMBER dividend FROMDATE The Start Period of this distribution TODATE The End Period of this distribution DIVIDEND The date of Dividend DECLARE Declaration DATE DIVIDEND The date Dividend is Pro PAYMENT cessed DATE DIVIDEND Value Date VALUE DATE COUPON Coupon number if any NUMBER EPU Earning Per Unit UNITBAL Balance on which Divi ANCE dend is given 7 23 ORACLE Response Level Element DTD Field Value DIV CCY Dividend Currency DIV AMT Total Dividend Amount TAXDE Total Tax Deducted DUCTED NETPAID Net paid after Tax REINV AMT Total Amount Reinvested in Fund MOP Mode of Payment if Pay out T Transfer Q Cheque BANKNAME Bank Name of Transfer BRANCHNA Branch Name of Transfer ME BRANCH BIC Code for SWIFT BICCODE ACCOUNT Account Number for NUMBER Transfer ACCOUNT Currency of Account CURRENCY CHEQUE Cheque number if mode NUMBER of payment is cheque CHEQUEA Cheque Amount MOUNT CHEQUE Cheque Currency CURRENCY TRANSFER Total Amount Transferred AMOUNT TRANSFER Exchange Rate Used for
75. SWIFT Messages explains the processes involved Chapter 3 l in uploading and processing SWIFT messages is explained Chapter 4 VESTIMA Processing explains the explains the processes related to P VESTIMA external system Interface Interfaces with External Systems explains setting up mainte Chapter 5 nance online execution of various interfaces Chapter 6 Interface Interface with Oracle FLEXCUBE Retail explains setting up P maintenance online execution of interface with FLEXCUBE retail Oracle FLEXCUBE Internet Banking explains interface between FCIS and Chapter 7 B Internet Banking Interface Interfaces with External Systems explains facilities to effect Chapter 8 data exchanges and transfers with external systems t1 ORACLE 1 5 Conventions Used in this Manual Before you begin using this User Manual it is important to understand the typographical conventions used in it 1 5 1 General Conventions Convention Type of Information Italic type Functional foreign terms Validations for fields on a screen References to related Headings Users Manuals For emphasis Numbered Bul Step by step procedures let 1 5 2 Keyboard Conventions Convention Type of Information Keys All keys of the keyboard are represented in capital letters For example lt CTRL gt Shortcut All short cut keys are contained in brackets For example lt ALT SHIFT g
76. SwitchOrderCancellationRe Cancella SCA Req questV03 tion of Switch Order 4 3 3 Confirmation of Executed Orders The following messages are sent by OHAs to Vestimat to confirm the orders received These are forwarded by Vestima to the Ols Message Message Name Purpose FCIS Code RedOrdrConf setr 006 001 03 RedemptionMultipleOr Confirmation RCO derConfirmationV03 of Redemp tion Order Sbcp setr 012 001 03 SubscriptionMultipleOr Confirmation SCO tOrdrConf derConfirmationV03 of Subscrip tion Order Swt setr 015 001 03 SwitchOrderConfirma Confirmation SCM chOrdrConf tionV03 of Switch Order 4 3 4 Status Updates Status messages are used by Vestima as a means of validating the inbound message process and to provide the status of an order or cancellation order Message Message Name Purpose FCIS Code OrdrinstrSts setr 016 001 03 Orderlnstruction Order Instruc OIS Rpt StatusReportV03 tion Status Report 44 ORACLE 4 3 5 Message Message Name Purpose FCIS Code OrdrCxlSts setr 017 001 03 OrderCancella Order Cancel OCS Rpt tionStatusReportV03 lation Status Report Note The status message is optional in case of positive validations for the inbound message Securities Rejection If no action is possible on a message received by Vestimat for instance if the originator of the message is unknown or a
77. TDPYCLR 2 11 UTDREEX esse 5 14 UTDSWIFT 3 12 UTDSWUDF 3 11 UTDVEST iiit 4 2 UTSAMNAV 5 26 UTSEETSD si cissegedccciasnecsics 2 7 UTSGLTMP 5 33 UTSIFAC ess 5 10 UTSJOB uie 5 18 UTSONLIN 5 13 UTSPYCLR 2 12 UTSSWMSG 3 5 UTSSWUDPF 3 8 ORACLE Interface User Guide September 2014 Oracle Financial Services Software Limited Oracle Park Off Western Express Highway Goregaon East Mumbai Maharashtra 400 063 India Worldwide Inquiries Phone 91 22 6718 3000 Fax 91 22 6718 3001 www oracle com financialservices Copyright 2007 2014 Oracle and or its affiliates All rights reserved Oracle and Java are registered trademarks of Oracle and or its affiliates Other names may be trademarks of their respective owners U S GOVERNMENT END USERS Oracle programs including any operating system integrated software any programs installed on the hardware and or documentation delivered to U S Government end users are commercial computer software pursuant to the applicable Federal Acquisition Regulation and agency specific supplemental regulations As such use duplication disclosure modification and adaptation of the programs including any operating system integrated sof
78. TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AO If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name Switch Order Cancellation Instruction The SwitchOrderCancellationInstruction message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SwitchOrderCancellationInstruction message is used to cancel the entire previously sent order message and all the individual legs that it contained There is no amendment but a cancellation and re instruct policy For incoming Switch order cancellations FCIS will process the reversals based on the tags PreviousReference or CancellationByOrderDetails SwitchOrderDetails gt OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed before neither of the transactions will be included in the SWIFT message FCIS will
79. This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be generated against each Messageldentification message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message Multiple Execution Details Mandatory OrderDateTime Optional Outgoing This will be mapped to the transaction save time Investment Account Details Identification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag Settlement Amount Optional ORACLE FLEXCUBE would pass settlement amount of the transaction in this tag Individual Execution Details This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS Deal Reference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage ORACLE Outgoing This would map to the Transacti
80. aesesususeesssssesesesesececeeeeeesausususaansaeanensneneses 8 2 File Format for FCIS AWD Interface eise enean 8 2 9 Function ID GlOS c AMA 9 1 1 1 1 2 1 3 1 4 1 About This Manual Introduction Welcome to Oracle FLEXCUBE Investor Servicing a comprehensive mutual funds automation software from Oracle Financial Servicing Software Ltd This Oracle FLEXCUBE Investor Servicing User Manual helps you use the system to achieve optimum automation of all your mutual fund investor servicing processes It contains guidelines for specific tasks descriptions of various features and processes in the system and general information Related Documents The User Manual is organized in to various parts each discussing a component of the Oracle FLEXCUBE Investor Servicing system Audience This Fund Manager User Manual is intended for the Fund Administrator users and system operators in the AMC Organization This volume of the Fund Manager User manual is organized under the following chapter sequence About This Manual explains the structure audience organization and Chapter 1 l related documents of this manual Interface Creating Electronic Fund Transfer explains the processes Chapter 2 involved in using the FC IS system to create transfer instructions EFT files and transmit them to an external clearing bureau or clearing house Interface Processing
81. ails to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction InvestmentAccountDetails Mandatory Accountldentification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description Fay ORACLE 3 16 Choice for Units NetAmount HoldingsRedemptionRate Mandatory Outgoing Irrespective of the
82. allow generation of this message in an automated way based on a certain event that is triggered in the system or manually Tags in Message Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference TE ORACLE 3 24 1 2 3 24 1 3 3 24 1 4 Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and utgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message ldentification of the original message sent This would be the link between confirmation message and original bulk order message FCIS will always communicate cancellations through CancellationByOrderDetails gt SwitchOrderDetails gt OrderReference Order to be Cancelled This is common information related to all the orde
83. ance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOrBEI e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AO If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name Switch Order Confirmation The Switch Order Confirmation message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the 19 ORACLE 3 23 1 3 23 1 1
84. and not ISIN always TransactionDetails Mandatory TransactionType Mandatory This tag indicates the type of transaction DealReference Optional This is a unique number assigned to the transaction by FCIS SettledTransactionIndicator Mandatory This indicates whether the transaction is settled This indicator would be Yes if the transaction is settled Else it would be No RegisteredTransactionIndicator Mandatory This tag would be set to No UnitsQuantity Unit Mandatory The allocated units for the transaction A ORACLE CreditDebit Mandatory This tag indicates the direction of the transaction This would be CRDT for inflow transactions and DBIT for outflow transactions Reversal Optional This tag indicates reversal of transactions This would be CRDT for inflow transactions and DBIT for outflow transactions GrossSettlementAmount Optional This will be the gross settlement amount in the settlement currency TradeDateTime Date Mandatory This will be the Transaction Date DateTime Mandatory This will be the save time of the Transaction CumDividendIndicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend This will be defaulted to NO PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed This will be d
85. andling sioe eed ete to year edere RR ud 5 43 5 12 DEPU Upload cn Eat dt aiid odi een 5 44 5 12 1 Interface Workflow essi tida eani sees n E an nana n aan E EE E 5 44 5 12 2 Attributes ciuem it Eam at eU SUR 5 44 5 12 3 Massage FOTIMA iia RR ETE E RERO ER es 5 45 5 13 Tax Aggregation Interface liess netten tht netten niens 5 45 5 13 1 Interface Workflow essi esee inantea ater nant dana 5 45 5 15 2 Attributes ute LR e LE EY Ve eee inet abe de ERR ee 5 45 5 13 3 Message Formal sese netta enini dna noto d nina 5 45 5 14 Agent Reference File ciiisean riea TE A AERA RER EEA OER Aae ETER 5 45 ITET Introduction i oo LR RR eG ee 5 45 5 142 Interface Attributes eo a obedece pedet ee edo eese M Ee dait 5 45 5 14 3 Message FOAL arrar peera iai ua aaa aa Hoe dan eo deno pads 5 46 5 15 Oracle Financial Interface ssssssssssssssssssssseeee ener 5 46 5 15 1 Interface Attrib tes us pie p endete 5 46 5 15 2 Message Formal tos EGER ER DL ERE 5 46 5 16 Product Fund Asset Code Mapping Interface ccceeeeeeeeeeeeeteeeeeeeeeeeeeteeees 5 46 5 16 1 Executing Product Fund Asset Code Mapping Interface 5 46 5 17 Global Order Placement Interface ssssessee eene 5 47 5 17 1 Batch Process for Global Order Generation 5 47 5 17 2 Message Formal d a o ERE ke Y e ERR RR FRA ana 5 48 6 Interface w
86. ank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send Cash AccountDetails Mandatory Choice Accountldentification Proprietary Identification Mandatory Incoming This will be the bank account number of the unit holder This number will be used in conjunction with the element Type Structured i e the bank account type to get the bank details of unit holder Outgoing If the bank details selected for the transaction is a CPF accounts CPFOA CPFSA ASPFOA ASPFSA or SRS the system will provide the structured account type information under this element Type Structured oe ORACLE 3 8 3 8 1 3 8 1 1 3 8 1 2 Mandatory The following are the SWIFT supported codes for structured types along with the FCIS mapping Structured codes FCIS Map CASH No mapping CPFO CPFOA CPFS CPFSA OTHR ASPFOA ASPFSA SRSA SRS Subscription Bulk Order Confirmation This message is sent by an executing party to an intermediary party This message is used to confirm the details of the execution of a Subscription Bulk Order message The Subscription Bulk Order Confirmation message is s
87. another intermediary party This message is used to instruct the executing party to subscribe to a specified amount quantity of a specified financial instrument The Subscription Bulk Order message is used to bulk several individual orders into one bulk order The individual orders come from different instructing parties but are related to the same financial instrument The Subscription Bulk Order message can result in one single bulk cash settlement or several individual cash settlements This message cannot be used for a single order a message containing one order for one instrument and for one investment account The Subscription Multiple Order message not the Subscription Bulk Order message must be used for a single order Tags in Message Message Identification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory e Incoming This number is used for storage and reference e Outgoing This will be generated by the system and will be unique for group of transactions in a fund Pool Reference Optional This is a collective reference to identify set of messages Reference Mandatory e Incoming This number is used for storage e Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Bulk Order Details FinanciallnstrumentDetails Mandatory Th
88. ansaction Number PaymentMode ALL Fund ID Level Transaction From Date Range Payment Clearing 1of1 E Transaction Number Txn Dti Payment Mode Payment Details Clearing Date Clearing Status I ISIN Code Fund Name To Drawee Bank Name Pledgee Branch 2 7 1 Fields in Payment Clearing Screen The following are the fields in the Payment Clearing Screen Level AMC Distributor Fund ID ISIN Code Payment Mode Specific Number Date Range From ORACLE 2 7 1 1 2 8 e To Payment Clearing The following are the fields under Payment clearing section e Transaction Number e Txn Dt e Payment Mode Description e Payment Details e Clearing Date e Clearing Status e Drawee Bank Name e Pledgee Branch e Txn Base Currency e Instrument Status e Remarks e Sys Reference Number e Check Status e Clearing Level e Auth Status e Maker ID e Maker DT Stamp e Checker ID e Checker DT Stamp Payment Clearing Summary Screen You can invoke the Payment Clearing Summary screen by typing UTSPYCLR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Payment Clearing Summary Transaction Number Transaction Date Clearing Date a Clearing Status LH Clearer ID Authorized Record Status X Advanced Search Records per page 45 v 1 w 1
89. are supported by the Vestima system are e RedemptionMultipleOrderV03 setr 004 001 03 RedOrdr e RedemptionMultipleOrderCancellationInstructionVO3 setr 005 001 03 RedOrdrCxlReq e RedemptionMultipleOrderConfirmationV03 setr 006 001 03 RedOrdrConf e SubscriptionMultipleOrderV03 setr 010 001 03 SbcptOrdr e SubscriptionMultipleOrderCancellationInstructionVO2 setr 011 001 03 SbcptOrdrCxlReq e SubscriptionMultipleOrderConfirmationVO3 setr 012 001 03 SbcptOrdrConf e OrderlnstructionStatusReportVO3 setr 016 001 03 OrdrinstrStsRpt e OrderCancellationStatusReportV03 setr 017 001 03 OrdrCxlStsRpt e SecuritiesMessageRejection semt 001 001 03 SctiesMsgRjctn 4 ORACLE 4 2 4 2 1 Maintenance for Vestima Processing You are required to link entities eligible to send and receive messages to each other through Vestima You can do this in the Entity Media Maintenance screen To invoke this screen type UTDVEST in the field at the top right corner of the Application tool bar and click the adjoining arrow button Entity Media Maintenance New 43 Enter Query From Entity ID From Entity Description From Entity Type To Entity ID To Entity Description To Entity Type C Vest IMA Enabled Input by DateTime Authorized by DateTime Mod No Open Authorized You can perform the following operations in this screen e Create a new record e Modify an existing record e Delete an una
90. as given a mandate to debit the account d ORACLE DebtorAccount Mandatory This tag will be used to identity the bank account of the investor FCIS supports DomesticAccount based identification Incoming The details available for DomesticAccount will be used in conjunction with the element details of the tag Debtor Agent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid for the transaction currency If not these account details will be considered as third party payment details Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag Debtor Identification Mandatory This tag will be used to identity the bank account of the investor FCIS supports DomesticAccount based identification Debtor Agent Mandatory This is used to identify the bank of the investor FCIS supports BIC and Proprietary Identification based identification Incoming If BIC is provided the system will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these b
91. ate of the fund price prior to the date provided under the tag TradeDateTime This information will be provided under the tag PreviousValuationDateTime Date ValuationCycle Mandatory This specifies how the price valuation timing is done based on the timeline defined in the prospectus FCIS will always communicate the value USUA Usual as the code to indicate that price valuation is done within the timeframe specified in the prospectus Suspendedindicator Mandatory Indicates whether the valuation of the investment fund class is suspended FCIS will always the pass the value NO PriceDetails Mandatory FCIS will use this tag to provide the Fund Price components if applicable for the fund and Fund Price details at a transaction type level Type Mandatory e Structured Mandatory FCIS will pass NAVL OTHR as the structured codes While passing the Declared NAV for fund FCIS will use the code as NAVL For other details such as transaction type level or component level price details OTHR will be used e Additionallnformation Optional If the structured code is OTHR this information is mandatory FCIS will pass the respective Transaction Type Code and Component ID as additional information ValuelnlInvestmentCurrency Mandatory Repetitive This tag will be used to pass the Declared NAV Component Value for Component ID and Transaction Base Price for Transaction Type as ORACLE 3 26 3 26 1 3 26 1 1
92. ation e To mark all retrieved records for authorization Inthe retrieved list specify the value of each transaction in the Transaction Value field Click the Mark All for Authorize link Click the Authorize Marked Records button to complete the authorization When the checker authorizes a transaction details of validations if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction 2 5 5 Amending Record After a record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation 29 ORACLE 2 5 6 2 5 7 2 6 e Invoke the EFT Setup Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the record in the corresponding fields on the screen All record with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The EFT Setup screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save your cha
93. ation explained in the previous sections of this chapter e Click on Copy e Indicate the ID for the new Interface Maintenance You can however change the details of the new maintenance Online Execution of Interfaces To execute or process an interface maintenance definition use the Online Interface Execution screen You can invoke this screen by typing UTSONLIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Interface ID Description Advanced Search Records per page 15 BL B4 of 1 EE L1 Interface ID Auth Status Description Import Export Type Import Export Basis Interface Code Proc ID Number Of Files Import Export E All the interface definitions available for processing are displayed in the Available Interface Definitions box You can select any or all of these to be executed by highlighting them in the Available box and using the arrow buttons to move them to the Selected Interface Definitions box After you have made the desired selections click the Execute button You must indicate that you want to continue with the processing The selected interfaces are processed and the system displays a message to indicate successful completion of the processing If any errors result you can view the same using the View Interface Error Log menu item in the Data Entry menu of the Fund Manager component oe ORACLE 5 4 5 5 To
94. ation Interface The Tax Aggregation Interface facilitates the export and subsequent import of all tax information relating to Annuity Income The dispatch and receipt of the information is done on a monthly basis Interface Workflow FCIS collates tax information across all lines of business every month only for clients with Annuity income This is sent across to an application which checks if the tax payable by the client has been accurately calculated The application then sends the accurate values of tax which will be updated in the designated tables in FCIS There will be no processing of the data imported Attributes The attributes present in the Tax Aggregation File interface are as follows e The interface handles outgoing information from FCIS as a delimited file e The upload is manual e There is no header row e The trailer row is the Control Records e The field separator is a comma e The records are separated by the New Line Character The incoming information into FCIS is handled the same manner as the outgoing information Message Format Refer to the chapter Appendix B Upload file formats B of Upload Format User Manual Agent Reference File Introduction The Agent Reference File is an import interface The broker details like Broker Name Broker Type etc are updated in the FCIS using this interface The repository of OMIPAY i e SAP will send a file to the system which includes the broker de
95. ation maintained for the FCR bulk client in the Bulk Clients Defaults Maintenance You can alter any details for the initial unit holder account as follows e Ifthe initial account is unauthorized edit the account through the Unit Holder New Account Summary screen You can access both these screens through the respective menu items in the Browser Note When FCR is not available at the installation CIF accounts are created in the FC IS sys tem through the Customer Maintenance menu item in the Maintenance menu category of the Agency Branch Upon authorization of the CIF account in FC IS a single initial unit holder account is also created for the CIF account in FC IS For a fuller understanding of how CIF accounts are created and managed in the FC IS system refer the chapters Maintaining Customer Information and Managing Investor Accounts When both FC IS and FCR systems co exist at a FLEXCUBE installation the Customer Maintenance menu item in the Maintenance menu category of the Agency Branch is not 91 ORACLE 6 1 3 available In such an event the CIF account is created in the FCR system When investment details are also captured for the CIF account in FCR and authorized the interface process is triggered as described above The CIF and investment details are propagated to FC IS by the interface and a single initial unit holder ID is created in FC IS for the CIF account Unitholder Accounts unde
96. aults Maintenance record maintained in the FC IS system for the FCR bulk client code 99 ORACLE 7 1 7 Oracle FLEXCUBE Internet Banking Introduction Oracle FLEXCUBE Investor Servicing interfaces with the Oracle FLEXCUBE INTERNET BANKING application whenever both systems are installed at a FLEXCUBE installation location Oracle FLEXCUBE INTERNET BANKING is a web enabled application through which customers and investors of the bank or AMC may login at a remote web location and send requests for data or initiate transactions Through this interface an investor that has a unit holder account mapped to a CIF account in the FC IS system can perform the following operations by logging in to the Oracle FLEXCUBE INTERNET BANKING system at a remote web location Note The information interchange between the two systems is formatted in XML Download information about the unit holder account fund rules processing rules for transactions bank account details and daily NAV Initiate new transactions for the unit holder account The investor can therefore initiate buy transactions IPO and subscription sell transactions redemption as well as switch exchange transactions Make changes to the unit holder account profile through an edit operation This is possible only if the account is unauthorized Changes to an authorized unit holder account record are only possible through an amendment and the amended
97. ax circle if any corresponding to the customer Tax deducted at source Whether tax is deemed as deducted at source for the customer Tax ID The tax ID if any for the customer Allow ROA at CIF level Whether the Rights of Accumulation facility is to be made available for all unit holders under the CIF account for the customer Fee category The fee category if any under which the customer is placed Fee sub category The fee sub category if any under which the customer is placed Module ID The default module in which the customer may operate in the FC IS system The following information is not mandatory but may also be specified if necessary Account Statement Frequency The frequency at which account statements are required to be given to the customer Corporation Type For corporate or bank customers the type of corporation Contact Person For corporate or bank customers the contact person Country Of Domicile The country in which the customer is domiciled o ORACLE e Father Spouse Name For individual customers the name of the father or spouse as applicable e Occupation The occupation of the customer For a fuller discussion of each of the above details refer the chapter Managing Investor Accounts Defaulting information If any details are not found in the CIF information that is propagated by the FC IS FCR interface they are reckoned by default from the Bulk Clients Def
98. be manually authorized On inquiry all income distribution details for the selected CIF account will be sent for viewing If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful addition or change an appropriate message is inserted along with original details Standing INSTRUCTIONS After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter standing instructions for the account or effect changes to any previously entered standing instructions for the unit holder profile Standing instructions may be set up for subscription redemption and switch transactions New standing instructions The following information must be specified for a new standing instruction in a fund for a unit holder ID e SI Type Transaction type e SI description e SI start date should not be past date e SI end date e Sl frequency e SI escalation start date e Details specific to transaction types Details specific to transaction types are as follows Subscription e Transaction mode Units Amount e Transaction value Amount or Units e Transaction Currency for amount e Gross Net Net basis is applicable only for Units transaction mode Gross basis is applicable to both Amount and Units transaction modes e Certificate Required Applicable only for certificate
99. be the exchange rate for the transactions Physical Delivery Indicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Cash Settlement Date Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Subscription Multiple Order This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The Subscription Multiple Order message is used to subscribe to different financial instruments for the same investment account It can result in one single bulk cash settlement or several individual cash settlements This message can also be used for single orders i e a message containing one order for one financial instrument and related to one investment account The Subscription Multiple Order message and not the Subscription Bulk Order message must be used for a single order FCIS will allow generation of this message in an automated way based on an event triggered or manually The grouping of multiple orders is driven by investment account and not the fund as in the Subscription Bulk Order message Tags in Message Message Identification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need t
100. bit or credit entries due to the settlement the system generates a number known as the link settlement number This number is typically used for tracking the record in the different stages of the settlement If more than one of the records retrieved for a batch are to be settled by crediting or debiting the same unit holder account then the system internally deems the settlement to be a single one It also assesses the number of such settlements and displays the same For example in the case of redemption payments let us suppose that a certain unit holder A has performed redemption transactions T1 and T2 and that these transactions have been allocated on the date 3 April 2000 Let us suppose that the only bank account to be credited as a result of these transactions is AC1 When you extract redemption payment records for the date 3 d April 2000 in this screen the system retrieves T1 and T2 When it finds during the process of extraction that both the proceeds of both transactions are to be credited to a single account AC1 it deems both the transactions as a single settlement and assigns a single link settlement number for both these transactions For a single link settlement number all the underlying transactions must be cleared or rejected together Generating EFT Files Typically it is recommended that you perform the generation of an EFT batch file after the End of Day process at the Fund Manager has been preformed by
101. c Mandatory Specify the account code in the external system that corresponds to the selected FCIS system code FCIS Finware Interface This interface supports the online settlement for the following e Subscriptions captured through FCIS e Bulk Upload Subscriptions Except Transactions sent from RTA to FCIS e Subscription Reversal e Bulk Upload Subscription Reversal Except Transactions sent from RTA to FCIS e IPO and IPO Reversal When a customer makes an investment and the transaction is captured through FCIS the CASA account in FINWARE will be debited with the gross amount of the subscription and will be credited to AMC Pool account This activity will be trigged as an Authorization event The settlement will take place just before the transaction is saved and if a successful response is received from Finware the transaction will be successfully saved in FCIS vas ORACLE 5 11 1 FCIS will post the Debit Credit request to FC Connect which will then send the actual request to Finware build the response as expected by FCIS and send the response Note Online settlement happens for transactions on the system date even if they are placed after the fund cut off time After the cut off time transactions cannot be reversed or cancelled till the Transaction Date and System Date are equal Online settlement happens only for gross unalloted payment not cleared transactions subscription subscription
102. cations e Alistofall unit holder accounts under the CIF account e The holdings position for all unit holders under the CIF account at fund and portfolio levels e The details of bank accounts specified for the unit holder accounts under the CIF account Information from FC IS to Oracle FLEXCUBE INTERNET BANKING When an investor logs in to Oracle FLEXCUBE INTERNET BANKING the following information is available from FC IS facilitated by the data hand off between the two applications ice ORACLE Note Any static data from FC IS is made available through a Bulk Table Upload and the user in FC does not have the choice of selecting the information to be viewed Unit holder account information e Unit Holder ID e Account Statement Frequency and Account Statement Currency e E mail ID Unit holder bank account information e Bank Code e Branch Name e Account Number e Account Type e Account Holder Name e Account Currency e Default Bank Account e Applicability of direct debit on the account e Delivery options and delivery account details Fund rules information e Fund Master details including fund identification information such as ID and ISIN Code e Details of any fund rule e The allowable currencies for transactions in a fund e The types of transactions allowable for a fund e The fund price e The NAV for a fund e Limits for standing instruction transactions in a fund e Settlement cycle for the f
103. ccount Number Mandatory Enter the bank account number SAP Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product ue ORACLE Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Account Number Mandatory Enter the bank account number Payment Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Bank Branch Select the bank branch from the option list provided Contra Account Number Mandatory Enter the bank account number Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Direct Debit Applicable This field will be disabled for the option Payment one ORACLE 5 9 3 5 9 3 1 GL Template Summary screen Invoke the GL Template Summary screen by typing UTSGLTMP in the field at the
104. ccount can be deleted through a request from Oracle FLEXCUBE INTERNET BANKING by specifying the required Standing Instructions Number Authorized standing instructions cannot be deleted through this function but the status can be changed from ACTIVE to CANCELLED using the CANCEL option Inquiry on existing standing instructions Any existing standing instructions for a CIF account can be viewed through a request from Oracle FLEXCUBE INTERNET BANKING by specifying the required CIF account On receiving the standing instructions request whether a new addition modification or inquiry FCIS will process the instruction If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful addition or change the transaction is saved as an unauthorized transaction and the transaction number is inserted with an appropriate message along with original details ap ORACLE 7 1 20 7 1 21 Defaulting of information While processing the standing instructions transaction FC IS also inserts the following as default information along with the details from Oracle FLEXCUBE INTERNET BANKING that is necessary for saving the standing instructions transaction request e Values for the information heads that are not specified by the logged in user in Oracle FLEXCUBE INTERNET BANKING e All default information
105. ch price is applied according to the terms stated in the prospects Outgoing This will be the effective date of the fund price and will be passed under the tag TradeDateTime gt Date FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ValuationCycle Mandatory This specifies how the price valuation timing is done based on the timeline defined in the prospectus FCIS will always communicate the value USUA Usual as the code to indicate that price valuation is done within the timeframe specified in the prospectus Suspendedlindicator Mandatory This indicates whether the valuation of the investment fund class is suspended FCIS will always the pass the value NO TET ORACLE 3 27 3 27 1 3 27 1 1 3 27 1 2 PriceDetails Mandatory FCIS will use this tag to provide the Fund Price components if applicable for the fund and Fund Price details at a transaction type level Type Mandatory e Structured Mandatory FCIS will pass NAVL OTHR as the structured codes While passing the Declared NAV for fund FCIS will use the code as NAVL For other details such as transaction type level or component level price details OTHR will be used e Additional Information Optional If the structured code is OTHR this information is mandatory FCIS will pass the respective Transaction Type Code and Component ID as add
106. cords that forms a single transfer instruction EFT file Accordingly one single batch can include transfer instructions records that could apply to any one of the four business events mentioned above redemption payments dividend payments broker commission payments or debit orders as of the date on which the effective date the hand off files are to be generated Instruction Type Each of the four business events that will result in transfer instructions being sent to the clearing bureau for debit orders or clearing bank for redemption payments dividend payments or broker commission payments is designated within the system as an instruction type Therefore a single batch can contain records that pertain to a single instruction type for a given date Instruction Medium The instruction medium is the method using which the interfacing with the external entity is achieved Therefore the medium could be an automated clearing bureau an electronic funds transfer a SWIFT interface and so on Taking a typical example if the generated transfer instruction files are exported to an external clearing bank they may need to be exported through an electronic funds transfer In this case the instruction medium would be EFT or electronic funds transfer Settlements and Link Settlement Numbers Settlement of the records in a batch involves the debiting or crediting of the applicable bank accounts For each account that is impacted by the de
107. ct the type of job from the drop down list The following options are available for selection e PL SQL e JAVA Max Number Instances Numeric Mandatory Specify the maximum number of instances that needs to be queued up If you maintain the max number instances as 0 no instances are queued or parallel processed till the current running instance is completed Scheduler Alphanumeric Optional Specify the name of the scheduler The system defaults the name to SchedulerFactory However you can modify this name This signifies the scheduler name which is configured as part of infra Trigger Type Alphanumeric Optional Select the type of the trigger from the drop down list The following options are available e Simple Interval based jobs i e every one hour e Cron Time based jobs i e Friday 4 30PM Scheduler Type Display The system displays Quartz as the scheduler type Priority Alphanumeric Optional Select the priority on which the system should execute the jobs in the scheduler from the drop down list The following options are available e Normal e High If two jobs with different priorities fire at the same time then system gives preference to the job with higher priority mig ORACLE Message Queue Alphanumeric Conditional Specify the default JMS queue to which a job needs to send message You can specify this only if the job has to send messages to JMS Cron Expression Alphanumeric Mandatory Specif
108. ction However if the original message has been suppressed or has not been processed FCIS will report the failure under the section OrderDetailsReport gt Suspended SDa ORACLE 3 20 1 3 20 2 3 20 2 1 3 20 2 2 Message Structure The following is the structure of the message References Accepted Received SentTo Next Party Alrea Sear Conditionally Accepted Cancelled Reason for Status Suspended Rejected In Repair Financial Instrument Repaired Commission Conditions Investment Account Tags in Message Choice OtherReference PreviousReference Mandatory Reference Mandatory Incoming FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This number will be used to set the status of underlying transactions if the individual order details are not reported Outgoing FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This will be the Messageldentification number of the original order Messageldentification Optional Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and ou
109. ction list When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 3 5 6 Amending Record After a record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the SWIFT ELEMENT UDF Summary screen from the Browser You can invoke this screen by typing UTDSWUDF in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button e Select the status of the record that you wish to retrieve for amendment You can only amend records of records that are authorized e Specify any or all of the details of the record in the corresponding fields on the screen All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Swift Element UDF Detail screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save your changes Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Swift Element UDF
110. curred for the date you specify here The fund dividend should have been declared and authorized for all funds earlier than the date you specify here The dividend that has been declared must already have been processed for the date you specify here zs ORACLE 2 4 3 e For broker commissions the commissions that are accruing to the broker on the date you specify here must already have been processed in the system e For debit orders the date you specify here must be the date of generation of the standing instructions transaction Therefore it must always be a future date Therefore for redemption payments broker commission payments and dividend payments the date you specify here can be a past date subject to the conditions mentioned above Process Date The application date is displayed here This is the date on which the batch record is saved in this screen Agent Code Select the agent code from the option list Unit Holder ID Select the ID of the respective unit holder from the option list Batch Description 30 Characters Maximum Alphanumeric Mandatory Give a brief narrative description for the batch Net Amount The net amount involved in the transaction is displayed here Held Back Payments Select Yes or No to specify whether any payments are held back or not Broker Code Enter the broker code Held From Enter from when the payment is held back Actual Transaction Number The number
111. d and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed transactions in the lower portion of the screen The Swift Message Setup Detail screen is opened in view mode 3 4 4 Deleting SWIFT Records You can delete only unauthorized transactions in the system To delete a record that you have previously entered you must retrieve the same in the Swift Message Setup Summary screen as follows e Invoke the Swift Message Setup Summary screen from the browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed transactions in the lower portion of the screen The Swift Message Setup Detail screen is opened in view mode e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 3 4 5 Authorizing SWIFT Records An unauthorized record must be authorized in the system for it to be processed To authorize a transaction you must first retrieve the same in the Record Summary screen e Invoke the Swift Message Setup Summary screen from the Browser
112. d in the statement Else it will be No AccountDetails Mandatory Identification gt Simpleldentification gt Proprietary gt Identification Mandatory This tag is to identify the investor s CIF ID in FCIS Fungiblelndicator Mandatory This tag would be set to Yes IntermediaryInformation gt Identification gt Proprietary Mandatory This tag provides the intermediary details attached with the Unitholder account BalanceForAccount details This contains the CIF level account balance details as on date requested SubAccountDetails Optional Identification gt Simpleldentification gt Proprietary gt Identification Mandatory This would map to the Identification Number of the Unit holder Fungiblelndicator Mandatory This tag would be set to Yes A ORACLE 3 35 ActivityIndicator Mandatory This indicator would be set to Yes BalanceForSubAccount Optional AggregateQuantity Quantity Mandatory This tag indicates the balance in the fund FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Outgoing FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag PriceDetails Mandatory This is the price at which order was executed Value A
113. d map to the Identification Number of the Unit holder Other Identification Identification Type Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additional Information Other Identification gt Extended Identification Type Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Choice for Units NetAmount Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units Gross Amount Optional This is the gross amount invested in the fund Outgoing This will map to transaction gross amount in the fund base currency if available Foreign Exchange Details Optional This is information related to currency exchange or conversion nes ORACLE 3 10 3 10 1 3 10 1 1 Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e Unit Currency This will be the transaction currency e Quoted Currency This will be the fund base currency e Exchange Rate This will
114. d or the Recipient information Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value Waiving Details Optional This tag represents the override percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based 989 ORACLE 3 24 3 24 1 3 24 1 1 RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOrBEI e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter
115. d reversal Criteria for dividend record consideration e Dividend status is reversed and authorized e Date passed is the authorization date of reversal Dividend Sum original Total Amount Paid to investor Dividend Amendments Outflow Criteria for dividend record consideration e Dividend status is amended e Date passed is the Dividend Payment Date e Amended dividend is processed Dividend Sum Total Amount Paid for the amended dividend Dividend Amendments Inflow Criteria for dividend record consideration e Dividend status is amended e Date passed is the Dividend Payment Date e Amended dividend is processed Xe ORACLE 3 29 2 3 29 2 1 3 29 2 2 Dividend Sum Original Total Amount Paid Confirmed Cash In ZA C F H J L Confirmed Cash Out ZB x D E G IK Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS FundCashForecastDetails Mandatory Optional TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowlIndicator Mandatory FCIS will always the pass the value NO CashlInForecastDetails Mandatory SettlementDate Mandatory This is the date for which
116. defined by the user The message can be used to report on several investment funds These cash incoming and outgoing flows result from for example redemption subscription switch transactions or dividends The details provided here are similar to the Fund Estimated Cash Forecast Report with the breakup based on one of the following e Party e Country e Currency e UserDefined FCIS supports SortingCriteriaType gt Unstructured and ForecastBreakdownDetails gt ReportParameter UserDefined indicating break up of inflows and outflows for the following e IPO Subscription e Subscription e Redemption e Switch In e Switch Out SHA ORACLE 3 31 1 3 31 1 1 3 31 1 2 e IPO Subscription Reversal e Subscription Reversal e Redemption Reversal e Switch In Reversal e Switch Out Reversal e Dividend e Dividend Amendment Inflow e Dividend Amendment Outflow Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS EstimatedFundCashForecastDetails Mandatory Repetitive TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowlndicator Mandatory FCIS will always the pass th
117. e Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages nos ORACLE 3 18 1 3 3 18 1 4 Previous Reference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Order to be Cancelled This is common information related to all the orders to be cancelled MultipleOrderDetails Mandatory InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit
118. e an appropriate message is inserted along with original details Income Distribution Profile After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter income distribution options for the account or effect changes to any previously entered income distribution options of the unit holder profile The following information must be specified for a new income distribution option set up or the modification of an existing set up for a unit holder account for a fund e Distribution mode Full Payment Full reinvestment Both e Payment percentage e Reinvestment percentage e Payment details Payment mode Transfer Check Check all mandatory information as in transactions Transfer all mandatory information as in transactions e Reinvestment details Reinvestment Unit Holder ID Reinvestment Fund ID Percentage of investment into this fund Note Deletion of an existing income distribution set up for a unit holder account is not possible To inquire about the income distribution options for a fund and for a unit holder the inquiry parameters to be specified in Oracle FLEXCUBE INTERNET BANKING are CIF Number Unit Holder ID and Fund ID T5 ORACLE 7 1 19 On receiving the income distribution request from Oracle FLEXCUBE INTERNET BANKING FC IS will save the set up details whether new or modified as unauthorized information for the account The changed record must
119. e Customer CASA Account Each of the screens mentioned above has been explained in the section General Ledger Setup in this chapter Refer to the same for further information 99 ORACLE 5 11 2 Data Flow Diagram The following diagram illustrates the flow of information Subscriptipn Data FC Connect M T TETTE EE EE EET Validate Subscription Data FCIS Database FINWARE Debit FINWARE Account Save Subscription 5 11 2 1 Request Element The table below describes the important elements of the request XML Request Element DTD Field Value Level TRANSAC Header RRFAA51 x idrequest RRFAA51 Maintained as ceno TION sd parameter in FCIS datpost FCIS Date in RRRR MM DD Format referen FCIS Transaction Number extsystem IS flgrepeat N TRANSAC txndata RRFAA51 x drac Customer Bank Account TION gt debit sd countno Number drnarrative Customer Account Debit custid Customer ID CID txndata gt crac AMC Bank Account Number credit countno crnarrative AMC Account Credit 5 41 ORACLE Request Level DTD Field Value Element custid AMC Cust ID maintained in Finware and Entity Add Info 1 txndata txnamount Gross Amount of Subscrip tion txncurrcod Currency Code for Transac tion Currency 5 11 2 2 Response Element The table below describes t
120. e Interface processing function may be used again to re transmit the EFT batch file EFT Batch Generation Screen You can use the EFT Setup Detail screen to generate a batch for an EFT file You can invoke this screen by typing UTDEFTSD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button EFT Setup Detail New 3 Enter Query EFT Information Batch Number Instruction Type Instruction Medium Entity ID Description Bank Effective Date Agent Code Net Amount Hold Back Payment v Input by Authorized by Mod No Batch Description Instruction Type Description Instruction Medium Description Sub Payment Mode Description Unit Holder ID Process Date Broker Code Held From Wark Far Re Exnart DateTime DateTime Open Authorized 2 4 4 Generating EFT Batch in this Screen To create a batch that can be used for generating and exporting an EFT file you must e Specify the following mandatory information in the applicable fields in the header or main portion of this screen The Instruction Type that will determine the records that must be extracted for this batch is ORACLE 2 4 2 The Effective Date for which the records must be extracted for this batch The Batch Description e Click the Extract button The job is submitted and the corresponding procedure is run The Asynchronous Process screen is ope
121. e The NAV for the fund as on the current date e The value of the holdings in fund base currency e The value of the holdings in the preferred currency of the unit holder e The units that have been blocked in respect of the unit holder account e The units that have been unblocked in respect of the unit holder account e The units resulting from provisional allocations e For holdings in a scrip based fund the portion of the unit holdings for which certificates have been issued i e the issued balance e For holdings in a scrip based fund the redeemable Balance Unissued Balance applicable for scrip based funds only e Block Amount and currency Across all funds for a UHID supplied only if applicable IPO Transactions and Subscription Transactions buys Transaction information The unit holder or CIF account holder can initiate a subscription transaction or a buy transaction into a fund that is in the IPO period after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account for which the transaction is being put through e The D and ISIN Code of the fund in which the transaction is being requested e The ID of the product mapped to the selected fund in which the transaction is being requested only if applicable e The mode of the transaction amount or units the value of the transaction and the currency for the transaction e The processing m
122. e attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the SWIFT ELEMENT UDF Summary screen or through the F7 F8 operation which are explained in the previous section e In the SWIFT ELEMENT UDF Detail screen click on Copy Action e Indicate the ID for the new record You can however change the details of the new records if required Generating Message Manually The Manual Message Generation screen helps you locate and retrieve the messages you want to manually generate from the database Specify any or all of the details corresponding to the message you want to retrieve the system uses your specifications to as search criteria to query the database and retrieve the record that you are looking for You can generate an outgoing message manually through the Manual Message Detail screen You can invoke this screen by typing UTDSWIFT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button se ORACLE Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Manual Message screen Manual Message Detail New 453 Enter Query Manual Message Generation Message Code Message Reference Code To Entity
123. e displayed All messages matching your criteria are displayed in the grid portion of the screen Click Message Details button that you wish to operate on in the DCN field A horizontal array of icons is available for you to perform operations on the message You can view the following details e DCN e Reference No e Message status e Name e Address Line1 e Address Line 2 e Address Line 3 e Address Line 4 e Message e Sender e Swift Msg Type e Receiver e Location e Reject Reason Performing Operations on Message View Click this button to view the contents of a message The contents of the message will be displayed the Message section of the screen Delete Click this button to delete an unprocessed message Authorize Click this button to authorize an unauthorized unprocessed message that has been edited an unauthorized processed message that has been repaired or an unauthorized suppressed message Outgoing Message Browser Summary Screen You can use the outgoing message browser to perform the following functions with respect to an outgoing SWIFT message e Generate the outgoing message in respect of an un generated message e Edit an ungenerated message e Authorize a repaired or edited message e View all or selected outgoing ungenerated generated handed off or repaired messages In order to perform any of these functions you must first retrieve the message in and display it
124. e may be one or more intermediary parties between the executing party and the instructing party The OrderCancellationStatusReport message is used to report the status of an order cancellation instruction message that was previously sent by the instructing party The message can be used to report that the cancellation has either been acted upon or has been rejected Incoming FCIS will receive the Order Cancellation Status Report in response to the Request For Order Status if the PreviousReference tag has reference to the order cancellation message This information would be used to set the status of individual orders Outgoing FCIS will generate the Order Cancellation Status Report in response to the Request For Order Status message received provided the Messageldentification number communicated to FCIS in the PreviousReference tag relates to bulk multiple or switch order cancellation Note FCIS will generate one cancellation status message for every transaction that has been cancelled as a result of the cancellation instruction Message Structure The following is the structure of the message on ORACLE 3 21 2 3 21 2 1 3 21 2 2 Status Initiator Completed Sent to Next Party Pending Cancellation Rejected Reasons for EL OV mdi i Tags in Message Choice OtherReference RelatedReference FCIS supports both repetitive tags to pass the related reference and the order
125. e same in this field Different fields are displayed enabled or disabled depending on what option you choose The same is explained below e CASA e GL dm ORACLE e SAP e Payment Depending on what you choose certain fields will be displayed The same is explained below CASA Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Bank Branch Select the bank branch from the option list provided Contra Account Number Mandatory Enter the bank account number Contra Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Direct Debit Applicable This field will be disabled for the option CASA GL Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra A
126. e same family of message i e switch redemption or subscription and bulk or multiple as the original order to be cancelled For all incoming multiple order cancellations FCIS will be able to process the reversals based on either the PreviousReference or individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed neither of the transactions will be included in the SWIFT message us ORACLE 3 12 1 3 12 1 1 3 12 1 2 3 12 1 3 3 12 1 4 For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based on a certain event that is triggered in the system or manually Tags in Message Message Identification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming
127. e the confirmation message only after allocation Transactions will be grouped based on the original Multiple Order Message FCIS will allow generation of this message in an automated way based on certain event that is triggered in the system or manually m ORACLE 3 17 1 3 17 1 1 3 17 1 2 3 17 1 3 3 17 1 4 Tags in Message Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be gene
128. e value NO SortingCriteriaDetails Mandatory Repetitive SortingCriterionType gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code ForecastBreakdownDetails Mandatory Repetitive ReportParameter gt UserDefined gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code EstimatedCashInForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated oe ORACLE 3 32 SubTotalAmount Optional This will be the Estimated Cash In breakup details for the various components EstimatedCashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash Out breakup for various components Fund Detailed Confirmed Cash Forecast Report The FundDetailedConfirmedCashForecastReport message is sent by a report provider to a report user This message is used to provide a confirmed report of the cash incoming and outgoing flows per investment fund sorted by country institution or criteria defined by the user The message can be used to report on several investment funds The cash incoming and outgoing flows result from for example redemption subscription switch transactions or dividends The details provided here are similar to Fund Confirmed Cash Forecast Report with the breakup based on one of
129. ected AMC Optional Unitholders QUERY FUND FCIS FUND DTD SCODE Identifies the external sys tem that is sending the request For example HDFC XREF Running Serial No QUERYTYPE The Request Type RECORDID Fund ID if Selected AMCID ID of the selected AMC FROMDATE From Date of Filter TODATE To Date of Fil ter 7 1 23 Viewing Joint Unit Holders If more than one unit holder is associated with the customer account the joint unit holder details can be viewed in the welcome screen in addition to the primary account holder and mutual fund balance Details of the nominees can also be viewed upon request ORACLE 7 1 23 1 Request Element The table below describes the important elements of the request XML Request Level DTD Field Value Element Unithold QUE FCISUH DT SCODE Identifies the external ers RY UH D System that is sending the request For exam ple HDFC XREF Running Serial No QUERYTYPE GETUHBENEFICIARY REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional JOINTORNOMI NEE If N then Nominee only if J then Joint UH If NULL then both 7 1 23 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Elemen
130. ecting from the Action list You can also search the record by using combination of and alphanumeric value For example You can search the record for Transaction Number by using the combination of and alphanumeric value as follows e Search by A The system will fetch all the records whose Transaction Number starts from Alphabet A Ex AGC17 AGVOG AGC74 and so forth e Search by 967 The system will fetch all the records whose Transaction Number ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth e Search by 961796 The system will fetch all the records whose Transaction Number contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth 2 8 2 Editing Transaction You can modify the details of a transaction that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Payment Clearing screen from the Browser e Select the status of the transaction that you want to retrieve for modification in the Authorization Status field You can only modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list anig ORACLE 2 8 3 2 8 4 2 8 5 Specify any or all of the details of the transaction in the corresponding fields on the Screen to retrieve the transaction that is to be modified All unauthorized transactions with the specified details a
131. ed in the Interface Maintenance Summary screen 5 2 7 3 Viewing Interface Maintenance Record To view a record that you have previously input you must retrieve the same in the Interface Maintenance Summary screen as follows Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen on ORACLE Double click the record that you want to view in the list of displayed records The Interface Maintenance Detail screen is displayed in View mode 5 2 7 4 Deleting Interface Maintenance Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in
132. efaulted to NO PriceDetails Mandatory This is the price at which order was executed Value Amount Mandatory Outgoing This is the fund base currency code followed by the price as of the effective date of the report Type Mandatory This is defaulted to OTHR 3 193 ORACLE 4 1 4 VESTIMA Processing Introduction Vestima is an automated external system that facilitates the routing and execution of fund orders between Oracle FLEXCUBE Investor Services and outside parties These orders can be placed either through the Vestima web browser or SWIFT The party placing the fund order is the Order Issuer Ol and the party executing the orders is the Order Handling Agent OHA The fund order which can be a subscription redemption or switch transaction is initiated by the Ol and sent to Vestima Based on the data available within the Vestima system the order is enriched and passed to the appropriate OHA If the OHA sends an optional status message to indicate the receipt of the order to Vestimat it will be forwarded by Vestima to the Ol After the OHA executes the order it sends a confirmation message depending on the type of order to Vestima which is enriched and passed on to the OI The following diagram illustrates the flow of messages between FCIS and Vestima Submit order 0 Validate MM Forward order order Validate message 0 H A Process order Execute order The ISO 20022 messages that
133. elatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message TII ORACLE 3 23 1 4 SwitchExecutionDetails Mandatory This is general information related to the execution of a switch transaction DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS InvestmentAccountDetails Mandatory Identification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag ResultingCashOut The value will be O since the sy
134. eld Message Type Message Code Mandatory Select the message code from the drop down list Note Certain other fields will be displayed in this screen depending on the option you select against the field Message Code Trigger Mandatory The trigger for generating the message may be an event manual or both Select the appropriate option Event Code Mandatory if the Trigger is Event and Both Select the event upon which the message should be generated Note This field will be Enabled only if you have selected the option Event or Both against the field Trigger Displayed only if the Message Type is OUT To Entity Type Mandatory Select the Entity Type for which the message will be generated Note For all Message Codes other than Price Report messages the option AMC will be dis played in this field You will not be allowed to change the same To Entity ID Mandatory Select the entity for which the message is applicable ORACLE 3 3 1 2 Note This field will be displayed only if the Message Type is OUT Generate Auth Transactions Optional Check this box to indicate an incoming transaction request should be created as an authorized transaction Note This check box will be enabled only if the Message Type is IN and the Message Code is an Order or Cancellation message Confirm Outgoing Messages Optional Check thi
135. elivery to custodian the delivery account details and clearing agent custodian bank as applicable The transaction in FC IS The FLEXCUBE Investor Services system only accepts requests for new transactions from the Oracle FLEXCUBE INTERNET BANKING system Editing or deletion of a previously entered transaction is not accepted The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a conversion transaction n ORACLE 7 1 10 7 1 11 Auto Authorization Any transaction entered through the Oracle FLEXCUBE INTERNET BANKING system will normally undergo auto authorisation check after all validations are successful and the transaction has been successfully saved As a result of the check if auto authorization is allowable based on the User ID and transaction type based on the auto authorization set up in FC IS the transaction will be authorized immediately If not itis saved as an unauthorized transaction Order Status After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the status of any transaction requests that were previously entered between a given time period through the Order Status screen The system will display the status for all transaction requests those entered through the Oracle FLEXCUBE INTERNET BANKING system as well as th
136. ement seen 2 15 3 Processing SWIFT Messages eeeeeeeeennnnnnnnnnnenenenn 3 1 Sell Introdu ctionics uim otto De to rore e t HL te esi cog 3 1 3 2 Transaction WOFKfIOW 2 iui nennen n een Rede Ere edam eeu tee 3 1 3 2 1 Incoming SWIFT Bulk Multiple Orders sss 3 1 3 3 3 4 3 5 3 6 3 7 3 8 3 9 3 10 3 11 3 12 3 13 3 14 3 15 3 16 3 222 Incoming SWIFT Bulk Order Cancellation sss 3 1 3 2 8 Outgoing SWIFT Bulk Order Request 3 2 Maintenance for Processing SWIFT Messages ssem 3 2 3 3 1 Fields in Swift Message Setup Maintenance Screen ssssssss 3 2 Swift Message Setup Summary Screen ssssssssssssee e 3 5 3 4 14 Retrieving Record in Swift Message Setup Summary Screens 3 5 3 4 2 Editing SWIFT Records sss nennen nnns 3 6 3 4 3 Viewing SWIFT Records sse nnns 3 6 3 44 Deleting SWIFT Records stent nannten nnne 3 7 3 4 5 Authorizing SWIFT Records seen 3 7 3 4 6 Amending SWIFT RecordSs sse eene nnne 3 7 3 4 7 Authorizing Amended Records sss 3 8 3 4 8 COPYING Attributes ssec AET OEE edd dnb and dn hte d dmn dd 3 8 Setting Up UDFs for SWIFT Elements sesee em 3 8 3 5 1 Retrieving Record in SWIFT ELEMENT UDF Summary Screens 3 9
137. ent after the price has been determined to confirm the execution of all individual orders There is usually one bulk confirmation message for one bulk order message For all incoming messages FCIS will set the status of transactions based on individual Order Reference number For outgoing message FCIS will generate the confirmation message only after allocation FCIS will allow generation of this message in an automated way based on certain events triggered in the system which have to be set for the message or manually Tags in Message Message Identification Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages TS ORACLE 3 8 1 3 3 8 1 4 RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message Confirmation messages will be generated against each Messageldentificati
138. entification based on the following tags e BICOrBEl e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ias ORACLE 3 11 3 11 1 3 11 1 1 3 11 1 2 Extended Role Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA or AO If none of the above values are specified system will throw exception saying Invalid ExtendedRole Subscription Multiple Order Confirmation This message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The Subscription Multiple Order Confirmation message is sent after the price has been determined to confirm the execution of the individual orders A Subscription Multiple Order can generate more than one Subscription Multiple Order Confirmation message as the valuation cycle of the financial instruments of each individual order may be different When the executing party sends several confirmations there is no specific indication in the message that it is an incomplete confirmation Reconciliation must be based on the references A Subscrip
139. epaired conditions individual orders only Further information about the repair unmatched rejected or pending settlement statuses must be specified using either codes or unstructured information For subscription and redemption orders this message covers both bulk and multiple categories of orders and this message may provide the status either at the bulk or at the individual level For a switch order however the message provides the status of the whole order It is not possible to accept one leg and to reject the other leg The entire switch order has to be rejected In order to identify which leg within the switch is causing a problem the switch order leg identification is used FCIS will receive the Order Instruction Status Report in response to Request For Order Status message generated This information will be used to set the status of individual orders FCIS will generate the Order Instruction Status Report in response to the Request For Order Status message received provided the Messageldentification number communicated to FCIS in the tag PreviousReference relates to bulk multiple or switch order as cancellation is reported through a different message For Switch order responses FCIS will reply with the status under the OrderDetailsReport section as it is not possible to accept one leg of the switch and reject another leg For other orders FCIS will reply with the status under IndividualOrderDetailsReport se
140. eport on several investment funds The cash incomings and outgoings result from for example redemption subscription switch transactions or dividends Contents of Report The following are the contents of this report Transactions e All allotted IPO Subscription Redemption Switch which are not reversed e Allallotted IPO Subscription Redemption Switch which are reversed The date of the original transaction should not be the same as the date of reversal transaction IPO Subscription e Sum Gross Amount in FBC nd ORACLE 3 29 1 2 Redemptions e Sum Net Amount in FBC Switch In e Sum Switch To Amount post allocation where fund passed is the switch in fund Switch Out e Sum Net Amount in FBC where fund passed is the switch out fund IPO Subscription Reversal e Sum Gross Amount In FBC of the original transaction Redemption Reversal e Sum Net Amount in FBC of the original transaction Switch In Reversal e Sum Switched In Amount of the original transaction where fund passed is the Switch In fund Switch Out Reversal e Sum Net Amount in FBC of the original transaction where fund passed is the Switch Out fund Dividends Dividend payout Criteria for dividend record consideration e Amendment Reversal not happened e Dividend is processed e Date passed is the Dividend Payment Date Dividend Sum Total Amount Paid to the investor for the fund and dividend payment date Dividen
141. eque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT PaymentCardDetails Mandatory Choice Type Pus ORACLE Mandatory This indicates the type of card e CRDT Credit Card e DBIT Debit Card e Incoming FCIS will set the Payment Mode to R for payments by card and Sub Payment Mode depending on the value of the tag Type The Sub Payment Mode will be set to R for CRDT and DR for DBIT e Outgoing The indicator will be either CRDT or DBIT based on Payment Mode and Sub Payment mode Payment Mode Sub Payment Mode Type R R CRDT R DR DBIT Number Mandatory Incoming Outgoing This will be the 16 digit Card Number Card Issuer Identification Optional This is the party that issues the card FCIS supports identification based on the following tags e BICOrBEI e Proprietary Identification Incoming If BIC Or BEI is provided the system will get the relevant bank information if available If Proprietary Identification is provided the UDF mapping for the field would be used to determine the bank This will be a set of other information fields applicable for entity type Bank Outgoing As FCIS is capable of supporting
142. ered you must retrieve the same in the Payment Clearing Summary screen as follows Invoke the Payment Clearing Summary screen from the browser Select the status of the transaction that you want to retrieve for deletion Specify any or all of the details of the transaction in the corresponding fields on the Screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the transaction that you want to delete in the list of displayed transactions in the lower portion of the screen The Payment Clearing Detail screen is opened in view mode Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Transaction An unauthorized transaction must be authorized in the system for it to be processed To authorize a transaction you must first retrieve the same in the Payment Clearing Summary Screen Invoke the Payment Clearing Summary screen from the Browser Select the status of the transaction that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list as ORACLE 2 8 6 2 8 7 2 8 8 2 8 9 e Specify any or all of the details of the transaction in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending auth
143. ess Date field The effective date in the Effective Date field The code of bank in the Bank field The mode of sub payment for the transaction in the Sub Payment Mode field Batch Number After you have specified the required details click the Query button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner Press F7 Input the Instruction Type Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You can also search the record by using combination of and alphanumeric value For example You can search the record for Batch Number by using the combination of and alphanumeric value as follows Search by A System will fetch all the records whose Instruction Type starts from Alphabet A Ex AGC17 AGVOG AGC74 and so forth Search by 7 System will fetch all the records whose Instruction Type ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth Search by 961796 System will fetch all the records whose Instruction Type contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth Editing Record You can modify the details of a record that you have already entered into the system provided it has not been subsequently authori
144. etails Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag Debtor Account gt Name Optional This is the name of the account It provides additional means of identification Outgoing This will be the Transfer Account Holder Name of the transaction Debtor Agent Mandatory This is the financial institution that receives the payment transaction from the account owner FCIS supports BIC and Proprietary Identification based identification Incoming If BIC is provided the system will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these bank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send DirectDebitDetails Mandatory Choice These are the details of the bank where the client h
145. etrieve the record that is to be modified Click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 5 2 5 Authorizing Job Maintenance Record 5 5 2 6 An unauthorized Job Maintenance record must be authorized in the system for it to be processed To authorize a record Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only authorize unauthorized records Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are d
146. f the Application tool bar and clicking on the adjoining arrow button Swift Element UDF Summary Authorized Open Message Code ai Medium ai Advanced Search Reset Records perpage 15 v 1 of 1 Authorized Open Message Code Medium Client Support Element UID Element Description Element Grour ae ORACLE 3 5 1 3 5 2 Retrieving Record in SWIFT ELEMENT UDF Summary Screens You can retrieve a previously entered transaction in the SWIFT ELEMENT UDF screen as follows Invoke the summary screen and specify any or all of the following details in the corresponding fields The status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved The status of the record in the Open field If you choose the Blank Space option then all the records are retrieved The code of message for the record in the Message Code field After you have specified the required details click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the SWIFT ELEMENT UDF detail screen by doing query in the following manner Press F7 nput the Message Code Medium Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You
147. fied for the interface through a simple dialog screen The system performs the data exchange and flashes a message upon successful completion of the activities e You can schedule the interface through the Scheduler Services in FCIS by specifying the Interface ID as a parameter for a task and then schedule the task to be executed as desired as a job as follows Define an interface definition from FCIS to the external system or vice versa The interface definition will be associated with a unique Interface ID Define a task through the Task Maintenance screen and indicate the Interface ID as a parameter to the task Schedule the task by associating it with a time based or event based frequency and define it as a job through the Job Maintenance screen Activate the scheduler and it will call the Interface Processing module at the time specified and pass the Interface ID as a parameter to the module Thelnterface Processing module will then execute the defined interface and log any errors that will result You can access the interface processing screens from the following menu categories in the Fund Manager component e The Interface Maintenance Detail screen from the Maintenance menu category e The Interface Maintenance Summary Screen e The Online Execution of Interfaces screen from the Batch menu category Setting up and Maintaining Interfaces To set up an interface definition use the FCIS Interface
148. for new transactions from the Oracle FLEXCUBE INTERNET BANKING system Editing or deletion of a previously entered transaction is not accepted FC IS processes the transaction on receiving the Buy Order request from Oracle FLEXCUBE INTERNET BANKING The processing is done as follows Validations for transaction processing e Payment mode details for all payment modes are validated e The designated brokers for the transaction will be picked up by default from the Intermediary Details specified for the selected unit holder account e FCIS validates the online units balance for redemption and switch transactions e After the initial purchase transactions will be blocked until the folio number has been received for the unit holder at the AMC This number comes to the FC IS data store from RTA e The FLEXCUBE system date is reckoned as the transaction date for net basis transactions If the date is a holiday in the fund or system calendar the transaction is processed as follows e For pre priced funds FC IS displays a warning that the transaction will be processed the next working day and the price will also be deemed as the prevalent price on the next working day If this is not confirmed from the FLEXCUBE system the transaction is not saved If confirmed the transaction is saved For allocating transactions in pre priced funds the prevalent price during the Beginning of Day process on the day of the transaction is considered and t
149. ft Message Setup Summary Screen The Swift Message Setup Summary screen helps you locate and retrieve the message codes you want to edit view delete authorize or amend from the database You can invoke this screen by typing UTSSWMSG in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Swift Message Setup Summary Authorized Open Message Reference Code To Entity ID Medium Advanced Search Records perpage 15 v 1 of 1 Authorized Open Status Message Reference Code Medium ToEntityID To Entity Type EventCode Mes NT D Retrieving Record in Swift Message Setup Summary Screens You can retrieve a previously entered record in the Swift Message Setup Summary screen as follows Invoke the Swift Message Setup Summary screen and specify any or all of the following details in the corresponding fields e The status of the record in the Authorized field If you choose the Blank Space option then all the transactions are retrieved e The status of the record in the Open field If you choose the Blank Space option then all the transactions are retrieved e The code of message reference in the Message Reference Code field e The medium in the Medium field e The ID of the entity to whom the message is sent in the To Entity ID field 39 ORACLE After you have specified the required details click Search button A
150. g SMSJOBBR in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button Job Details Authorized Open Job Name 28 Job Group Trigger State ai Next Fire Time Scheduler a Advanced Search Records perpage 15 v 1 of 1 Authorized Open Job Name Job Group Trigger State NextFire Time Scheduler You can a search for a scheduled job by specifying any of the following Job Name Alphanumeric Optional Select the name of the job that you want to search for from the option list provided State Alphanumeric Optional Select the state of the job you want to search for from the option list provided The following options are possible for Quartz schedulers e Acquired e Waiting e Blocked e Paused Scheduler Alphanumeric Optional Select the scheduler to which the job you want to search for has been assigned Job Group Alphanumeric Optional Select the group to which the job you want to search for belongs from the option list provided Next Fire Time Alphanumeric Optional Select the time when the job is scheduled to be run next Click Search button to view the details related to the job You can pause a job by selecting it and clicking the Pause button You can resume a paused job by clicking Resume button and the job is scheduled for its next fire time m ORACLE 5 6 5 7 A job can take any of the following states
151. g entity It could be Unit Holder Distributor AMC or Fund vee ORACLE Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Account Number Mandatory Enter the bank account number Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Payment Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Bank Branch Mandatory Select the bank branch from the option list provided Account Number Mandatory Select the bank account number from the option list provided Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the transaction currency Direct Debit Applicable This field will be disabled for the option Payment Contra Account Details GL SetUp For Mandatory The GL set up may be defined for Payment General Ledger CASA or SAP Indicate th
152. g where the job has to execute Jobs are created in the Application Server and are scheduled based on this data Note The job name should be unique across the schedulers available in the system When the application server starts the job details from static data store will get cached These cached jobs will then be scheduled using either the quartz or flux scheduler For example the notification process can be handled by the job schedulers as follows e When a contract is created in Oracle FLEXCUBE a database level trigger acting on the contract main table inserts details like base table name primary key fields primary key values and branch code into a notification log table and sets the process status of the inserted record as U unprocessed e The scheduled job polls the notification log table for unprocessed records and validates whether notification is required e If notification is not required then the process status is set to N not required in notification log table e If notification is required then notifications are sent to the respective destination and the process status of the record is changed to P Processed in notification log table 5 5 3 1 Controlling Jobs The details of jobs that are scheduled can be viewed using the Job Details screen In this screen you Can pause or resume a job that has been scheduled You can invoke the Job sal ORACLE Details screen by typin
153. gent or broker bank accounts due to commission accrual on any given date an EFT file can be generated that contains the transfer details and the amounts This file can be exported to the clearing bank of the AMC You can also create transfer instructions to an external clearing bureau for the purpose of debiting the relevant unit holder accounts in the case of debit orders A hand off file can be generated with the transfer instruction information that can be sent to an external clearing bureau that will debit the relevant unit holder bank accounts and credit the AMC account as applicable In case of NPI payments to a trust you can generate a single EFT file that contains all the transfer details and the total NPI amount that must be paid to charitable trusts This chapter describes the functions in the FC IS system that you can use to create these transfer instructions EFT files Creating Transfer Instruction Files The following screens in the system facilitate the creation and generation of these transfer instructions interface files e The EFT Setup Detail and Summary Screen that you can access fron the EFT Setup menu in the Browser e The Payment Clearing Screen that you can access from the Payment Clearing menu in the Browser Few Basic Terms You must have a clear understanding of a few basic terms before you use these screens to generate the EFT files e ORACLE 2 3 1 Batch A batch is a logical group of re
154. gt DataSourceScheme gt Identification Switch Order The SwitchOrder message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SwitchOrder message is used when the instructing party i e an investor wants to change its investments within the same fund family according to the terms of the prospectus FCIS supports one to one switch transactions for incoming requests The To Fund information will be taken from SubscriptionLegDetails For outgoing messages switch transactions will be communicated in separate legs for redemption and subscription FCIS will allow the generation of this message in an automated way based on a certain event that is triggered in the system or manually If the AMC of the From Fund and To Fund are different system will generate a pseudo switch transaction In other cases system will generate a normal switch transaction Tags in Message Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generatio
155. he Scheduler Services Some of these activities may be frequently occurring or recurrent activities some activities may need to be initiated on demand and some may be one time activities os ORACLE 5 5 1 To schedule activities using this Scheduler Service you must e Designate each activity process or programmed executable unit that must be run as a task in the system e Define the objects that are to be run for the task to be completed and also specify the required parameters for the object to be run e Schedule each defined task to be run at a desired frequency either a time based frequency or an event based frequency e Authorize the job You may schedule jobs at a time based frequency simple or cron or you may require them to be executed every time a business event occurs in the system Accordingly an event is an occurrence of a business proceeding in the system such as allocation or dividend declaration or the End of Day procedures All business proceedings in the system that must be designated as events are pre defined according to the requirements at each installation by the implementers No new definitions of events are possible after this At the Security Management component you can access all the Scheduler Services from the following menu categories e The Job Maintenance Detail and Summary screens from the Maintenance menu category e The Jobs Summary screens from the Maintenance menu category
156. he accruals until such time are included i ORACLE For post priced funds the transaction is accepted but the transaction date will be saved as the immediate next working day in the FC IS system The transaction is authorized and allocated on the immediate next working day using the prevalent price as on that day If any errors occur during the processing the error messages are written into a queue corresponding with the details for the transaction obtained from FLEXCUBE If all validations are successful the transaction is saved and authorized and the transaction number is inserted with a success message into a queue corresponding with the details for the transaction obtained from FLEXCUBE While processing the transaction FC IS also inserts the following as default information along with the details from Oracle FLEXCUBE INTERNET BANKING that is necessary for saving the transaction request Values for the information heads that are not specified by the logged in user in Oracle FLEXCUBE INTERNET BANKING The value date is deemed by default to be the application date of FC IS If the transaction request is received during the run of the End of Day the default date is treated as the next working date Based on the transaction currency the unit holder bank account is defaulted The default bank account maintained for the transaction currency is considered All default information that is necessary for validating IPO or subsc
157. he important elements of the response XML Level Response Field Description Element Transac status returncodesta Return Status of Finware Procedure tion tus 0 means success Errorcode 0 means Success Error Code Errormessage Error Message in case of Error The table below lists the various parameters to be maintained ParamCode ParamValue Ce FINCON URL NECT FINCON PROXY SERVER NECT FINCON NO PROXY DO NECT MAINS FINCON HTTP VERSION HTTP 1 0 NECT FINCON CONTENT TYPE text xml NECT FINCON TIMEOUT NECT FINCON CONTENT REQ NECT 9e ORACLE The id request exts ystem for the XML will be fetched from the following Parameter Setup ParamCode ParamValue ParamText FINXML IDREQ_NEWSUB RRFAA51 FINXML IDREQ_SUBREV RRFAA51 ParamCode ParamValue ParamText FINXML EXTSYSTEM IS FINXML XSD PATH 5 11 3 Error Handling The flow chart illustrates the possible errors during a subscription Send Settlement Posting to FC Finware has given Response Tn Validation Successful Finware Debit actually done Finware Response Successful Transaction Save in FCIS Successful 99 ORACLE The flow chart illustrates the possible errors during a subscription reversal Send Settlement Posting to FC Finware has Ton Validation given Response Successful in time
158. he same will have to be authorized normally as part of the authorization of fund prices in the system By default NAV is imported as authorized information Import NAV Alphanumeric Mandatory Specify whether the NAV must be imported or the NAV per unit Floor Variation 11 Characters Maximum including eight decimal places Numeric Optional Specify the applicable floor variation as a percentage for the imported NAV Ceiling Variation 11 Characters Maximum including eight decimal places Numeric Optional Specify the applicable ceiling variation as a percentage for the imported NAV If you do not specify the applicable floor and ceiling variations in this screen these values are reckoned by the system from the specifications in the Fund Price screen record for the same fund aS ORACLE 5 8 2 5 9 5 9 1 Asset Management NAV Summary Screen You can invoke Asset Management NAV Summary screen by typing UTSAMNAV in the field atthe top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below Asset Management NAV Summary Authorized Fund ID a Advanced Search Records per page 15 v 1 of 1 Authorized Open Status FundID Import Authorized NAV Import NAV Floor variation Ceiling variatior 4 m In this screen specify the search criteria and click Search button to retrieve the records General Ledger Setup Oracle FLEXCUB
159. his to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund us ORACLE 3 10 1 2 3 10 1 3 Pool Reference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Multiple Order Details Investment Account Details Mandatory This is the account impacted by an investment fund order Identification gt Proprietary gt Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to Owner Details tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag Owner Identification Optional e BICOrBEl e Proprietary Identification Incoming If BICOrBEI is provided the system will get the relevant bank information if available If Proprietary Identification is provided the UDF mapping for the field would be used to determine the bank This will be a set of other information fields applicable for entity type Bank Outgoing As FCIS
160. hoice Outgoing This tag will be passed for transactions with payment mode as Cheque FCIS will support Payeeldentification BIC Proprietaryldentiification to identify the unit holder receiving the payment proceeds SWIFT UDF mapping will be provided AccountDetails Mandatory Choice Accountldentification gt Proprietary gt Identification Mandatory Incoming This will be the bank account number of the unit holder This number will be used in conjunction with the element Type gt Structured i e the bank account type to get the bank details of unit holder Outgoing If the bank details selected for the transaction is a CPF accounts CPFOA CPFSA ASPFOA ASPFSA or SRS the system will provide the structured account type information under this element Type gt Structured Mandatory The following are the SWIFT supported codes for structured types along with the FCIS mapping Structured codes FCIS Map CASH No mapping CPFO CPFOA CPFS CPFSA OTHR ASPFOA ASPFSA SRSA SRS Redemption Bulk Order Confirmation This message is sent by an executing party to a intermediary party or to another intermediary party The RedemptionBulkOrderConfirmation message is sent after the price has been determined to confirm the execution of all individual orders There is usually one bulk confirmation message for one bulk order message 3 80 ORACLE 3 14 1 3 14 1 1 3 14 1 2 3 14 1 3
161. ication You need not specify a value for standard parameters Parameter Value Alphanumeric Mandatory If you have selected a non standard parameter specify the value for the same in this field Fund s Selection Section You may have defined some interfaces that require specific Fund IDs and fund families You may indicate these funds or fund families in this tab Fund ID Alphanumeric Mandatory Select the ID of the required fund for which this interface has been defined from the drop down list ISIN Code 12 Characters Maximum Alphanumeric Mandatory Select the ISIN Code of the fund for which this interface has been defined from the options provided If you specify the ISIN Code of a fund the ID of the fund is displayed in the Fund field s ORACLE 5 2 5 5 2 6 Family ID Alphanumeric Optional If the selected fund is an umbrella fund select the fund family that the selected fund belongs to from the drop down list Specifying Column Details for Interface File You can specify the actual columns or fields in the file that will be exported or imported or in the specified table in the Column Specifications Maintenance screen You can also define a sequence in which the data must be ordered You can invoke this screen from the File Specifications screen You must specify the column details for the interface file before you can save an interface definition FCIS Interface Maintenance Detail Column Spec
162. ication is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA or AO If ExtendedRole is not one of the mentioned ones system will throw error Redemption Multiple Order Confirmation This message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The RedemptionMultipleOrderConfirmation message is sent after the price has been determined to confirm the execution of all individual orders RedemptionMultipleOrder can be generated by more than one RedemptionMultipleOrderConfirmation as the valuation cycle of the financial instruments of each individual order may be different When the executing party sends several confirmations there is no specific indication in the message that it is an incomplete confirmation Reconciliation must be based on the references A RedemptionMultipleOrder response should be the RedemptionMultipleOrderConfirmation message s and in no circumstances by the RedemptionBulkOrderConfirmation message s For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For outgoing messages the system will be able to generat
163. ification number for the external system to establish the relation between original bulk order message and confirmation message BulkExecutionDetails Mandatory This is general information related to the execution of investment orders 9 91 ORACLE FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN IndividualExecutionDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number InvestmentAccountDetails Mandatory Accountldentification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional UnitsNumber Mandatory Unit Mandatory Outgoing The allocated units for the transaction NetAmount Mandatory This
164. ification 1of1 C Field Or Column Name Field Number x Field Type Field Length x Column Heading File Col Sequenc m Column Specifications Maintenance Fields Column Name Display Only The name of the column or field that is present in the table is displayed here Field Type Display Only The type of data that the field or column contains is displayed here File Number Display Only The sequential number for the selected file from the File Specifications Tab grid in the Interface Maintenance screen is displayed here It represents the file for which you are specifying the column details in this screen All the columns that are found in the specified table are displayed in the grid in this screen with their details Making changes to any of these details will result in a corresponding change in the output data If you delete a particular row in the grid then that column will not appear in the output data Field Length Alphanumeric Mandatory The number of allowable characters that the field or column can contain is displayed here You can alter this length dis ORACLE 5 2 7 5 2 7 1 Column Heading The heading of the column or field in the table is displayed here You can alter the heading Column Sequence Mandatory The Interface system allows you to maintain the sequence of fields in the export and import tables This lets you reuse common tables for header and trailers The import or export fi
165. in the Outgoing Msg Browser Summary screen You can invoke this screen by typing iis ORACLE UTDMSGOT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Outgoing Msg Browser Summary D New 9 Enter Query Swift msg type Message Status All Receiver Auth Status All From Date To Date Ok Reference No Receiver Swift msg type Message Status SI Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Outgoing Msg Browser To display the message you can specify any or all of the following details Swift msg type Mandatory To display the message specify the swift message type Select All for the system to display all the SWIFT message types Message Status ungenerated generated edited handed off or all To display the message specify the message status ungenerated generated edited handed off or all Receiver Specify the receiver of the message to display the message Auth Stat Specify the authorization status of the message which you want to view From Date Specify the date from which the system has to retrieve the outgoing SWIFT message To Date Specify the date till which the system has to retrieve the outgoing SWIFT message All messages matching your criteria are displayed in the grid portion of the screen Click Detail button that you wish to operate o
166. inable Yes Param Description Parameters 1of1 7 Param Value Param Language Param Text Sort Order In this screen e Enter the date format for the Param Value SWIFTDATEFORMAT as YYYY MM DD e Enter the value 1 along the Param Value VALIDATE if validation should happen Enter the value 0 is validation should not happen e f you have entered the value 1 along VALIDATE specify the path of the XSD along the Param Value XSDREPOSITORY Note For further information on the System Parameter Codes Maintenance screen refer to the chapter Maintaining System Parameters in Volume of the Fund Manager User Manual 3 6 5 Incoming Message Browser Summary Screen You can use the incoming message browser to perform the following functions with respect to an incoming SWIFT message e Process that is upload an unprocessed message e Suppress an unprocessed message e Edit an unprocessed message e Delete an unprocessed message ou ORACLE e Authorize an edited message e View all or selected unprocessed processed suppressed or repaired messages In order to perform any of these functions you must first retrieve the In message and display itin the Incoming Msg Browser Summary screen You can invoke this screen by typing UTDMSGIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is
167. ing party and the executing party The RedemptionMultipleOrder message is used to redeem different financial instruments from the same investment account It can result in one single bulk cash settlement or several individual cash settlements This message can also be used for single orders i e a message containing one order for one financial instrument and related to one investment account The RedemptionMultipleOrder message and not the RedemptionBulkOrder message must be used for a single order FCIS would allow generation of this message in an automated way based on an event or manually The grouping of multiple orders is driven by the investment account and not the fund as in a bulk order message 9 Bp ORACLE 3 16 1 3 16 1 1 3 16 1 2 3 16 1 3 Tags in Message Master Identification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Multiple Order Details Mandato
168. ion Uploading Incoming Messages To upload incoming messages you can use the Process Incoming Swift Messages screen You can invoke this screen by typing UTDPSWIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button sal ORACLE 3 6 6 Select the Operation as Start to trigger the upload process Process Incoming Swift Messages New 5 Enter Query Operation Stat Triggering the upload process in this screen will move all unprocessed messages collected by the message system from the SWIFT terminal delivery channel to the processed status Generation of Outgoing Messages To generate outgoing messages use the Process Outgoing Swift Messages screen You can invoke this screen by typing UTDPSWOU in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Click the Start button to trigger the generation process Process Outgoing Swift Messages New 453 Enter Query Operation Start Triggering the generation process in this screen will move all ungenerated messages to the generated status and the outgoing messages are generated and moved to the outgoing queue of the appropriate SWIFT terminal delivery channel TER ORACLE 3 7 3 7 1 3 7 1 1 3 7 1 2 3 7 1 3 Subscription Bulk Order This message is sent by an intermediary to an executing party or to
169. is would map to the corresponding entity s BIC Amount Mandatory Outgoing The load amount in terms of the fund base currency PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based RelatedPartyDetails Optional This is information related to an intermediary Identification Proprietary Identification Mandatory Outgoing Identification of the agent agency branch AO or IFA as maintained in FCIS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AO If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name o ORACLE 3 18 3 18 1 3 18 1 1 3 18 1 2 Redemption Multiple Order Cancellation Instruction This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The RedemptionMultipleOrderCancellationInstruction message is used to cancel the entire previously sent order message and all of the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of the same family of message i e swi
170. is capable of supporting both the BICOrBEI and Proprietary Identification SWIFT UDF mapping will be used to determine the element that client would want to send Individual Order Details OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS iss ORACLE Financial Instrument Details This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN Choice for Units Number Amount Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field Amt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmountindicator while processing the message If the same is available the transaction will be considered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount
171. is tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common e Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag e Outgoing FCIS sends out the fund ISIN s ORACLE IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party e Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number e Outgoing This will be the Transaction Number generated by FCIS Cash Settlement Date Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date InvestmentAccountDetails Account Identification gt Proprietary gt Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to BeneficiaryDetails tag to get the identification type and identification number e Incoming The system uses the relevant UDF mapping for this tag e Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Other Identification Identification Mandatory Incoming This would map to the Identification Number of the
172. is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing This would be settlement amount of redemption transaction available in transaction currency a Be ORACLE 3 15 GrossAmount Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store TransactionDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandatory This is the price at which order was executed ExtendedType Mandatory Outgoing FCIS will support the code OTHR only Value Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Redemption Bulk Order Cancellation Instruction Thi
173. isplayed If any of these overrides results in an error the checker must reject the record Amending Job Maintenance Record After a Job Maintenance record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The Job Maintenance Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes 20 ORACLE 5 5 2 7 Authorizing Amended Job Maintenance record An amended Job Maintenance must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions 5 5 3 Scheduling Jobs All jobs for scheduling are stored in a static data store and each job is associated with a name indicatin
174. itch In fund Latest NAV of the Switch Out fund converted to FBC of the Switch In fund Switch Out e Sum Switch transactions by Amount where fund passed is the Switch Out fund e Sum Switch transactions by Units Latest NAV of the Switch Out fund IPO Subscription Reversal e Sum Gross Amount In FBC of the original transaction Redemption Reversal e Sum Net Amount in FBC of the original transaction oe ORACLE 3 28 1 2 3 28 2 3 28 2 1 3 28 2 2 Switch In Reversal e Sum Switched In Amount of the original transaction where fund passed is the Switch In fund Switch Out Reversal e Sum Net Amount in FBC of the original transaction where fund passed is the Switch Out fund Dividends Dividend payout Criteria for dividend record consideration e Amendment Reversal not happened e Freeze Holdings done e EPU is available e Dividend is not processed e Date passed is the Dividend Declare Date Dividend Amount Sum of Freeze Holdings Units EPU Dividend Amendments Outflow Criterion for dividend record consideration e Original dividend is processed and amendment is not processed Dividend Amount Sum of Freeze Holdings Units New EPU Dividend Amendments Inflow Criterion for dividend record consideration e Original dividend is processed and amendment is not processed Dividend Amount Sum of Freeze Holdings Units Old EPU Estimated Cash In A C F tH K Estimated Cash Out ZB D E G 1
175. ith Oracle FLEXCUBE Retail eese 6 1 6 1 Oracle FLEXCUBE Retail Interface for CIF Accounts 6 1 6 1 1 Anterface Process cie d eode EH EE ERR RE Ru ues 6 1 6 1 2 Unitholder Accounts under CIF sse 6 2 6 1 3 Modifying CIF Account arsar a e E EEAS 6 2 6 1 4 Closure of Customer CIF Account sse 6 2 6 1 5 Details for CIF Account in FC IS sessi 6 3 7 Oracle FLEXCUBE Internet Banking eene 7 1 T5 Introduction ettet ei aetema iet 7 1 7 1 1 Data Hand off from FC IS sssssssssssssssesses eene nnns 7 2 7 1 2 Logging in to Oracle FLEXCUBE INTERNET BANKING ss 7 2 7 1 3 Information from FC IS to Oracle FLEXCUBE INTERNET BANKING 7 2 7 1 4 Viewing Portfolio Details eene 7 4 7 1 5 IPO Transactions and Subscription Transactions buys 7 4 7 1 6 Redemption Transactions Sell Transactions 7 6 7 1 7 switch Transactions iesu sc toi ilem 7 7 7 1 6 Transfer Transactions GRE HORREA E nian eed bees iain 7 8 7 1 9 Conversion Transactions essssssssssssssees ener 7 8 7 1 10 Auto Authorization essen nennen nantes nnne 7 9 CAAT Order Status is aet ngu eere Ee ea 7 9 7 1 12 Fr nsaclion ACIIVIDy iie te E irt REESE RE ERERL REESE 7 10 7 1 13 Account Statement Request sss 7 11 1 14 IPO Corner ion e T EE ERE De o ee geen
176. itional information ValuelninvestmentCurrency Mandatory Repetitive This tag will be used to pass the Declared NAV Component Value for Component ID and Transaction Base Price for Transaction Type ForExecutionIndicator Mandatory This indicates whether the price information can be used for the execution of a transaction This indicator would be Yes for fund price details and No for component details CorrectedPriceDetails Original Repetitive These are the corrected price details The information provided here is the latest corrected NAV details Price Report Cancellation The PriceReportCancellation message is sent by a report provider to a report user This message is used to cancel an entire PriceReport message that was previously sent by the fund accountant If only a part of the information has to be cancelled and replaced the PriceReportCorrection message must be used This report has to be generated manually FCIS communicates the original PoolReference of the price report Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS PreviousReference Mandatory This is the Reference Number to a linked message that was previously received oE ORACLE 3 28 3 28 1 3 28 1 1 Reference Mandatory Outgoing This will be the PoolReference of the original price report that wa
177. ize operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For example You can search the record for Template ID by using the combination of and alphanumeric value as follows Search by G System will fetch all the records whose Template ID starts from Alphabet G For example GLTEMP etc Search by 1 System will fetch all the records whose Template ID ends with the by numeric value 1 For example GL 1 etc 5 9 3 2 Editing GL Template You can modify the details of a GL Template that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The GL Template Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information
178. larly messages received by Vestima from the OHAs are forwarded by Vestima to the Ols The different events for which messages are generated are e Creation of new orders e Cancellation of existing orders e Confirmation of orders executed e Status updates e Securities rejection The messages are detailed below Creation of New Orders The following messages are used by the Ols for creation of new orders These are sent to Vestima and in turn Vestima forwards these to the appropriate OHAs through SWIFT Message Message Name Purpose FCIS Code RedOrdr setr 004 001 03 RedemptionMul New RMO tipleOrderV03 Redemp tion Order SbcptOrdr setr 010 001 03 SubscriptionMul New Sub SMO tipleOrderV03 scription Order SwtchOrdr setr 013 001 03 SwitchOrderV03 New Switch SWC Order T9 ORACLE 4 3 2 Cancellation of Existing Orders The following messages are used by the Ols for to request cancellation of orders previously issued These are sent to Vestima and in turn Vestima forwards these to the appropriate OHAs through SWIFT FCI S Cod e Message Message Name Purpose RedOrdrCxlReq Setr 005 001 03 RedemptionMultipleOrderCan Cancella RM cellationInstructionV03 tion of a C Redemp tion Order SbcptOrdrCxl Setr 011 001 03 SubscriptionMultipleOrderCan Cancella SM Req cellationInstructionV03 tion of C Subscrip tion Order SwtchOrdrCxl setr 014 001 03
179. late Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to amend The GL Template Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes Authorizing Amended GL Template An amended GL Template must be authorized for the amendment to be made effective in the System The authorization of amended records can be done only from Fund Manager Module The subsequent process of authorization is the same as that for normal transactions Copying Attributes If you want to create a new GL Template with the same attributes of an existing maintenance you can copy the attributes of an existing GL Template to a new one To copy the attributes mam ORACLE 5 9 4 5 9 5 5 9 5 1 e Retrieve the record whose attributes the new GL Template should inherit You can retrieve the record through the Summary screen or through the F7 F8 operation explained in the previous sections of this chapter e Click on Copy e Indicate the ID for the
180. le need not be in the same sequence as the fields of the tables created for them Select Mandatory Select Yes or No from the drop down list Interface Maintenance Summary Screen You can perform the following operations in the Interface Maintenance Summary screen Retrieving Record in Interface Maintenance Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Interface Maintenance Summary screen by typing UTSIFAC in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields e The status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Open field If you choose the Blank Space option then all records are retrieved e Interface ID e Interface Code e Import Export Type Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Interface ID Press F8 r ORACLE You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list Y
181. ll transactions with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by doing query in the following manner Press F7 Input the Message reference Code Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You can also search the record by using combination of and alphanumeric value For example You can search the record for Message Code by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Message Reference Code starts from Alphabet A Ex AGC17 AGVO6 AGC74 and so forth e Search by 967 System will fetch all the records whose Message Reference Code ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth e Search by 961796 System will fetch all the records whose Message Reference Code contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth 3 4 2 Editing SWIFT Records You can modify the details of a record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Swift Message Setup Summary screen from the Browser e Select the status ofthe record that you want to retrieve for modification in the Authorized field You can on
182. ls Template ID Template Description Business Event Trigger Event Theoretical Entries GL Currency Product Level Apply Component amp Primary Account Details Component ID Component Description Debit Credit SelectOne Primary Account Details Entity UnitholderID GL Setup For Payment Accounting Currency Fund Base Currency Account Number Bank Branch UHAC Info Transaction Currency UH A C Info Y Direct Debit UH AIC Info v Contra Account Details Contra Entity Unitholder ID GL Setup For CASA Y Contra Accounting Currency Fund Base Currency Contra Account Number Contra Bank Branch UH AIC Info Contra Transaction Currency UH AIC Info M Direct Debit Applicable UH A C Info Y Input by DateTime Authorized by DateTime Mod No Open Authorized 5 9 2 Fields in General Ledger Template screen 5 9 2 1 Details Section Template Id Mandatory Enter a unique id for the template that you are setting up Template Description Mandatory Enter a description for the template Business Event Mandatory Select the type of transaction process for which the template is being defined Trigger Event Mandatory Select the event on which GL Extraction will be initiated The Trigger Event could be Unitization Authorization or Settlement oat ORACLE Theoretical Entries Mandatory Select one of the options from the drop down to indicate if
183. ly modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list e Specify any or all of the details of the recording the corresponding fields on the screen to retrieve the record that is to be modified Click Search button All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed transactions The Swift Message Setup Detail screen is displayed e Select Unlock Operation from Action list to modify the record Modify the necessary information e Click Save to save your changes The Swift Message Setup Detail screen is closed and the changes made are reflected in the Swift Message Setup Summary screen 3 4 8 Viewing SWIFT Records To view a record that you have previously entered you must retrieve the same in the Swift Message Setup Summary screen as follows e Invoke the Swift Message Setup Screen from the Browser as ORACLE e Select the status of the record that you want to retrieve for viewing in the Authorized field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieve
184. mand Line 2000 Characters Maximum Alphanumeric Mandatory when the Import Export Basis is SQL If you are defining a SQL string or SQL Statement based interface specify the SQL string or command line that is to be executed This field is enabled only if you specify the Import Export Basis as SQL File Specification Required Mandatory Choose Yes if you wish to indicate that file specifications are required Else choose No Split Column This captures details of multiple files that are created for unique set of information and can uniquely identify the files This option is available only if the Segmentation box is unchecked Auto Number Select the option to indicate whether the system should automatically generate sequence number for bulk import The sequence number is automatically generated if you select YES Segmentation In cases where the information is spread over several files check this option to upload all the files Enabled Check this box to enable the interface An interface that is not enabled cannot be processed and all jobs and tasks that are associated with the interface are not executed By default when you define a new interface and save the definition in this screen the interface is created as an enabled interface When you are editing the record of an interface in this screen the only editing that is possible is enabling or disabling it by checking or un checking this box All other fields i
185. mapping for this tag Beneficiary Details Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description Units Number Mandatory Unit Mandatory Outgoing The allocated units for the transaction Net Amount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed Gross Amount Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store Transaction Date Time Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandator
186. message and not the RedemptionBulkOrder message must be used for a single order FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually Tags in Message Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference 950 ORACLE 3 13 1 2 3 13 1 3 Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Bulk Order Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing
187. mount Mandatory Outgoing This is the fund base currency code followed by the price as of the effective date of the report Type Mandatory This has the value NAVL QuotationDate Date Optional This indicates the maximum price date for which price is available as of the effective date of the report Statement of Investment Fund Transactions The StatementOflnvestmentFundTransactions is sent by an account servicer to an account owner or its designated agent The account servicer may be a fund administrator or fund intermediary trustee or registrar This message provides the details of increases and decreases of holdings which occurred during a specified period This message can also be used for information purposes eg tax information This report provides the statement of transactions for a customer and a customer s accounts for a given period 3100 ORACLE 3 35 1 Tags in Message MessagePagination This tag indicates the pagination of the message PageNumber Mandatory This indicates the page number LastPagelndicator Mandatory This tag indicates the last page of the report This will be true for the last unit holder report and false for the others StatementGeneralDetails Mandatory This tag provides general information related to the investment reports Reference Mandatory This is the Reference Number generated by the system StatementPeriod gt FromDate Mandatory This indicator is the
188. n The unit holder or CIF account holder can initiate a switch transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account for which the transaction is being put through e The ID and ISIN Code of the fund in which the transaction is being requested This is the fund from which the investment is requested to be switched e The ID and ISIN Code of the fund into which the investment is to be switched e The mode of the transaction amount units or percentage the value of the transaction in the selected mode and the currency for the transaction e Delivery options as follows f physical delivery the delivery type physical address and certificate denominations lot sizes Gf ORACLE If delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a switch transaction Transfer Transactions Transaction information The unit holder or CIF account holder can initiate a transfer transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account of the transferor unit holder
189. n in the DCN field The Outgoing Message Browser screen with the details of the message displayed A horizontal array of icons is available for you to perform operations on the message Outgoing Message Info All messages matching your criteria are displayed in this portion of the screen In the outgoing message info grid you can view the following details e DCN 20 ORACLE 3 6 5 Reference No Receiver Swift Msg Type Message status SI No Name Address Address Line 2 Address Line 3 Address Line 4 e Location e Exception e Message Authorize button Click on the authorize button to authorize the message Performing Operations on Message View Click this button to view the contents of a message The contents of the message will be displayed the Message section of the screen Authorize Click this button to authorize an unauthorized ungenerated message that has been edited or an unauthorized generated message that has been repaired Generate Click this button to generate the outgoing message in respect of an ungen erated message or a generated message that has been repaired and then authorized When you click this button the status of the message is marked as generated If any errors are encountered by the system during outgoing message gen eration the message is marked to the repair queue and must be repaired before being authorized and uploaded again for outgoing message genera t
190. n you can either regenerate the entries or generating a report containing the entries Accounting System General Ledger Setup You can use this screen in the Administration menu category of the Fund Manager component to e Map the load component codes in FCIS to their corresponding charge codes in the external system e Edit existing mappings e Delete existing mappings When you map each load component code GL Account Code to its corresponding charge code that is defined for the load in the external system the load information in the exported transaction data is recognized and assimilated in the external system oe ORACLE 5 10 1 5 11 Invoke the Accounting System GL Setup Detail screen by typing UTDGLACM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Accounting System GL Setup Detail New 53 Enter Query GL Account Code External Code Input by DateTime Authorized by DateTime Mod No Open Authorized Fields in Accounting System General Ledger Setup Screen When you open this screen all the codes that have already been mapped are displayed GL Account Code Alphanumeric Mandatory Select the account code in the FCIS system that must be mapped to its corresponding charge code in the external system This is the GL Account Code that has been assigned to this load component in the Fund Load Setup record External Code Alphanumeri
191. n also delete it before it is authorized Invoke the EFT Setup Summary screen by typing UTSEFTSD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The EFT Setup Summary screen can be used for the following operations on EFT batches e Retrieval for viewing e Authorizing batches e Marking a batch for re export EFT Setup Summary Authorized Open Instruction Medium H Instruction Type Process Date 2 Effective Date el Bank E Sub Payment Mode Batch Number Advanced Search Records per page 15 v 1 of 1 Authorized Open Instruction Medium Instruction Type Process Date Effective Date Bank Sub Payment Mod 2 5 4 Retrieving Batch in EFT Setup Summary Screen You can retrieve a previously entered record in the EFT Setup Summary screen as follows In the browser select Transaction screen and click on Summary specify any or all of the following details in the corresponding fields e The status of the transaction in the Authorized field If you choose the Blank Space option then all the records are retrieved at ORACLE 2 5 2 The status of the Transaction in the Open field If you choose the Blank Space option then all the records are retrieved The medium of instruction in the Instruction Medium field The type of instruction in the Instruction Type field The date of process in the Proc
192. n date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages ds ORACLE 3 22 1 3 Switch Order Details Mandatory This is information related to the switch order OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS InvestmentAccountDetails Mandatory Identification Proprietary Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to OwnerDetails tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch From fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symb
193. n the screen are locked in Edit Mode Process per file Select the option to indicate whether the bulk upload file needs to be processed in a sequential manner You can select either Yes or No Auto Import Keystring All import and export tables have a key string column The interface system imports the files into these tables with a specific key string The import wrapper will pick up the records with the same key string and process them This improves the multi user capability of interface 94 ORACLE 5 2 2 system and also allows us to reuse the same header and trailer tables for most of the imports and exports Subroutine Name Specify the name of the back end procedure to be called by the system during interface execution It is applicable only if import export basis is procedure Export Data First Select the option to indicate whether the data needs to be exported first You can select either Yes or No File Specifications Section Every interface involves a data exchange that could be of any of the following types e One which involves file exports or imports e One which does not involve file exports or imports i e from an external table to an internal table For a data exchange that involves no file exports or imports the Number of Files will be zero and the file specification tab is not applicable for such exchanges For exchanges that are procedure based or SQL based and involve file exports
194. n value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value Recipientldentification Optional If a value is provided in this field FCIS supports identification based on the following tags e BICOrBEI 9 86 ORACLE e Proprietaryldentification If BIC code the system will find whether the entity is an agent AMC broker or distributor System will select a load with the corresponding To Entity Type Waiving Details Optional This tag represents the override percentage that the system will apply Waive details have higher precedence over Rate hence Rate will be ignored if Waiving details are provided InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount ForeignExchangeRate Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will
195. nal accounting system use the following screens available in the Browser e Asset Management NAV Import Setup e Accounting System General Ledger Setup e Accounting System Component Setup Accounting System Component Setup You can use this screen in the Fund Manager Browser e Map the codes in the FCIS system to the corresponding accounting system codes in the FLEXCUBE Securities system e Edit existing mappings e Delete mappings e Add new mappings 8 ORACLE 5 7 1 5 8 You can invoke the Accounting System Component Setup Detail screen by typing UTDACSYC in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Accounting System Component Setup Detail New 73 Enter Query Accounting System Component Mapping FCIS Code NetDiv Account System Component Details 1of1 AMC Code Transaction Type Description Subscription Input by DateTime Authorized by DateTime Mod No Open Authorized Fields in Accounting System Component Setup screen When you open this screen all the codes that have already been mapped are displayed FCIS Code Alphanumeric Mandatory Select the FCIS code that must be mapped to an accounting system code in FLEXCUBE Securities from the drop down list Transaction Type Alphanumeric Optional Select the transaction type pertaining to the selected FCIS code from the drop down list If
196. nce Mandatory Incoming If the tag IndividualOrderReference is not provided the system will use this reference to identify the transactions for which status message is requested This will be the Messageldentification number of the original bulk multiple cancellation order request Outgoing This will be the individual Messageldentification number selected by the user from the online option IndividualOrderReference Optional Repetitive Incoming If the individual order references are provided the system will generate the reply message corresponding to the transaction number for this order reference one ORACLE 3 20 Outgoing This will be the OrderReference numbers corresponding to the transactions selected by the user for status request Order Instruction Status Report The OrderlnstructionStatusReport is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The OrderlnstructionStatusReport message is sent by an executing party to the instructing party to report on the status of a subscription redemption or a switch order The message can be used to report one of the following e Status of the order instruction using a code For example Accepted Already Executed e Cancelled status e Conditionally accepted status e Rejected status e Suspended status e In repair status individual orders only e R
197. nch For a fuller discussion of each of the above details refer the chapter Managing Investor Accounts The mutual fund or FC IS profile for the CIF customer When a mutual fund profile or FC IS profile is created for a CIF customer in FCR the following details must be captured as mandatory information Account Statement Currency The preferred currency for account statements desired by the customer Identification Type The type of identification documents furnished by the customer Identification Number The number of any such identification documents Identification Issue Date The date of issue of any such identification documents Identification Expiry Date The date of expiry of any such identification documents Introducer Broker Code The code in the FC IS system of designated intermediary that is to be deemed as the introducer broker for the customer Investor Type Whether the customer is an individual or a corporate or bank customer Nationality The nationality of the customer Preferred Currency The preferred currency in which the customer prefers to transact Preferred Language The default language that the customer prefers to use for the purpose of communication Redemption Payment Default The default mode by which the customer prefers to redeem any holdings in any of the funds of the AMC Resident Status Whether the customer is a resident or foreign customer Tax Circle The t
198. ncy TAXDEDUCTEDIN TAXCCY Tax in Tax Base Cur rency PAYMENTNUMBER Payment Number for this dividend 7 1 25 Viewing Dividend Details for Funds Dividend information for the various funds schemes available in the system can be viewed Search may be based on AMC Scheme Name From Date and To Date 7 1 25 1 Request Element The table below describes the important elements of the request XML Level Request agg Field Value Element Unitholders QUE FCIS SCODE Identifies the external system RY_ FUND DTD that is sending the request For FUND example HDFC 7 26 ORACLE Level Request prp Field Value Element XREF Running Serial No QUERY GETFUNDDIV TYPE RECORDID Fund ID if Selected AMCID AMC ID of the AMC Selected FROMDATE From Date of Dividend Info TODATE To Date of Dividend Info 7 1 25 2 Response Element The table below describes the important elements of the response XML Level Response op Field Value Element Unitholders REPLY FCIS ERRCODE Error Code FUND FUND DTD ERRDESC Error Description Unitholders HAND FCIS FUNDID OFF FUND DTD DIV gt FUNDDIV DIVIDEND NUMBER DIVIDEND Could be either R Regular TYPE or I Interim FROMDATE Dividend Period Start TODATE Dividend Period End FREEZEHOLD Date of Freeze Holding of INGDATE Units DIVIDENDDE
199. nd Identification Mandatory Outgoing FCIS sends out the fund ISIN UnitsNumber Mandatory UnitsNumber Mandatory Outgoing The allocated units for the transaction Amount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing This is be settlement amount of the redemption transaction available in the transaction currency 22 ORACLE GrossAmountindicator Optional Outgoing This will be true is the amount is Net else false TransactionDateTime Mandatory This tag provides the transaction date Outgoing Depending on the UDF mapping the Transaction Date will be passed Value gt Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendIndicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e U
200. ned where the current status of the job is indicated e Allthe relevant transaction records pertaining to the specified Instruction Type and Effective Date are extracted and the amounts involved are summed across all the transaction and displayed in the Instruction Information section in the lower portion of the screen This displayed row will also contain the number of records that are tagged with a link settlement number e To view the records in detail with the actual transaction numbers and the bank account details click the View Details button The records that make up the batch are displayed transaction wise in the Instruction Details section in the lower portion of the form e Choose the Save option from the File menu or click on the Save button to save the batch Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the EFT Setup Screen Fields in EFT Setup Screen The EFT Setup Screen depicts the following EFT information Batch Number System Generated Information The Batch Number is a unique identifier that is assigned to each batch that is generated in this screen When you have extracted all the records in this screen the Batch Number is generated when you choose the Save option and the system successfully saves the batch The Batch Number consists of a 20 character number and is generated by the system according to the following logic Characters 1 2 BN
201. new GL Template You can however change the details of the new template Mapping GL template to fund investment account type combination After authorized templates have been created you can map the relevant template to a fund investment account type combination in the GL Interface Set Up Detail screen You can invoke this screen by typing UTDGLISD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button GL Interface Set Up Detail New 3 Enter Query Fund Details GL Reference Number Template ID Template Description Fund ID Apply at ProductLevel Yes Account Type ISIN Code Product ID GL Currency Template Details Business Event Theoretical Entries Trigger Event Component Details 1of1 Component ID x m Debit Component Description x Debit Credit Primary Contra Entity Details T PrimarvlC nnira Entity Netaile Restricted Reference Type 1of1 E Restricted Reference Types m Input by DateTime Mod No Authorized by Open DateTime Authorized Fields in GL Interface set up Screen Fund Details Section GL Reference Number Specify a reference number for the GL The field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund ld Template Id Component and Account Type You can distinguish between them b
202. nges Authorizing Amended Record An amended record must be authorized for the amendment to be made effective in the system Authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently the same as that for normal transactions Copying Attributes If you want to create a new record having the same attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the Summary screen or through the F7 F8 operation which are explained in the previous section e Inthe EFT Setup Detail screen click on Copy Action e Indicate the ID for the new record You can however change the details of the new records if required Marking a Batch for Re Export Once a batch has been authorized it cannot be generated again for the same instruction type for the same date If the data is lost due to any reason or the EFT file is misplaced then you can re export the same batch again The saved data is exported again You can use the Mark EFT Batch for Re Export option in the Operation field in the EFT Batch Maintenance Summary to do this Only batches that have been authorized and subsequently processed at least once can be marked for re exp
203. nitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions CommissionGeneralDetails Optional This indicates the load corresponding to the From Entity Type U and To Entity Type F TotalAmountofCommissions Optional Outgoing FCIS sends out the value of the load where the From Entity Type is U and To Entity Type is F CommissionDetails Type gt Unstructured or Recipientidentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Spa ORACLE Amount Mandatory Outgoing This tag corresponds to the individual Loads under the main U F load viz F M and F A loads Rate Optional This tag corresponds to the rates of individual Loads under the main U F load viz F M and F A loads ChargeGeneralDetails Optional This tag corresponds to the sum of all the loads other than the load mentioned in the CommissionGeneralDetails tag TotalAmountofCharges Optional Outgoing FCIS sends out the sum f all the loads other than the load mentioned in the CommissionGeneralDetails tag ChargeDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided th
204. nsactions pending processing Account Statement Request After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can request for account statements This statement request after being received by FC IS and generated is mailed to the unit holder in paper form When FC IS receives the account statement request from Oracle FLEXCUBE INTERNET BANKING the required statements are manually generated in FC IS through the Browser component menu If the unit holder ID is not specified as part of the request the statement is generated for all unit holders under the selected CIF account The Inward Query Logging and Action Tracking screens in FC IS can be used to log these requests IPO Corner After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view all the open IPO s by the AMC The following information as part of fund rules download is displayed against each fund offered as IPO e Fund ID and ISIN Code e Fund Name e Investment Philosophy e Fund Currency e Par Value e Open Date e Close Date A drill down facility is also available to enable the viewing of fund information by clicking on the fund name The Fund Information is provided by the AMC in the form of an HTML document The AMC creates its own fund page for IPO s The publishing architecture of Oracle FLEXCUBE INTERNET BANKING is used to present this information to the customer NAV Movemen
205. o currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Outgoing This will be the Transaction Settlement Date Redemption Bulk Order This message is sent by an intermediary party to an executing party or to another intermediary party The RedemptionBulkOrder message is used to bulk several individual orders into one bulk order The individual orders come from different instructing parties i e account owners but are related to the same financial instrument The RedemptionBulkOrder can result in one single bulk cash settlement or several individual cash settlements This message will typically be used by a party collecting order to bulk those individual orders into one bulk order before sending it to another party This message cannot be used for a single order i e a message containing one order for one financial instrument and for one investment account The RedemptionMultipleOrder
206. o the FC IS database for customers that have CIF accounts in the FCR system database as well as the creation of a single initial unit holder account for the CIF account Interface Process The interface between FC IS and FCR is triggered as follows e When a CIF is created for a customer of the bank by a user in the FCR system all mandatory details needed for the creation of the CIF are specified and the record is saved It is subsequently authorized The CIF account now resides in the FCR system database e If amutual fund CIF or unit holder account needs to be created for the CIF customer in the FC IS database a mutual fund profile must be created for the CIF customer account This profile must be created by a user in the FCR system e The mutual fund profile is automatically authorized upon creation in FCR When this happens the interface process is triggered and the details of the CIF customer account as well as the mutual fund profile are propagated from the FCR database to the FC IS system database Refer the sections The basic profile for the CIF customer and The mutual fund or FC IS profile for the CIF customer later on in this chapter for details propagated into the FC IS database e ACIF account is created for the CIF customer in the FC IS database along with an initial single unit holder account for the CIF account This account is created either as an unauthorized or authorized account depending upon the specific
207. oani a eia dd ed e iae eR EH ER RA d HR R3 3 35 Subscription Multiple Order Confirmation sss 3 39 311 1 Tags in Message direi eed di ces ode epi e onde nen 3 39 Subscription Multiple Order Cancellation Instruction sssssssssssss 3 43 3 12 1 Tags in Message re n eiae d eei di e d iE e eid 3 44 Redemption Bulk Order ssssssssssssssssssssseeen eene 3 46 3 139 1 Tags in Message oi i HE ERREUR tp rite a 3 46 Redemption Bulk Order Confirmation sssssssssssssse 3 50 3 14 1 Tags in Message esistente ied anta snae e 3 51 Redemption Bulk Order Cancellation Instruction sssssssss 3 53 3 15 1 Tags in Message errire E ette ett nnn sta ade daba etn 3 54 Redemption Multiple Order ssssssssssssssesseee eene 3 56 3 16 1 Tags in Message iasissusseiiiieseees ide nte dabo e eed dnb E Aea EARRA eiaa BENA 3 57 3 17 Redemption Multiple Order Confirmation ccccccceeeeeeeeeeeceecaeeeeeeeeeeeteeeeeneees 3 60 S Tagsin Message ioias avi Uo DA E REUS 3 61 3 18 Redemption Multiple Order Cancellation Instruction ssssssssssssss 3 65 3 18 1 Tags in Message peoria dani b EROR CU OR P RR o Rd 3 65 3 19 Request for Order Status Report 3 67 3 19 1 Tags in Message sided ira deer eia dex deed e n 3 68 3 20 Order Instruction Status Report sssssssssssssseeeeem e 3 69 3 20
208. ode for the transaction either gross or net e For certificate option funds in which the unit holder has requested for certificates the applicability of single certificates e For Letter of Intent LOI unit holders the applicability of the transaction for Letter of Intent amount e The mode of payment and sub payment e Delivery options as follows f physical delivery the delivery type physical address and certificate denominations lot sizes is ORACLE If delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable e For limit order transactions the limit order options For payments through account transfer the following information must be specified as mandatory information e The account number for the transfer payment This could be any of the accounts maintained in the system for the unit holder or it could be any other accounts e Bank name e Branch name e Account type e Account number e Account currency e Account holder name this information is required only if an account other than any that are maintained in the system is to be used e Payment reference number For payments through credit card the following information must be specified as mandatory information e Card Number e Card Type Master Visa e Issuer Name Bank Name e Expiry Date The transaction in FC IS The FLEXCUBE Investor Services system only accepts requests
209. of the allotted transaction in the system that has been extracted for this batch is displayed here For dividend payments and commission payments it is the corresponding payment number For redemption transactions it is the actual redemption transaction number in the system For debit orders it is the actual system generated Standing Instructions transaction number that is assigned when the transaction is actually generated in the system Mark for Re Export Click Mark For Re Export button to mark the records for re export Reports Printed on Saving EFT Batch When you save an EFT batch in this screen the following reports are printed e The Instruction Batch Report containing the following details Batch Number and Description Instruction Description Instruction Medium Net Amount 25 ORACLE Process Date and Effective Date Authorization Status and Batch Status Rejection Reason if any e The EFT Batch Details Report containing the following details The Link Settlement Numbers if any The transaction amounts at the settlement number level and a sum for the entire batch The transfer bank account details at the link settlement number level 2 5 EFT Batch Maintenance Summary Screen After you have extracted an EFT batch you must have another user authorize it to be effective in the system Before the EFT batch is authorized you can edit it as many times as necessary You ca
210. oker fees Disinvestment Amount etc from FCIS and creates a text file which will be handed over to the different AMC This interface is manually triggered You can also report the net value of the Initial admin and Broker Fee to the AMC UT along with the UT initial fee return value using Global Order Placement Hence the exported files will contain both the net amount Policy amount Fees and UT fee return value You can group the transactions based on the following e Fund e Transaction Date e Transaction Type e Subscription includes Pseudo Switch in e Redemption includes Pseudo Switch out True Switches and Transfers e Product e UT Fee Return value Note System will consider Internal Switches switch in and switch out as separate transaction types Batch Process for Global Order Generation The Global Order or Manco Instructions is generated using the batch process The system will check for all the transactions in this batch process i e if there are fees attached to the policy transaction the system will forecast the Initial Admin fees and Initial Broker fees using the Project Allocation procedure Project Allocation projects the allocation which contains the allotted units based on the price available from the global order The forecasted fee values are received through the project allocation package You can calculate the investment amount using the following formula Investment Amount Policy Transaction
211. ol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN FinanciallnstrumentQuantityChoice Mandatory This is to identify the quantity represented in amount units to switch from a fund FCIS would support the following elements e Units Number gt Unit e NetAmount e HoldingsRedemptionRate des ORACLE PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN FinanciallnstrumentQuantityChoice Mandatory This is to identify the quantity represented in amount units to switch into a fund Outgoing FCIS will pass the value 0 under the relevant redemption leg tag CommissionDetails Type gt Unstructured or Recipientidentification BICOrBEI Mandatory This indicates the load corresponding to the commission that is being overridden The Load in the system
212. omma tilde or dot Table Name Alphanumeric Mandatory The name of the table associated with the specified procedure that will receive imported data or contain the data that is to be exported is displayed here You can edit this name but it must correspond to a valid database table You can use the drop down list to specify a new table name Criteria Alphanumeric Mandatory Specify a clause that filters the data that is being exported or imported For example you can specify an SQL statement such as a Where clause here The clause will look for and pick up all data that satisfies the Where clause in the data that is being exported or imported File Name Alphanumeric Mandatory Specify the name of the file that will be involved in the data exchange File Path Alphanumeric Mandatory Specify the path in which the specified file will be found Click the button alongside this field to browse to the desired location Archive Directory Alphanumeric Mandatory Specify a location where the specified file may be stored or archived for future reference after the data is either exported or imported If you do not specify an archive directory the file is deleted from the specified File Path once the interface is processed and the data exchange is done Unique File Name Optional Choose Yes to indicate that when a data import takes place only files that exactly correspond with the specified file name will be impo
213. on Number generated by the system corresponding to the Order Reference number Financial Instrument Details This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN Units Number Mandatory UnitsNumber Mandatory Outgoing The allocated units for the transaction Amount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed Gross Amount Indicator Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store Transaction Date Time Mandatory This tag provides the transaction date Outgoing Depending on the UDF mapping the Transaction Date will be passed Price Details Mandatory This is the price at which order was executed Value Amount Mandatory Outgoing This will be the allocation price for the transaction Partially Executed Indicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO sal ORACLE Cum Dividend Indicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to
214. on from Oracle FLEXCUBE INTERNET BANKING are accepted in the Oracle FLEXCUBE INTERNET BANKING system even if they are entered during the End of Day cycle in FC IS 716 ORACLE 7 1 22 7 1 22 1 In such an event if the End of Day cycle is in progress Oracle FLEXCUBE INTERNET BANKING notifies the investor that the requests will be processed only next working day The information details specified are accepted in XML format and written into Queue Therefore FC IS will accept inquiry requests irrespective of End of Day Beginning of Day statuses Transactions are accepted when an AMC is up for operations as well as during the FC IS End of Day cycle i e FC IS is offline During the End of Day then transactions are accepted but a message indicating the End of Day cycle is displayed After the FC IS system completes its End of Day process the queue for any transaction update requests from Oracle FLEXCUBE INTERNET BANKING is read and the requests are processed one by one Search Based on AMC When investors log in to Oracle FLEXCUBE INTERNET BANKING they can request to view details of funds pertaining to a particular AMC On selecting an AMC information related to all the funds offered by the AMC is displayed Order status Customer dividend information fund NAV fund dividend information holding statement etc are some of the parameters that can be queried based on AMC Request Element The table below describes
215. on message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message Bulk Execution Details Mandatory This is general information related to the execution of investment orders Financial Instrument Details Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN Individual Execution Details Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number Settlement Amount Optional Oracle FLEXCUBE would pass settlement amount of the transaction in this tag in ORACLE Investment Account Details Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF
216. ong a message record to indicate the message should be manually generated In the Swift Txn Log grid you can view the following details e Original Reference number e Message Description e Date Generated e From Entity Type e From Entity ID e To Entity Type e To Entity ID e All Txns Ind Txns Button Click on the Ind Txns button to invoke the Individual Orders screen E Individual Orders Swift Txn Detail Log 1of1 Individual Order Reference x Transaction Number Select Oo Check the option Select along a message record to indicate the message should be manually generated In the individual Orders screen you can view the following details e Individual Order Reference e Transaction Number ots ORACLE 3 6 2 Validation of SWIFT Messages The XML format of SWIFT Messages can be validated To maintain validation parameters for the XML format use the Parameter Setup Detail screen You can invoke this screen by typing UTDPARAM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button When you open the screen choose the language for which you want to view the maintained codes in the Language field Then select the Parameter Code SWIFTFORMAT and click add icon to add the parameters The following screen will be displayed Parameter Setup Detail i New 3 amp 3 Enter Query Parameter Maintenance Param Code Mainta
217. or imports the Number of Files is more than zero and all tables in the FCIS system that are associated with the specified procedure or SQL string are displayed in the File Specifications screen with each file having a serial File Number You can edit any details except the File Number or add new tables Invoke the File Specifications Screen by clicking File Specification button in the main Interface Detail screen FCIS Interface Maintenance Detail File Specifications Maintenance 1of1 E File Number No Of Segments Segmentidentifier Field Occurence FieldLength Field Type Segment Delimite amp Field Value First Field String Comma File Number Display Only The serial number for the file that is involved in the data exchange is displayed here and it cannot be altered When you add a new file or table name it is given a new sequential file number No of segments This represents no of segments to be uploaded v9 ORACLE Segment identifier This indicates the value associated with the segment identifier to be uploaded Field Occurrence This identifies the field corresponding to the segment identifier to be uploaded Field length This indicates the length of the field to be uploaded Field Type Select the type of the field from the drop down list The options available are String or Number Segment Delimiter Select the delimiter to be used for the different segments The values possible are c
218. or the transaction currency If not these account details will be considered as third party payment details Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag CreditorDetails gt Accountldentification gt Name Optional This is the name of the account It provides additional means of identification Outgoing This will be the TransferAccountHolderName of the transaction CreditorDetails gt FinalAgent Mandatory FCIS supports BIC and Proprietary Identification based identification sia ORACLE 3 14 Incoming If BIC is provided the system will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these bank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send ChequeDetails Mandatory C
219. orization are retrieved and displayed in the lower portion of the screen e Double click the transaction that you wish to authorize The Payment Clearing screen is opened in view mode e Select Authorize operation from Action list When the checker authorizes a transaction details of validations if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Transaction After a transaction is authorized it can be modified using the Unlock operation from Action list To make changes to a transaction after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the Payment Clearing Summary screen from the Browser e Select the status of the transaction that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the transaction in the corresponding fields on the screen All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the transaction that you want to amend The Transaction screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the transaction e Amend the necessary information Click the Save button to save your changes Authorizing Amended Transactions
220. ort To mark a batch for re export in the EFT Batch Maintenance Summary screen e Select Mark for Re Export in the Operation field e Retrieve the batch that you must re export Specify the appropriate search criteria and retrieve the batch e When you have successfully retrieved the batch the details of the batch are displayed in the grid portion of the screen The following details are displayed for the batch e The Batch ID and description ay ORACLE The Process Date and the Effective Date for the batch The count of the number of link settlements for the batch To mark a batch for re export check the Re Export check box in the row corresponding to the batch in the grid Similarly mark as many batches as required for Re Export When you have finished choose the Save option from the File menu or click the Save button to save the marked batches 2 7 Payment Clearing Screen In an exported EFT batch file if the external clearing bureau directs that some settlements must be reconciled in the system you can use the Payment Clearing Detail screen to do this You can invoke this screen by typing UTDPYCLR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Payment Clearing Screen Payment Clearing Detail m D New 4 Enter Query AMC ID Tr
221. ose entered directly through agency branches The status of the following transaction types will be displayed as applicable e IPO e Subscription e Redemption e Switch For switch transactions both the legs of the transaction are displayed In the Order Status screen any or all ofthe following information must be specified as inquiry parameters by the unit holder e The CIF account number the details for all unit holders under the CIF are displayed e The range of dates between which the status of orders placed is required If not specified the date range is taken by default to be the period between the beginning of the current month up to the current date e The transaction number On receiving an Order Status request from Oracle FLEXCUBE INTERNET BANKING FC IS relays back the following information regarding the transaction e The Unit Holder ID e Transaction Date e Transaction Type e Fund ID and ISIN Code e Fund Name e Transaction Number e Reference Number e Transaction Mode e Transaction Value e Transaction Currency e Transaction Status The authorization status of the transaction that is whether Authorized or Unauthorised is indicated In addition for buy and sell transactions the following information is also sent e Status T9 ORACLE 7 1 12 e Base Price Used e Exchange Rate Used e Incase of transactions by gross basis the amount in Fund Currency e Loads e VAT Component e Net Am
222. ou can also search a record by using a combination of 96 and alphanumeric value FCIS Interface Maintenance Summary Authorized Open Interface ID B Import Export Type Interface Code Advanced Search Records per page 15 v 1 4 Authorized Open Interface ID Import Export Type Interface Code Proc ID Number of Files Import Export 5 2 7 2 Editing Interface Maintenance Record You can modify the details of Interface Maintenance record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Interface Maintenance Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The Interface Maintenance Detail screen is closed and the changes made are reflect
223. ount e Units Allocated The status could be one of the following e Authorized Unauthorized Rejected with reason for rejection e Unallotted Allotted Provisionally Allotted Partially Allotted For incomplete transactions i e transactions for which the payment details or the exchange rate details are not available a message is displayed indicating that the information is incomplete as there are transactions pending processing If the query is unsuccessful for some reasons FC IS also relays the description of the error with its associated error code Transaction Activity After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the activity of any transaction requests that were previously entered between a given time period In addition to this the unit holder can view fund wise opening balance of all funds applicable to the request criteria The unit holder must specify any or all of the following information as inquiry parameters to view the transaction activity e The unit holder number if the unit holder number is not specified the details for all unit holders under the CIF are displayed e The range of dates between which the status of orders placed is required If not specified the date range is taken by default to be the period between the beginning of the current month up to the current date e Alternatively the unit holder can also specify the transaction number
224. p for any function by clicking the help icon provided or by pressing F1 ra ORACLE 2 1 2 2 2 3 2 Creating Electronic Fund Transfer Interfaces Introduction Oracle FLEXCUBE Investor Servicing FC IS provides the AMC with the facility of interfacing with external clearing bureaus and clearing banks The interface is facilitated through electronic funds transfer EFT and specific transfer instruction data can be generated as EFT files that are sent to these clearing bureaus In the FC IS system you can create transfer instructions to be sent to the clearing bank of the AMC from where transfers can be effected to the unit holder bank accounts for the following business events e Redemption Payments For all the payments that need to be effected through transfer to unit holder bank account due to redemption transactions on any given date you can generate an EFT file in the system with all the relevant transfer instruction data and the amounts This file can then be exported to the clearing bank of the AMC e Dividend Payments For all dividend payments that must be effected through transfer to unit holder bank accounts on a given date an EFT file can be generated that contains all the relevant transfer instruction data and the amounts This file can then be manually transmitted to the clearing bank of the AMC that will actually effect the transfers e Broker Commission Payments For all payments through transfer to an a
225. ption you choose The same is explained below oe ORACLE CASA Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Bank Branch Mandatory Select the bank branch from the option list provided Account Number Mandatory Select the bank account number from the option list provided Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Direct Debit This field will be disabled for the option CASA GL Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Account Number Mandatory Enter the bank account number Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency SAP Entity Mandatory Select the primary initiatin
226. r i ORACLE If payment is to be made by a self check payment details are optional If payment is to be made through a third party check the following details are to be specified as mandatory information e Payment reference e Payment remarks The following information is optional for third party check payments e Third party address e Zipcode e US State For payments through account transfer the following information must be specified as mandatory e The account number for the transfer payment This could be any of the accounts maintained in the system for the unit holder or it could be any other accounts e Bank name e Branch name e Account type e Account number e Account currency e Account holder name this information is required only if an account other than any that are maintained in the system is to be used e Delivery options as follows f physical delivery the delivery type physical address and certificate denominations lot sizes If delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable e For limit order transactions the limit order options The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO and subscription transactions except that all the validations are made as for a redemption transaction Switch Transactions Transaction informatio
227. r CIF After the single initial unit holder account is created for a CIF account by the interface you can create as many different unit holder accounts under the same CIF account in the FC IS system through the Unit Holder New Account menu item in the Maintenance menu category of the Agency Branch main menu When you create a new unit holder account for a CIF account the details for the account are defaulted by the system from the CIF account profile These details are the personal details broker details identification details tax details and bank details You can edit or perform an information change on any unit holders in a CIF account using the Unit Holder New Account Summary screen for edit and the Unit Holder Information Change Detail screen for information change You can access both these screens from the corresponding menu items in the Maintenance menu category of the Agency Branch main menu Modifying CIF Account Whenever a CIF account is amended i e altered after authorization in FCR the changes could be made e Inthe basic CIF account details e Inthe mutual fund or FC IS profile details If the basic CIF account details are amended the changes will be propagated to FC IS by the interface process upon authorization of the same in FCR If the mutual fund profile is amended the changes are automatically authorized in FCR and the interface process is triggered propagating the changes to FC IS
228. r Services in FCIS by specifying the Interface ID as a parameter for a task and then schedule the task to be executed as desired as a job as follows 1 Define an interface definition from FCIS to the external system or vice versa The interface definition will be associated with a unique Interface ID 2 Define a task through the Task Maintenance screen and indicate the Interface ID as a parameter to the task 3 Schedule the task by associating it with a time based or event based frequency and define it as a job through the Job Maintenance screen 4 Activate the scheduler and it will call the Interface Processing module at the time specified and pass the Interface ID as a parameter to the module 5 The Interface Processing module will then execute the defined interface and log any errors that will result You can access the interface processing screens from the following menu categories in the Fund Manager component e The Interface Maintenance screen from the Interfaces menu category in the browser e The Interface Maintenance Find Options Summary screen e The Online Interfaces Execution screen under the Batch menu in the browser Refer to the chapter Interfaces with External Systems in Volume Four for further details on setting up and maintaining interfaces E ORACLE 8 2 8 2 1 8 2 2 8 2 3 8 2 4 FCIS AWD Interface At the end of a day s batch processing Oracle FLEXCUBE Investo
229. r Servicing will produce a file which contains all the transactions that have failed validation criteria The FCIS AWD Interface will assign a unique error code for each of the failed transactions and pass the file to another external system This external system will translate the error codes into AWD Worktype and produces an AWD RIP control file for AWD RIP Maintaining Interface Specific Details You need to maintain the external system AWD in the FCIS Data Mapping Maintenance screen with the code description as ERROR CODE Consequently the file that will be sent to AWD by FLEXCUBE Investor Services will have the header AWD Refer to the section Maintaining Data Mapping in the chapter Maintaining System Parameters for further details Interface Attributes The FCIS AWD Interface has the following attributes Trigger EOD Activity Transport Type File System File Type Delimited Header Row No Record Separa New Line Charac tor ter Field Separator Comma Process Workflow The FCIS AWD interface will fetch all the allocation errors that have occurred on transactions after all the validations The interface will then transfer a file with the details in the required format The interface will also provide the subscriptions redemptions and income distributions for which the bank details are unverified File Format for FCIS AWD Interface The file which contains the erro
230. r than the load mentioned in the CommissionGeneralDetails tag ChargeDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Amount Mandatory Outgoing The load amount in terms of the fund base currency PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based RelatedPartyDetails Optional This is information related to an intermediary Identification Proprietary Identification Mandatory Outgoing Identification of the agent agency branch AO or IFA as maintained in FCIS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AQ Subscription Multiple Order Cancellation Instruction This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SubscriptionMultipleOrderCancellationInstruction message is used to cancel the entire previously sent order message and all the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of th
231. r to a report user This message can be used for different purposes e To report prices for one or several different financial instruments for one or several different trade dates e To report statistical information about the valuation of a financial instrument e To inform another party that the quotation of a financial instrument is suspended e To report prices that are used for other purposes than the execution of investment funds orders If a fund is based on price components the individual component details will be provided in PriceValuationDetails gt PriceDetails repetitive tag FCIS will also provide the prices for each transaction type under PriceValuationDetails gt PriceDetails repetitive tag This report could be taken out of the system in automated way based on a particular event or manually as ORACLE 3 25 1 3 25 1 1 3 25 1 2 User would have the option to key in the Effective Date for which the Price Report should be generated If the price is not provided the latest price would be picked up FCIS will provide the latest NAV details if auto generated for the funds through this report Tags in Message PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages PriceValuationDetails
232. rated against each Masterreference message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message MultipleExecutionDetails Mandatory OrderDateTime Optional Outgoing This will be mapped to the transaction save time Se ORACLE InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag IndividualExecutionDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number SettlementAmount Optional ORACLE FLEXCUBE would pass settlement amount of the transaction in this tag FinanciallnstrumentDetails Mandatory This tag provides details to identify a fu
233. re retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed transactions The Payment Clearing Detail screen is displayed Select Unlock Operation from Action list to modify the record Modify the necessary information Click Save to save your changes The Transaction Detail screen is closed and the changes made are reflected in the Transaction Summary screen Viewing Transaction To view a transaction that you have previously entered you must retrieve the same in the Payment Clearing Summary screen as follows Invoke the Payment Clearing Summary Screen from the Browser Select the status of the transaction that you want to retrieve for viewing in the Authorization Status field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the transaction that you want to view in the list of displayed transactions in the lower portion of the screen The Payment Clearing Detail screen is opened in view mode Deleting Transaction You can delete only unauthorized transactions in the system To delete a transaction that you have previously ent
234. report is generated SubTotalAmount Optional This will be the Estimated Cash In CashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash Out s ORACLE 3 30 3 30 1 3 30 1 1 3 30 1 2 3 31 Fund Confirmed Cash Forecast Report Cancellation The FundConfirmedCashForecastReportCancellation message is sent by a report provider to a report user This message is used to cancel a previously sent FundConfirmedCashForecastReport message The FundConfirmedCashForecastReportCancellation message must contain the reference of the message to be cancelled This message may also contain details of the message to be cancelled but this is not recommended Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be selected by the user Fund Detailed Estimated Cash Forecast Report The FundDetailedEstimatedCashForecastReport message is sent by a report provider to a report user This message is used to provide an estimate of the cash incoming and outgoing flows per investment fund sorted by country institution or the criteria
235. reviously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Order to be Cancelled This is common information related to all the orders to be cancelled Bulk Order Details Mandatory Financial Instrument Details Mandatory This tag provides details to identify a fund Outgoing FCIS sends out the fund ISIN dra ORACLE Individual Order Details Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction Investment Account Details Mandatory Accountldentification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag Beneficiary Details Optional Other Identification Identification Mandatory Outgoing This woul
236. rieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Record screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the transaction e Amend the necessary information Click the Save button to save your changes Authorizing Amended Records An amended record must be authorized for the amendment to be made effective in the system Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module Copying Attributes If you want to create a new record having the same attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the Swift Message Setup Summary screen or through the F7 F8 operation which are explained in the previous section e Inthe Swift Message Setup Detail screen click on Copy Action e Indicate the ID for the new record You can however change the details of the new record if required Setting Up UDFs for SWIFT Elements User elements are pre shipped However you do have the option of changing a few The Swift Element UDF Summary screen allows you to do the same You can invoke this screen by typing UTSSWUDFEF in the field at the top right corner o
237. ring times and helps in identifying miss fired jobs Startup Mode Alphanumeric Optional Specify start up mode of the job from the drop down list The following options are available e Auto The job starts automatically when Oracle FLEXCUBE application starts e Manual You should start the job manually in job controller by resuming the job d ORACLE 5 5 2 5 5 2 1 Parameter Details You can specify the job specific parameters which are passed to job class or procedure at runtime The following details are captured here Parameter Name Alphanumeric Optional Specify the name of the job parameter The parameter name you specify here is passed to job class or procedure at run time Data Type Alphanumeric Optional Specify the data type of the parameter Parameter Value Alphanumeric Optional Specify the value of the parameter Job Maintenance Summary Screen You can perform the following operations in the Job Maintenance Summary screen E Jobs Summary Authorized Open Job ID 3 Task ID Frequency Basis Schedule Type End Date Advanced Search Records per page 15 s 1of1 Authorized Open Job ID Task ID Frequency Basis Schedule Type Effective Start Time End Dat Retrieving Record in Job Maintenance Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the Job Maintenance Summary screen by typing UTSJOB in the field a
238. ription transactions The latest available exchange rate for the transaction The calculation of the clearing date for the transaction based on the options for the fund If the transaction details are successfully validated it is saved as an authorized transaction pending allocation A valid transaction number Redemption Transactions Sell Transactions Transaction information The unit holder or CIF account holder can initiate a redemption transaction or a sell transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information Note Redemption transactions are accepted for only scrip less funds for which the ageing policy specified in the fund rules is FIFO First In First Out or certificate option fund having the scrip less characteristic The unit holder ID under the CIF account for which the transaction is being put through The ID and ISIN Code of the fund in which the transaction is being requested The ID of the product mapped to the selected fund in which the transaction is being requested only if applicable The mode of the transaction amount units or percentage the value of the transaction in the selected mode and the currency for the transaction The processing mode for the transaction either gross or net This is picked up from the Transaction Processing Rules for the selected fund The mode of payment and sub payment This could be either cheque or transfe
239. rs that have occurred on transactions will be in the following format Field Name Data Type Details Error Code Number The FCIS error code will be translated as per the data mapping maintenance Account Number Character The unit holder ID of the transaction Fund id Character The fund ID of the transaction Account Group Character Product ID of the transaction The value will be UT if No itis a unit trust transaction ix ORACLE Field Name Data Type Details Account Group Character The product type of the product maintained in FCIS Type Surname Character The Last Name of the unit holder involved in the transaction Date of birth Number 8 Unit holder s Date of birth in YYYYMMDD format Account Refer Character The transaction number ence Number Date Number 8 Transaction date in YYYYMMDD format ae ORACLE 9 Function ID Glossary S SMSJOBBR 5 22 U UTDACSYC 5 24 UTDAMNAY 5 25 UTDEFTSD 2 3 UTDGLAOM 5 39 UTDGLISD 5 36 UTDGLTMP 5 27 UTDIFAG tss 5 1 UTDJOB eReem 5 15 UTDMSGIN 3 18 UTDMSGOT 3 20 UTDPARAM 3 17 UTDPSWIN 3 21 UTDPSWOU 3 22 U
240. rs to be cancelled SwitchOrderDetails Mandatory OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag The ORACLE 3 25 Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the Switch From fund ISIN PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund Identification Mandatory Outgoing FCIS sends out the fund ISIN for the Switch To fund PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Price Report The PriceReport message is sent by a report provide
241. rted If you choose No all files that resemble the specified file name will be picked up For example if the specified file name is nav xls and this box is checked only the file nav xls will be picked up If not all files that bear the name nav will be picked up during import During export of the file a unique time stamp is given to the file if you check this box ae ORACLE File Type Alphanumeric Mandatory Select the type of file that is being exported or imported ASCII File Format Alphanumeric Mandatory for ASCII file types Specify the format for ASCII files either Fixed or Delimited Four Digit Year Optional Check this box to indicate that the year format in the date must be four digits Date Time Option Alphanumeric Mandatory Select the date time format that is applicable in the data that is being imported or exported Column Header on first line Optional Check this box to indicate that column headings must also be picked up in the export or import file typically in an MS Excel Worksheet The Column Specifications button Click the Column Specifications button in the File Specifications screen to specify the column details for the interface file The Column Specifications Maintenance screen is opened in New Mode You can also indicate any or all of the following format specifications for the file in the File Specifications grid e Field and String Delimiters e Date Format e Decimal Symbol e
242. ry InvestmentAccountDetails Mandatory This is the account impacted by an investment fund order Identification Proprietary Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to Ownerldentification tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS Tf ORACLE FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN Choice for UnitsNumber Amount HoldingsRedemptionRate Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field Amt is provided
243. s box to indicate the message needs to be manually confirmed This is applicable only to FCIS initiated messages only and not messages which are in response to SWIFT requests Note This field will be displayed only if the Message Type is OUT Global Order Optional Global orders are orders sent from distributors to AMC to subscribe on behalf of the distributor s customers Check the box Global Order to indicate a global order should be generated Note This check box will be enabled only if the Message Type is OUT and the Message Code is a multiple order message Ref Types Section Applicable Ref Types Mandatory For FCIS initiated orders you can specify the Transaction Reference Types applicable to the outgoing message The ones available for selection will be displayed in the adjoining option list You can choose the appropriate one Reference Type Description Upon Selection of the applicable reference type the description of the selected reference type gets displayed x ORACLE 3 3 1 3 Account Types Section 3 4 3 4 1 Applicable Account Types Mandatory For FCIS initiated orders you can specify the account types which are allowed The ones available for selection will be displayed in the adjoining option list You can choose the appropriate one Account Type Description Upon Selection of the applicable account type the description of the selected account type gets displayed Swi
244. s communicated Fund Estimated Cash Forecast Report The FundEstimatedCashForecastReport message is sent by a report provider to a report user This message is used to provide an estimate of the cash incomings and outgoings per investment fund This message can be used to report on several investment funds The cash incomings and outgoings result from for example redemption subscription switch transactions or dividends The recipient of this message is an AMC FCIS will generate an estimated inflow and outflow report of the funds belonging to the AMC selected for the message for a particular date which is user input if manual or the Application Date if the report is generated automatically Contents of Report The following are the contents of this report Transactions All unalloted transactions that are newly captured or reversed and where the maker date of the original transaction is not the same as maker date of the reversed transaction and original transaction is allocated will be picked up IPO Subscription e Sum IPO by Amount e Sum Subscriptions by Amount e Sum IPO by Units Latest NAV e Sum Subscriptions by Units Latest NAV Redemptions e Sum Redemptions by Amount e Sum Redemptions by Units Latest NAV Switch In e Sum Switch transactions by Amount where fund passed is the Switch In fund and convert this amount to FBC of the Switch In fund e Sum Switch transactions by Units where fund passed is the Sw
245. s message is sent by an intermediary party to an executing party or to another intermediary party The RedemptionBulkOrderCancellationInstruction message is used to cancel the entire previously sent order message and all of the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of the same family of message i e switch redemption or subscription and bulk or multiple as the original order to be cancelled 989 ORACLE 3 15 1 3 15 1 1 3 15 1 2 3 15 1 3 For all incoming bulk order cancellations FCIS will be able to process the reversals based on either the PreviousReference or the individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction has been handed off to SWIFT If a transaction is reversed before neither of the transactions will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually Tags in Message Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional F
246. screen Swift Element UDF Detail New 5 Enter Query Swift Element Message Code Message Name Medium IN Swift Element Details 1of1 Element Description Group Description Field Choices Client Support User Map Allowed No 7j m Input by DateTime Authorized by DateTime Mod No Open Authorized 3 5 7 Fields in SWIFT Element UDF Screen The following fields will be displayed oH ORACLE 3 5 8 3 5 9 3 6 Element Description Display The elements of the message code will be displayed here Element Group ID Mandatory Enter the Element Group ID Group Description Display The group description for the element will be displayed here FCIS Field Map Mandatory if you have checked the box Client Support If you have checked the box Client Support for an element select the FCIS UDF that you want to map to the message element User Map Allowed Display If this box is checked it means a user will be allowed to specify the UDF mapping for the elements of a message If this box is not checked the user will not be allowed to specify a UDF mapping Authorizing Amended Records An amended record must be authorized for the amendment to be made effective in the system Authorization of amended records can only be done from Fund Manager Module and Agency branch Module Copying Attributes of Record If you want to create a new record having the sam
247. ssAmount while processing the message If the same is available the transaction will be considered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field NetAmt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmount as well as the tag NetAmt as this is mandatory GrossAmount Optional Incoming If a value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute ForeignExchangeDetails Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e Quo
248. stem does not support difference in sub amount and red amount in switch Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch From fund Identification Mandatory Outgoing FCIS sends out the Switch From fund ISIN UnitsNumber gt Unit Mandatory Outgoing The allocated units for the switch out leg of the transaction Amount Mandatory This is the net amount of the switch out transaction in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed ate ORACLE TradeDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed PriceDetails Mandatory This is the price at which order was executed Value Amount Mandatory Outgoing This will be the allocation price of the Switch From fund CumbDividendlndicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details
249. t After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the NAV movement for all the funds offered by the AMC To view the NAV movement the following information must be specified as inquiry parameters e The ID and ISIN Code of the fund rh ORACLE 7 1 16 e The date range within which the NAV movement is required to be viewed The following information is displayed e Date of NAV Sent by FC IS upon receiving the request e NAV Sent by FC IS upon receiving the request e Percentage Change Computed by Oracle FLEXCUBE INTERNET BANKING e Previous NAV date Update Profile After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can effect changes to the following details of the unit holder profile e Correspondence or Alternate address Permanent Address Address Street House no etc City State Country Postal Code Phone Number Fax Number Mailing Address Address Street House no etc City State Country Postal Code Phone Number E Mail ID e SWIFT Address e Preferred Account statement Currency On receiving the profile change request with the changed information FC IS updates the address details for the specified unit holder ID and saves the account record as an unauthorized one with the changed information The changed record must be manually authorized No
250. t keys 1 6 Glossary of Icons This User Manual may refer to all or some of the following icons Icons Function Ea Exit H Add Row E Delete Row 2i Option List Refer the Procedures User Manual for further details about the icons 1 7 Abbreviations and Acronyms The following acronyms and abbreviations are adhered to in this User Manual Abbreviation Meaning Acronym ADMIN User Administrator AGY The Agency Branch component of the system Ve ORACLE Abbreviation Meaning Acronym AMC Asset Management Company BOD Beginning of Day CDSC Contingent Deferred Sales Charge CGT Capital Gains Tax CIF Customer Information File EOD End of Day EPU Earnings per unit FC IS Oracle FLEXCUBE Investor Servicing FMG The Fund Manager component of the system FPADMIN Oracle FLEXCUBE Administrator ID Identification IHPP Inflation Hedged Pension Plan IPO Initial Public Offering LEP Life and Endowment Products LOI Letter of Intent NAV Net Asset Value REG The Registrar component of the system ROA Rights of Accumulation ROI Return on Investment SI Standing Instructions SMS Security Management System URL Uniform Resource Locator VAT Value Added Tax WAUC Weighted Average Unit Cost 1 8 Getting Help Online help is available for all tasks You can get hel
251. t Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ERRDESC Error Description HAND FCISUH DTD UNITHOLDERID Unit holder ID OFF UH UHBENEFI CIARY BENEFICIARYID The Beneficiary ID BENEFICIARY J1 and J2 for first TYPE and second Joint unit holders N1 N2 for first and second Nomi nees respectively BENEFI Name of the bene CIARYNAME ficiary BENEFICIARY Date of Birth of DOB the beneficiary BENEFICIARY Address of the ADDRESS beneficiary 7 20 ORACLE Response Level DTD Field Value Element BENEFI Relation to Pri CIARYRELA mary Holder TION ANNO BENEFICIARYP Pan Number of the beneficiary BENEFICIARY 1 if Form 60 is FORM60 available else it should be 0 BENEFI In case of Corpo CIARYUIN rate the UIN Transaction Cancellation Customer Unit holder can cancel transactions through Oracle FLEXCUBE INTERNET BANKING Transaction cancellation is not allowed after the cut off time 7 1 23 3 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Transac REVERSE_TX FCISTX SCODE Identifies the external sys tion N N tem that is sending the request For example HDFC XREF Running Serial Number REQUEST RRRRMMDD DATE CID CIF Number FUNDID TXNTYPE TXNNUMBER The Transaction number which is to be reversed 7 1 23 4 Response
252. t the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields oe ORACLE The status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved The status of the record in the Open field If you choose the Blank Space option then all records are retrieved Job Code Job Description Job Group Job Type Trigger Type Scheduler Type Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen 5 5 2 2 Editing Record in Job Maintenance Summary Screen You can modify the details of a record in Job Maintenance record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record
253. t to modify in the list of displayed records The SWIFT ELEMENT UDF Detail screen is displayed Select Unlock Operation from Action list to modify the record Modify the necessary information Click Save to save your changes The SWIFT ELEMENT UDF Detail screen is closed and the changes made are reflected in the SWIFT ELEMENT UDF Summary screen Viewing Record To view a record that you have previously entered you must retrieve the same in the SWIFT ELEMENT UDF Summary screen as follows Invoke the SWIFT ELEMENT UDF Summary Screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records in the lower portion of the screen The SWIFT ELEMENT UDF Detail screen is opened in view mode Deleting Record You can delete only unauthorized records in the system To delete a record that you have previously entered you must retrieve the same in the SWIFT ELEMENT UDF Summary screen as follows Invoke the SWIFT ELEMENT UDF Summary screen from the
254. tails These records are compared with the records present in the system If there is any mismatch in the OMIPAY data the system will be updated accordingly Note This interface does not create new brokers instead the existing broker details will be up dated Interface Attributes The attributes present in the Agent Reference File interface are as follows is ORACLE 5 14 3 5 15 5 15 1 5 15 2 5 16 5 16 1 e The upload is triggered during End of Day process e The transport of data occurs through File System e The file type is delimited e The header row consists of column headings separated by commas e The Record separator is New Line Character e The Field separator is a comma Message Format Refer to the chapter Appendix B Upload file formats B of Upload Format User Manual for details on Message format Oracle Financial Interface Oracle Financial Interface is an export interface that will be done daily The GL entries posted through out the day will be sent to the external system The Oracle Financial Accounting System interface consolidates the journal postings and produces the accounts All transactions and fees will be recorded in Oracle Financials General Ledger This is an automated process that will run during EOD Interface Attributes The attributes present in the Oracle Financial interface are as follows e The upload is triggered during End Of Day process e The
255. tails of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction is reversed before neither transaction will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based on a certain event that is triggered in the system which can be set for the message or manually Tags in Message Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages aaa ORACLE 3 9 1 2 3 9 1 3 3 9 1 4 Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Previous Reference Optional This is the reference to a linked message p
256. tatusReport messages The number of reply messages will match the number of references stated in the RequestForOrderStatusReport message The RequestForStatusReport message may not be used to request the status of an investment account a transfer or the status of a financial instrument FCIS allows a manual trigger for the RequestForOrderStatusReport The user has the flexibility to select the references to the previously sent messages of various types i e subscription redemption switch and cancellations and individual transactions within the same if required FCIS will generate the RequestForOrderStatusReport message for every reference number selected by the user A request for the status for the following is possible e Subscription Bulk Order Multiple Order Cancellation instructions e Redemption Bulk Order Multiple Order Cancellation instructions e Switch Order Cancellation instructions If FCIS is the receiving party of this message the OrderlnstructionStatusReport or OrderCancellationStatusReport or both will be generated depending upon the individual PreviousReference gt Reference Tags in Message RequestDetails Mandatory Repetitive This is to identify the order s for which the status is requested Choice OtherReference PreviousReference Mandatory Incoming Outgoing FCIS will support the tag PreviousReference for incoming and outgoing messages PreviousReference gt Refere
257. tch redemption or subscription and bulk or multiple as the original order to be cancelled For all incoming multiple order cancellations FCIS will be able to process the reversals based on either the PreviousReference or the individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed before neither of the transactions will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow generation of this message in an automated way based on certain event that is triggered in the system or manually Tags in Message Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This is the message generation date time PoolReference Optional This is a collective reference to identify set of messages Referenc
258. te If the change is effected at a CIF level the change request is sent to the FCC or FCR sys tems as applicable If it is at unit holder ID level the change request is sent to FC IS If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful change an appropriate message is inserted along with original details Te ORACLE 7 1 17 7 1 18 Entering Modifying and Deleting Bank Account Details After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter bank details for the account or effect changes to any previously entered bank details of the unit holder profile e The Unit Holder ID e Bank Name e Branch Name e Account Type e Account Number e Account Currency e Account Holder Name e Applicability of direct debit on the account On receiving new bank details modified bank details or a request for deletion of bank details FC IS performs an amendment information change to the bank details of the unit holder profile based on the operation type either New Modify or Delete This change is saved as an unauthorized change If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful addition or chang
259. tedCurrency This will be the fund base currency 348 ORACLE e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Paymentinstrument Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT CreditTransferDetails Mandatory Choice Reference Optional Incoming Outgoing This will be the TransactionReferenceNumber CreditorDetails gt Accountldentification gt Identification Mandatory FCIS supports DomesticAccount based identification Incoming The details available for DomesticAccount will be used in conjunction with the element details of the tag FirstAgent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid f
260. tgoing message This is the message generation date time g ORACLE 3 20 2 3 Choice OrderDetailsReport Mandatory IndividualOrderDetailsReport Man 3 21 3 21 1 datory Repetitive If the OrderDetailsReport section is provided in the message FCIS will use the status reported in this section in conjunction with the RelatedReference to set the status of underlying transactions On the other hand if the section IndividualOrderDetailsReport is provided FCIS will use the OrderReference to track the order status Incoming Only status tracking will happen FCIS will not track the reason for rejection if any Outgoing FCIS supports the reporting of the following statuses under IndividualOrderDetailsReport e Status COSE Transaction is allocated in the system e Status PACK Transaction is generated in the system but not allocated e Cancelled DataSourceScheme Transaction allocation failed and failure reason e Rejected DataSourceScheme Transaction generation failed and failure reason e Suspended NoReason NORE OrderReference Mandatory Incoming FCIS will track the status for the transaction number generated corresponding to this order reference Outgoing This is the Order Reference number corresponding to the transaction number for which status is getting reported Order Cancellation Status Report The OrderCancellationStatusReport is sent by an executing party to the instructing party Ther
261. that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The Job Maintenance Detail screen is closed and the changes made are reflected in the Job Maintenance Summary screen 5 5 2 3 Viewing Job Maintenance Record To view a record that you have previously input you must retrieve the same in the Job Maintenance Summary screen as follows Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed zn ORACLE 5 5 2 4 Deleting Job Maintenance Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field Specify any or all of the details in the corresponding fields to r
262. the Operator users You can create and generate the transfer instruction files in the system by using the following procedures in sequence e For the date on which the hand off instruction files are to be generated for sending to the clearing bureau you must extract the records that must appear in these files You can use the EFT Batch Maintenance Detail screen to do this e After you have extracted and saved the batch in the EFT Batch Generation screen authorize it using the EFT Batch Maintenance Summary screen e ORACLE 2 3 2 2 4 e The user that has generated the batch record in the EFT Batch Maintenance Detail Screen cannot authorize the batch Typically a user belonging to the Supervisor user group can authorize the batch in the EFT Batch Maintenance Summary screen e After authorization you can generate and export the actual transfer instruction interface file that contains the batch records using the interface processing functions in the system Refer to the Interfaces chapter of this User Manual for a detailed discussion of the interface processing functions Re exporting Batch EFT File Once a batch has been authorized it cannot be generated again for the same instruction type for the same date If the transmitted EFT batch file is misplaced due to any reason then you can re export the same batch again The saved batch data is exported You can use the Mark Batch for Re Export screen to do this Th
263. the important elements of the request XML Level Peduni DTD Field Value Element Unitholders QUERY_UH FCISUH DTD SCODE Identifies the external sys tem that is sending the request For example HDFC XREF Running Serial No QUERYTYPE REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional FUNDID Fund ID Optional CORPORATEAC Corp Action TIONTYPE Type Optional TW ORACLE Level Request Element DTD Field Value AMCID ID of the selected AMC Optional JOINTORNOMINEE If N then Nominee only if J then Joint UH If NULL then both Transac tions QUE RY_TXN FCISTXN DT D SCODE Identifies the external sys tem that is sending the request For example HDFC XREF Running Serial No QUERYTYPE REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional FUNDID Fund ID Optional NUMBEROFTXNS Number of Transactions to be displayed STARTDATE Start Date of Search Optional ENDDATE End Date of Search Optional TXNNUMBER Transaction Number to Search Optional ORACLE Level Request Element DTD Field Value TXNTYPE Could be any of the follow ing values 02 Buy 03 Sell 04 Switch 05 Transfer Optional AMCID ID of the sel
264. the list of displayed records The Interface Maintenance Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 2 7 5 Authorizing Interface Maintenance 5 2 7 6 An unauthorized Interface Maintenance record must be authorized in the system for it to be processed To authorize a record Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The Interface Maintenance Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending Interface Maintenance After a Interface Maintenance record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the
265. the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmountindicator while processing the message If the same is available the transaction will be considered Gross Outgoing Values ofthe outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field Amt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmountlIndicator as well as the tag Amt as this is mandatory GrossAmountindicator Optional Incoming If a value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute CommissionDetails Optional This indicates the load corresponding to the commission that is being overridden The Load in the system can be identified using the Load Id or the Recipient information Type Extended Mandatory Incoming This will map to the Load Id Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridde
266. the screen The following details are displayed for each transaction The Transaction Number The Txn Dtl The Payment Mode Description The Payment Details The transfer account details the Bank Name Branch Name Account Type Account Number Account Currency and Account Name The clearing instrument number You must specify the clearing date for the settlement in the Clearing Date field In the case of link settlement numbers all the transactions must be cleared together or rejected together Individual transactions cannot be cleared or rejected in isolation Therefore you must specify the clearing dates for all the transactions together After you have specified the clearing dates for all the transactions select the Clear All option to mark all the transactions for clearing or the Reject All option to mark all the transactions for rejection Click the Save button to actually effect the clearance of the settlement 2 16 ORACLE 3 Processing SWIFT Messages 3 1 Introduction The Oracle FLEXCUBE Investor Servicing FCIS system provides the facility of processing incoming and outgoing messages at an AMC Distributor installation over the SWIFT Society for Worldwide Inter bank Financial Telecommunication network 3 2 Transaction Workflow The diagrams given below illustrate the transaction workflow for SWIFT messages 3 2 1 Incoming SWIFT Bulk Multiple Orders 3 2 2 Incoming SWIFT B
267. there are entries that will be used for reporting only e Yes e No GL Currency Mandatory Select the GL Currency from the option list provided Product Level Apply Indicate if the template is applicable at the product level or not from the drop down list Note You can maintain a GL Setup for more than one currency This is done by choosing the option All Currency against the field GL Currency This allows you to maintain one GL for transactions carried out by the customer in different currencies There will be a currency wise posting in the GL Component Account Details Component Id Mandatory Select the component ids of the components that must appear as entries in the general ledger sub accounts of the selected funds for the selected business event All the loads that have been defined in the system will be included in the drop down list You can also select the option VAT Component Description Mandatory The description of the component id that you have selected will be displayed Debit Credit Mandatory Indicate whether the entries arising due to the selected business event are to be deemed as positive debit entries or negative credit entries in the general ledger Primary Account Details GL SetUp For Mandatory The GL set up may be defined for Payment General Ledger CASA or SAP Indicate the same in this field Different fields are displayed enabled or disabled depending on what o
268. tion Multiple Order must in be answered by the Subscription Multiple Order Confirmation message s and in no circumstances by the Subscription Bulk Order Confirmation message s For all incoming messages FCIS will be able to set the status of transactions based on the individual Order Reference number For outgoing messages the system will be able to generate the confirmation message only after allocation Transactions will be grouped based on the original Multiple Order Message FCIS will allow generation of this message in an automated way based on a certain event that is triggered in the system or manually Tags in Message Message Identification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Pool Reference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage ds ORACLE 3 11 1 3 3 11 1 4 Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Related Reference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming
269. top right corner of the Application tool bar and clicking on the adjoining arrow button GL Template Summary Authorized Open Template ID Business Event Trigger Event ala Theoretical Entries Advanced Search Records per page 15 v 1 of 1 Authorized Open Status TemplateID Template Description Business Event Trigger Event Theoretical Entri m 4 m D You can perform the following operations in the GL Template Summary screen Retrieving Record in GL Template Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the summary screen and specify any or all of the following details in the corresponding fields e The status ofthe record in the Authorizaed field If you choose the Blank Space option then all the records are retrieved e The status of the record in the Open field If you choose the Blank Space option then all records are retrieved e Template ID e Business Event e Trigger Event e Theoretical Entries Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen Note You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Template ID Press F8 Sra ORACLE You can perform Edit Delete Amend Author
270. transactions in FCIS will be reported in the field Amt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmountlIndicator as well as the tag Amt as this is mandatory Gross Amount Indicator Optional Incoming If the value in this field is true the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute Commission Details Optional This indicates the load corresponding to the commission that is being overridden The Load in the system can be identified using the Load Id or the Recipient information Type Extended Type Mandatory Incoming This will map to the Load Id If BIC code the system will find whether the entity is an agent AMC broker or distributor System will select a load with the corresponding To Entity Type Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value d ORACLE Waiving Details Optional This tag represents the o
271. transport of data occurs through File System e The file type is delimited e There is no header row e The Record separator is New Line Character e The Field separator is a comma Message Format Refer to the chapter Appendix B Upload file formats B of Upload Format User Manual for details on Message format Product Fund Asset Code Mapping Interface For every Product Fund ID combination the system creates an Asset Code For every valid Product and Fund ID available as part of Product Portfolio mapping combination the system will generate an Asset Code The system picks up the Asset Code for reporting purpose for the Global Order Placement Interface Report The Global Placement Interface has been explained in detail in the section Global Order Placement Interface of this chapter Executing Product Fund Asset Code Mapping Interface The Product Fund Asset Code Upload supports the Product Fund Asset Code Mapping and is a file based upload You can execute the Product Fund Asset Code Mapping through the Online Execution of Interfaces screen one ORACLE 5 17 5 17 1 Refer the section Online Execution of Interfaces in this chapter for details on executing the interface maintenance definitions Global Order Placement Interface The Global Order Placement is an export interface This interface will extract policy transaction information like Investment amount minus Initial Admin and Initial Br
272. tware any programs installed on the hardware and or documentation shall be subject to license terms and license restrictions applicable to the programs No other rights are granted to the U S Government This software or hardware is developed for general use in a variety of information management applications It is not developed or intended for use in any inherently dangerous applications including applications that may create a risk of personal injury If you use this software or hardware in dangerous applications then you shall be responsible to take all appropriate failsafe backup redundancy and other measures to ensure its safe use Oracle Corporation and its affiliates disclaim any liability for any damages caused by use of this software or hardware in dangerous applications This software and related documentation are provided under a license agreement containing restrictions on use and disclosure and are protected by intellectual property laws Except as expressly permitted in your license agreement or allowed by law you may not use copy reproduce translate broadcast modify license transmit distribute exhibit perform publish or display any part in any form or by any means Reverse engineering disassembly or decompilation of this software unless required by law for interoperability is prohibited The information contained herein is subject to change without notice and is not warranted to be error free If you find any errors
273. ue OTHR would be passed with the description in the tag Additionallnformation Otherldentification ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction FinanciallnstrumentDetails Mandatory Identification Mandatory This tag provides details to identify a fund Outgoing FCIS sends out the fund ISIN Choice for Units NetAmount Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units GrossAmount Optional Outgoing This will map to transaction gross amount in the fund base currency if available s ORACLE 3 13 3 13 1 3 13 1 1 ForeignExchangeDetails Optional This is information related t
274. ulk Order Cancellation l ORACLE 3 2 3 3 3 3 3 1 3 3 1 1 Outgoing SWIFT Bulk Order Request Maintenance for Processing SWIFT Messages You will need to carry certain maintenances for the generation of SWIFT messages in the Swift Message Setup Maintenance Detail screen This screen can be used to define parameters applicable for individual messages such as the trigger events entities involved in the communication etc You can invoke the Swift Message Setup Maintenance Detail screen by typing UTDSWMSG in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is invoked Note Depending on the Message Type and Message Code that you select certain fields will be displayed Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Swift message setup maintenance Fields in Swift Message Setup Maintenance Screen Swift Details Section Swift Details displays the following fields Message Reference Code Mandatory Enter a unique reference number for the message oe ORACLE Medium Mandatory Select the option In to indicate the message will be an incoming message Select the option Out to indicate the message is an outgoing message Note Certain other fields will be displayed in this screen depending on the option you select against the fi
275. um could be an automated clearing bureau an electronic funds transfer a SWIFT interface and so on Taking a typical example if the generated transfer instruction files are exported to an external clearing bank they may need to be exported through an electronic funds transfer In this case the instruction medium would be EFT or electronic funds transfer At the time of installation of the system the implementers set up the different instruction mediums as applicable to the AMC Each instruction type is mapped to an instruction medium Therefore when you specify the instruction type the instruction medium that is mapped to the selected instruction type is displayed here and it cannot be altered Instruction Medium Description When you select the Instruction medium the description for the respective instruction medium is displayed for the EFT Setup Entity ID The ID of the entity involved in the transaction is displayed here Bank The code of the bank in which the transfer account is located from which the settlement will be done for the transaction is displayed here Sub Payment Mode Select the sub payment mode from the option list Effective Date Mandatory Specify the date for which the records must be extracted for this batch e For redemption payments the redemption transactions that have occurred on the date you specify here must have been allocated e For dividend payments the following events must have already oc
276. und e Restricted customers and customer categories for a fund e Delivery instructions for the fund e Limit order options for the fund Product ID information e Product ID e Product Description e Fund ID A fund id will have mapped product Ids also see section on transactions to get details on this Funds into which switch transactions are allowed The funds into which switch transactions are allowed are displayed Transaction Processing Rules information For a fund and transaction type e Allow Gross for Amount Y N e Allow Net for Amount Y N ins ORACLE e Allow Gross for Units Y N e Allow Net for Units Y N Viewing Portfolio Details When investors that have unit holder accounts or CIF accounts log in to Oracle FLEXCUBE INTERNET BANKING they can request to view details of their portfolio of investment at a CIF level with details such as the fund wise holdings positions and the consolidated market value The market value is the value of the current holdings in terms of the current NAV and displayed in the preferred transaction currency of the unit holder The following portfolio details are propagated from FC IS for such requests for each unit holder ID and fund e The name of the fund and the fund code ISIN Code e Investment Philosophy e The holdings as on the current date This includes the total holdings of the investor against each fund including provisional and blocked units
277. uthorized record e Authorize an unauthorized record Fields in Entity Media Maintenance Screen You can enter the following details in this screen From Entity Type Alphanumeric Mandatory Specify the entity type for the entity that will send fund orders for execution You can also select the entity type from the adjoining option list The list contains all the valid entity types maintained in the system From Entity Alphanumeric Mandatory Specify the entity ID You can also select the required ID from the adjoining option list The list contains all the valid entity IDs maintained in the system 2 ORACLE 4 3 4 3 1 To Entity Type Alphanumeric Mandatory Specify the entity type which will receive and execute orders You can also select the entity type from the adjoining option list The list contains all the valid entity types maintained in the system To Entity Alphanumeric Mandatory Specify the entity ID You can also select the required ID from the adjoining option list The list contains all the valid entity IDs maintained in the system Vestima Enabled Optional Check this option to indicate that Vestima processing is supported for transactions between the From Entity and To Entity mapped above Messages Processed in Vestimat Various messages are sent through Vestima while processing an order Typically the messages sent by Ols to Vestima are forwarded by Vestima to the appropriate OHAs Simi
278. vel Response prp Field Value Element Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ERRDESC Error Description HAND FCISUH DTD UNITHOLDERID Unit holder ID OFF UH UHFUND BALANCE CID CIF Number FUNDID Fund FUNDNAME Name of Fund FUNDOBJECTIVE Objective of Fund CURRENTNAV Current NAV FUNDCCY Fund Base Cur rency VALUEIN Value of Holding in FUNDCCY Fund based Cur rency VALUEINUHCCY Value of Holding in Unit holder Base Currency CURRENTHOLD ING UNITS Total Allotted Bal ance in the Fund SELLABLEUNITS Total Balance that can be liquidated or sold PROVISIONAL UNITS Balance that cannot be sold and is not Blocked BLOCKEDUNITS Total balance that is Blocked for Collat eral ISSUEDBAL Total Units for which Certificate has been issued if Certificate Fund 7 30 ORACLE Level Response Element DTD Field Value UNISSUEDBAL Total Units for which Certificate has not been issued if Cer tificate Fund REDEEMBAL Total Approximate Amount that is Redeemable UHPRE Unit holder Base FERREDCCY Currency PRODUCTID Product of Balance AMCID AMC of Fund AMCNAME Name of the AMC PRODUCTNAME Name of the Product CIDNAME Name of Customer ONLINEBAL The Total Balance In Process Balance ONLIBALINFBCCY The above Balance NAV in FBCCY ONLIBALINFBCCY The above Balance N
279. verride percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value Instruction Basis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored Waived Rate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount Physical Delivery Indicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Cash Settlement Date Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Payment Instrument Choice Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT Related Party Details This is information related to an intermediary Identification Mandatory FCIS supports id
280. wer portion of the screen e Double click the record that you want to delete in the list of displayed records The GL Template Detail screen is displayed e Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database Authorizing GL Template An unauthorized GL Template must be authorized in the system for it to be processed To authorize a record e Invoke the GL Template Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The GL Template Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record Amending GL Template After a GL Template is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization e Invoke the GL Temp
281. were not communicated in the Price Report message earlier will be skipped This report can be generated manually or automatically Tags in Message PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be the PoolReference of the original price report that was communicated for the NAV corrected fund eae ORACLE 3 26 1 3 PriceCorrectionDetails Mandatory Repetitive This is information related to the correction of a price of a financial instrument FCIS will communicate the previous and current price details only for the funds for which NAV correction has happened PreviouslySentPriceDetails Mandatory These would be the price details before NAV correction FCIS tracks the history of price changes which would be used to pass this information using Fund ID and Effective Price Date combination Identification Mandatory Outgoing This will be the original identification ValuationDateTime Optional This is the date and time of the price valuation for the investment fund fund class Outgoing This will be the effective date of the fund price and will be passed under the tag ValuationDateTime gt Date TradeDateTime Optional This is the date and time at whi
282. wn as the Interface ID This ID is generated by the system when you save a new definition after you have specified all the information that is mandatory for the interface in this screen When you retrieve an existing interface definition using the Find Screen the ID of the retrieved interface is displayed in this field Description 255 Characters Maximum Alphanumeric Mandatory Describe the interface in a few words in this field Import Export Type Alphanumeric Mandatory You can define an interface to either import or export data Choose the desired type from the drop down list Number of Files Import Export Numeric Mandatory Specify the number of files that must be imported or exported For procedure based or table based interfaces if the number of files is greater than zero then the names of all the tables that will be impacted by the procedure or SQL string are displayed in the File Specifications Tab grid in the lower portion of the screen Import Export Basis Alphanumeric Mandatory You can export data from any of the following database object types e Table You can export the data in all fields from a table or part of the fields e Procedure You can execute a procedure that will return the data that must be exported This procedure will populate a table or multiple tables with the data results You can also execute a procedure on the basis of data populated into the tables e SQL You can execute a SQL string with an SQ
283. y CY_AMT Amount TXN_CCY Transaction Currency UNITPRICE Unit Price 7 32 ORACLE Response Level DTD Field Value Element UNITSAF Units FECTED RUNNING Current Running Total of TOTAL Units ISSUEDBAL Issued bal LOIAPPLI LOI Applicable CABLE LOAD Fee Tax Amount VATAMT Vat Amount PAYMENT Mode of Payment T MODE Transfer C Cash Q Cheque D Demand Draft SUBPAY Sub Mode of Payment T MENTMODE Transfer C Cash Q Cheque D Demand Draft CHEQUE If paid by Cheque the NUMBER ChequeNumber CHEQUE If paid by Cheque the DATE ChequeDate CLEARING Payment Clearing Date of DATE Transaction DRAWEE If paid by Transfer Bank BANKCODE Code TRANSFER If paid by Transfer Branch BRANCH Code CODE TRANSFER If paid by Transfer ACCOUNT Account Type TYPE TRANSFER If paid by Transfer ACCOUNT Account Number NUMBER TRANSFER If paid by Transfer ACCOUNT Account Currency CURRENCY PAYMENT S Self T Third Party TYPE 7 33 ORACLE Response Level DTD Field Value Element THIRDPAR Third Party Reference TYPAYMEN number TREFEREN CE THIRDPART Third Party Address Line YADDRESS 1 1 THIRDPART Third Party Address Line YADDRESS2 2 THIRDPART Third Party Address Line YADDRESS3 3 THIRDPAR Third Party State TYSTATE THIRDPAR Third party
284. y This is the price at which order was executed os ORACLE 3 9 3 9 1 3 9 1 1 ExtendedType Mandatory Outgoing FCIS will support the code OTHR only Value gt Amount Mandatory Outgoing This will be the allocation price for the transaction Partially Executed Indicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO Cum Dividend Indicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO Physical Delivery Indicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is script based Subscription Bulk Order Cancellation Instruction This message is sent by an intermediary party to an executing party or to another intermediary party The Subscription Bulk Order Cancellation Instruction message is used to cancel a previously sent Subscription Bulk Order message or a set of individual orders that it contains There is no amendment but a cancellation and re instruct policy For all incoming bulk order cancellations FCIS will process the reversals based on either the Previous Reference or individual Order Reference For outgoing cancellation messages FCIS will communicate the de
285. y entering a unique GL Reference Number for each Product ID Select the Product to which the template is being mapped from the option list provided 9 90 ORACLE 5 9 6 Fund Id Select the fund to which the template is being mapped from the option list provided ISIN Code The ISIN Code of the fund that you choose will be updated in this field You could alternatively select the ISIN Code of the fund and the Fund ld will be updated Template Id Select the template that you desire to map to the fund investment account combination to Note When you choose the Template Id the following sections are displayed in the screen Template Details Section Component Details Section Restricted Reference Type Section These have been explained in detail in the section Setting Up a General Ledger Template in this chapter Please refer to the same for more information Template Description The description of the template is displayed when you select the Template Id Account Type Select the investment account type for which the template is being mapped GL Currency Select the GL Currency from the option list provided Note As mentioned above the field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund Id Template Id Component and Account Type You can distinguish between them by entering a unique GL Reference Number for each You can maintain a GL
286. y the corresponding Cron expression for a job with trigger type as Cron You need to do this to determine the time and interval of job firing Class or Procedure Alphanumeric Conditional Specify the Java class file name if job type is Java or the PL SQL procedure name if the job type is PL SQL This denotes which java class or pl sql procedure the system should call when a job fires Number of Submissions Alphanumeric Conditional Specify the number of times a job can fire before it is unscheduled from scheduler This applies only to trigger types maintained as Simple Interval Alphanumeric Conditional Specify the time interval between jobs This applies only to trigger types maintained as Simple Trigger Listener Alphanumeric Optional Specify a java class as a trigger listener which will be notified of events such as before job fired after job completed misfired jobs Active Alphanumeric Optional Check this box to set the job as active The scheduler does not pick the inactive jobs for scheduling Ds Name Alphanumeric Optional Specify the name of the database schema to which the job has to connect This attribute is used in case of multi instance deployment of Oracle FLEXCUBE application Logging Required Alphanumeric Optional Check this box to indicate that system should log each firing of job This helps in logging the firing time of job and key log info as part of that firing This also enables tracking of each job s fi
287. you do not select a transaction type in this field then it is reckoned that the mapping will apply to all transaction types Description Alphanumeric Optional Describe the accounting system code in a few words Asset Management Import NAV Setup You can use this screen in the Administration menu category of the Fund Manager component to e Setup the options that will govern the import of NAV from FLEXCUBE Securities for any given fund e Edit the options that have been set up already for a fund e Delete the options Before you import the NAV for a fund you must specify these import options in this screen 9d ORACLE 5 8 1 You can invoke Asset Management NAV Detail screen by typing UTDAMNAV in the field at the top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below Asset management NAV Detail New 4 Enter Query Asset Management NAV Import Setup Fund ID Floor variation Import Authorized NAV No Ceiling variation Import NAV No Input by DateTime Authorized by DateTime Mod No Open Authorized Fields in Asset Management Import NAV Setup Screen Fund ID Alphanumeric Mandatory Select the fund for which you are specifying the NAV import options in this record Import Authorized NAV Alphanumeric Mandatory Specify whether the NAV is to be imported as authorized information or not If you specify an import that that is unauthorized t
288. zed You can perform this operation as follows Invoke the EFT Setup Summary screen from the Browser Select the status of the transaction that you want to retrieve for modification in the Authorized field You can only modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list Specify any or all of the details of the records in the corresponding fields on the screen to retrieve the record that is to be modified All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The EFT Setup Detail screen is displayed is ORACLE e Select Unlock Operation from Action list to modify the record Modify the necessary information e Click Save to save your changes The EFT Setup Detail screen is closed and the changes made are reflected in the EFT Setup Summary screen 2 5 3 Viewing Record To view a transaction that you have previously entered you must retrieve the same in the EFT Setup Summary screen as follows e Invoke the EFT Setup Summary Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the

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