Backdata Propagation User Manual
Contents
1. 1of1 l Requested Requirement Received Received Date Tax Document aa No Chasing Date Kyc Received No Input by DateTime Mod No Authorized by Open Bat DateTime Authorized 23 ORACLE 2 3 4 2 3 4 1 Refer the chapters Processing Transactions l and Processing Transactions II in the Agency Branch User Manual for more details on the fields in this screen You can also modify details of a newly created record delete and authorize a record through this screen Modification however will be allowed only if the record has not been selected for data propagation in the UT Back Data Propagation screen Note Ifyou put in a new transaction for transfer the system will consider this transaction to recalculate the holdings of the Unitholder only It will not automatically re compute the unit balances of the unit holder to whom the transfer is being done the To Unit Holder Also it will store the updated information for only the To Unit Holder in the report schema tables Incase of a switch transaction it will re calculate the unit holder balances in both the To Fund as well as the From Fund and store details of both in the report schema tables fthere has been a merger or a split for a fund specified in a propagation transaction the system will re calculate the holdings for the propagation period FC2. Transaction type should be Switch here Click Save Modify Say switch transaction was captured with wrong asset alloca tion details Add row in transaction details grid select the old transaction number as wrongly inputted switch transaction number and operation should be selected as Delete In Propagate LEP Transaction screen Function ID LEDPRTXN capture a switch transaction for the appropriate policy investor and proper asset allocation In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly generated Switch trans action Transaction type should be Switch here Click Save Surrender Add Missed Sur render trans action In Propagate LEP Transaction screen Function ID LEDPRTXN capture the surrender transaction for the appropriate policy and investor In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured surrender transaction Transaction type should be Sur render here Click Save 2 29 ORACLE Delete Wrongly cap tured surren der In LEP back propagation screen select the Investor policy number and select operation as Delete and old transaction number should be the surrender transac tion in
3. maana ananwwwananaanaanaannanananasananasanan 2 37 2 9 2 Viewing Standing Instruction Details a nannanwwwanananawananananananaaananana 2 38 2 9 3 Viewing Income Distribution Setup Details manna anannanwwwwannnanan 2 39 2 9 4 Viewing Transaction Summary mananwwawanannawaaanananananananasasannanasann 2 40 2 9 5 Viewing Dividend Distribution Details maaaaawananannwwanannanaawwanananan 2 41 2 9 6 Viewing Capital Gains Transactions Tax Details manaanwwwaaananaan 2 42 2 9 7 Viewing Broker Commission Details manaauwuwanananawnaaannanaanaananann 2 43 Function ID Glossary iiiaae a aa TAN aieiaiei kaa cna kaaga LOL 3 1 1 1 1 2 1 3 1 4 1 5 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 Adm
4. Annuity amount and WHT amount If SI amount alone is entered system will compute the d ORACLE 2 4 6 2 4 6 1 WHT amount if applicable If SI amount is given Net annuity amount and WHT amount should not be specified Net Annuity Amount Numeric Optional You can enter either SI amount or Net Annuity amount and WHT amount If Net annuity amount and WHT amount are entered the system will generate an SI with Net annuity amount and a WHT redemption transaction for the WHT amount Policy Number Alphanumeric Optional Enter the policy number for which SI should be generated Policy Holder Display The system will display the Unitholder of the policy Policy SI Number Alphanumeric Mandatory You need to choose the policy SI maintenance for which an adhoc SI to be generated Transaction Currency Alphanumeric Mandatory Enter the transaction currency for the SI transaction WHT Amount Numeric Optional You can enter either SI amount or Net Annuity amount and WHT amount If Net annuity amount and WHT amount is entered the system will generate an SI with Net annuity amount and a WHT redemption transaction for the WHT amount FCIS LEP Propagate SI Summary You can perform the following operations in this screen Retrieving Record in FCIS LEP Propagate SI Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS LEP Propagate SI Summary screen by typing
5. Delete Top up trans action cap tured ina wrong fund investor In LEP back propagation screen select the Investor policy number and select operation as Delete and old transaction number should be the top up transaction in business schema Transaction type should be Top up here Click Save Modify Top up trans action cap tured ina wrong amount In LEP back propagation screen select the Investor policy number and select operation as Modify and old transaction number should be the top up transaction in business schema Transaction Amount Transaction Units would be used to input the modified value Transaction type should be Top up here Click Save Switch Add Missed policy switch transac tion In Propagate LEP Transaction screen Function ID LEDPRTXN capture a switch transaction for the appropriate policy and inves tor In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured Switch trans action Transaction type should be Switch here Click Save 2 28 ORACLE Delete Switch cap tured in wrong fund In LEP back propagation screen select the Investor policy number and select operation as Delete and old transaction number should be the switch transaction which needs to be deleted
6. Policy Number e Fund ID e Entry Date e Transaction Number e Units e Transaction Date e Reference Number e Settled e ORACLE 2 9 7 Viewing Broker Commission Details Click the Broker Commissions button in the Back Data Propagation Screen to view the details of commission details for brokers Broker Commission Broker Commission 1of1 Transaction Number Transaction Date Broker Code Transaction Amount LoadiD Return Value C mj The following details are displayed e Transaction Number e Transaction Date e Broker Code e Transaction Amount e Load ID e Return Value e Commission without VAT e VAT e Commission with VAT aag ORACLE Cc CSSUMNTR paan aaa 2 34 GSSVERFY aan aa an 2 33 L LEDPROSI 2 23 2 30 2 31 2 32 2 33 LEDPRTXN 00 0 cece eens cece e ee tae etna 2 17 LEDROPL Eu aa itieiidnklvniiate ier 2 13 LESPROSI aaa ieena ieia 2 24 LESPRIXN namn maa skaa sana malaki 2 20 EESROPLEr aaa RANG 2 15 U UTDPRORY na ma aaa 2 36 UTDPRIXN 7mm in kmaadakana aaaad 2 6 UTDROPUT 2mm AGA 2 2 UTSPRIAN mapaaga aaihaaakamaaa 2 10 UTSROPUT AA 2 4 3 1 3 Function ID Glossary ORACLE Back Data Propagation User Guide April 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 fin
7. Record 2 4 7 An amended FCIS LEP Propagate SI record 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 records Processing Transactions You can propagate different combinations of transactions and operations in the back data propagation and transaction screens The workflow for each combination of transaction and operation is detailed in the table below Transaction Operation Scenario Workflow Policy Initial Modify Policy cap In LEP back propagation screen Investment ga tured with select the Investor policy number Only initial pa ma wrong initial and input the initial investment investment sz investment amount amount modifi amount cation would be i Operation would be Modify and supported transaction type would be Policy Initial Investment Click Save 2 27 ORACLE Topup Add Top up trans action was missed In Propagate LEP Transaction screen Function ID LEDPRTXN capture a top up transaction for the appropriate policy and inves tor In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured top up trans action Transaction type should be Top up here Click Save
8. business schema Transaction type should be Sur render here Click Save Modify Surrender transaction captured with wrong amount In LEP back propagation screen select the Investor policy number and select operation as Modify and old transaction number should be the surrender transac tion in business schema Transac tion Amount Transaction Units Percentage would be used to input the modified value Transaction type should be Sur render here Click Save Annuity Add Missed Annu ity In LEP Propagation SI transaction screen Function ID LEDPROSI capture the missed annuity In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured annuity trans action Transaction type should be Annu ity here Click Save Delete Wrongly gen erated Annuity In LEP back propagation screen select the Investor policy number and select operation as Delete and old transaction number should be the Annuity transaction in business schema Transaction type should be Annu ity here Click Save 2 30 ORACLE Modify Not revised Annuity In LEP Propagation SI transaction screen Function ID LEDPROSI capture the not revised annuity with proper annuity amount In LEP back propagation screen select the
9. replaying all the transactions for the Unit Holder that have taken place since the date of the propagation transaction and which have an impact on the unit holder balance and client contribution Based on the correct or complete information that is input through the propagation record the system will re compute dividends broker commissions capital gains tax and its recovery annuity and periodic fees Back Data Processing Propagation of back data is a process wherein the system simulates all the relevant transactions for a Unit Holder from the date of propagation till current date This is done by simulating the incomplete or incorrect transactions in a separate schema known as the report schema For the simulation the transaction details need to be entered in the normal or business schema and then selected for data propagation The system will then access the latest version of the transaction that is being propagated from the main tables in the business schema and update information accordingly The updated information will be stored in the tables of the report schema and can be viewed from the business schema Propagation can be done for multiple transactions at the same time for instance if you wish you can modify a transaction and at the same time select another transaction for deletion Each time propagation happens the system will generate a unique reference to identify the process and store it along with the data in the business sche
10. 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 FCIS LEP Propagate Transaction screen is displayed Select Authorize operation from the Action List 2 4 4 6 Amending an FCIS LEP Propagate Transaction Record After an FCIS LEP Propagate Transaction 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 FCIS LEP Propagate Transaction 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 FCIS LEP Propagate Transaction 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 aa ORACLE 2 4 4 7 Authorizing an Amended FC
11. 3p Enter Query Basic Information Propagation Reference Number Unit Holder Name Unit Holder ID UH Find Propagation Date Transaction Information 1of1 Operation Policy Number Transaction Type Initial Investment Amount Old Transaction Number iNew Input by DateTime Authorized by DateTime Mod No Open Authorized To modify or delete a transaction you can specify the required operation the original transaction number and change the details or delete the transaction through the FCIS LEP Back Data Propagation screen To create a new record however you are required to entera new and unique transaction number along with the other details of the transaction in the FCIS LEP Propagate Transaction Detail screen Subsequently you need to select the new transaction number in the FCIS LEP Back Data Propagation screen to propagate the new record Fields in the FCIS LEP Back Data Propagation Screen You can enter the following details here Specifying Basic Information Details Propagation Reference Number Display Only The system generates a unique number for each propagation process a ORACLE 2 4 1 2 Unit Holder ID Alphanumeric Mandatory Specify the UH for which the propagation is being done You can use the UH Find button to select the required UH Unit Holder Name Display Only The system displays the name of the selected UH Propagation Date Disp
12. IS LEP Propagate Transaction Record 2 4 5 An amended FCIS LEP Propagate Transaction record 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 records Creating Annuities and Premium Transactions Similar to the way policy transactions are entered in the system annuities and premium related transactions can be entered for propagation in the FCIS LEP Propagate SI Details You can invoke this screen by typing LEDPROSI in the field at the top right corner of the Application tool bar and click the adjoining arrow button LEP Propagate SI New 53 Enter Query LEP Propagate SI Propagation Reference Policy Number Number Policy Holder Transaction Type Annuity Policy SI Number Transaction Date Transaction Currency SI Amount WHT Amount Net Annuity Amount Input by DateTime Authorized by DateTime Mod No Open Authorized Enter the following details Transaction Type Alphanumeric Mandatory Select from the adjoining drop down list the transaction type You have the following options e Annuity e Recurring Premium e Recurring Switch Transaction Date Date Format Mandatory Specify the date of transaction SI Amount Numeric Optional This is the value for which the SI will be generated You can give either SI amount or Net
13. IS UT Propagate Transaction Summary You can perform the following operations in this screen Retrieving Record in FCIS UT Propagate Transaction Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS UT Propagate Transaction Summary screen by typing UTSPRTXN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button 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 Transaction Number e Transaction Type e Unitholder ID e Fund ID e Transaction Currency e Transaction Date 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 You can also retrieve the individual record detail from the detail screen by querying in the following manner e Press F7 e Input the Transaction Number e Press F8 a0 ORACLE 2 3 4 2 You can perform Edit Delete Amend Authorize operations by selecting the operation from the Action list FCIS UT Propagate Transaction Summary Authorized Open Transaction Number az Transaction Type U
14. In this screen you can retrieve records by specifying criteria for the search and clicking the Search button You can query on the following parameters e Job ID e Schema User e Instance e What e Last Date e Failures The system will fetch the records that match the criteria If you do not enter any criterion before clicking Search the system will fetch all the job records Aga ORACLE 2 8 2 8 1 2 8 2 2 8 3 2 8 4 To update the records click Refresh The system will display a job for as long as it is running If the job has been completed it will no longer be visible in this screen To terminate a job select the job record and click KILL The system will terminate the job Impact of Propagation There can be an impact on the following processes due to data propagation Load Computation There can be a difference in the load computed after propagation and the original load computation if e the load is unit based and there has been an increase or decrease in the number of units due to propagation e the outflow is linked to an inflow and the exit load is based on a period Dividend Reinvestments These will differ if transactions have been wrongly entered initially During propagation the system will pick up the balance based on the correct information entered and generate the dividend re investment transactions This calculation will however be based on the original IDS for
15. Investor policy number and select operation as New and new transaction number should be the newly captured annuity trans action Transaction type should be Annu ity here Add another row in transaction grid select the Investor policy number and select operation as Delete and old transaction num ber should be the Annuity transac tion in business schema Transaction type should be Annu ity here Click Save Premium Add Missed Pre mium In LEP Propagation SI transaction screen Function ID LEDPROS1 capture the missed annuity In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured premium transaction Transaction type should be Pre mium here Click Save Delete Wrongly gen erated Pre mium In LEP back propagation screen select the Investor policy number and select operation as Delete and old transaction number should be the premium transac tion in business schema Transaction type should be Pre mium here Click Save 2 31 ORACLE Modify Wrongly gen In LEP Propagation SI transaction erated with screen Function ID LEDPROSI wrong value capture the SI transaction with proper premium amount In LEP back propagation screen select the Investor policy number and select operation as Ne
16. LESPROSI in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button 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 Propagation Reference Number e Transaction Type e Transaction Date e Policy SI Number 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 sa ORACLE You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Propagation Reference Number Press F8 You can perform Edit Delete Amend Authorize operations by selecting the operation from the Action list FCIS LEP Propagate SI Summary Authorized Open Propagation Reference z Transaction Type Number Policy SI Number Transaction Date Advanced Search Reset Records per page 15 v 1 of 1 Authorized Open Propagation Reference Number Transaction Type Transaction Date Policy Number Policy SI 2 4 6 2 Editing an FCIS LEP Propagate SI Record You can modify the details of an FCIS LEP Propagate SI record that you have already entered into the syst
17. Number Broker Account Type Credit Card Ref No IBAN Card Number Third Party Details Unit Holder Details Third Party Address Payment Address Details Third Party Reference In Kind Details Third Party US State i Third Party Zip Code In Kind Payment Details Fund Bank Details ISIN Code Bank Account Number Fund Base Currency Branch Account Name Fund ID Description Direct Debit Account Currency Close Account IBAN Routing Bank Detail Swift Format Bank Charged gt Beneficiary Details Beneficiary Beneficiary Add1 Beneficiary BIC Code Beneficiary Code Beneficiary Add2 Beneficiary Acct No Beneficiary IBAN Beneficiary Add3 Beneficiary Info Intermediary Details Intermediary Intermediary Add1 Intermediary BIC Code Intermediary Code Intermediary Add2 Intermediary Acct No Intermediary IBAN Intermediary Add3 Intermediary Info Further Credit Details Reference Further Credit Name Reference1 Further Credit Acct No Reference2 Input by DateTime Mod No Authorized by Open DateTime Authorized Specifying Intermediary Details If a broker has been identified as an intermediary for the transaction then you must identify the same in this section along with the commission percentage split for the broker If brokers are designated as mandatory for the fund in which the transaction is being put through then you must specify at least one broker as mandatory information in this section If brokers are not mandatory for the fund and you do not specify an
18. ORACLE Back Data Propagation User Guide Oracle FLEXCUBE Investor Servicing Release 12 0 3 0 0 Part No E53392 01 April 2014 Table of Contents About This Manual AA A AA ieaiaia casini 1 1 Tel gee ea OEE EE A E A ede EE O seed E E aaa ete ats 1 1 1 2 Related DOCUMEmMS coceira a 1 1 T AUGEN O ana E E E Na ANNA TAT 1 1 1 4 ORGAaniZatlona eer T IA E A ENNA 1 1 1 5 Conventions Used in this M nual ssie ee kenia EEEa aa ARREA 1 1 1 5 1 General CONVENTIONS seisis ea ai aara a aiaa aa Aaaa 1 2 1 5 2 Keyboard Conventions aanananwwwaaaaanaaaanananaaananananaanaanaanasanaanaanasasaan 1 2 ABC E EE E E P T A E E E E TE 1 2 1 7 Abbreviations and ACronys cccceceeeeeeeeeeceeeeeteeeeaeeeeeeeaaeeeeeeenaeeeeeseeneeteeeneaas 1 2 1 8 Getting Han aeh E E E A E 1 3 Back Data Propagation maa AA 2 1 21 Introduction senaera ai ie aA AENEA EEE ASEA EATE 2 1 2 2 Back Data Processing nuren enn e a A AT AA 2 1 2 3 Propagating Back Data for UTs seror iiirr orias e E A T A A 2 2 2 3 1 Fields in the FCIS UT Back Data Propagation Screen seeeeeineeeeeennn 2 3 2 3 2 FCIS UT Back Data Propagation Summary seessiseeeeiisnneeeennneeeeeenneeenene 2 4 2 3 3 Creating New UT Transactions anaanawwwanananawwaaanananananananasasanananaaasana 2 6 2 3 4 FCIS UT Propagate Transaction Summary 12 anaswaawanannawawwaannnanan 2 10 2 4 Propagating Back Data for LEP mn naanawwanananawaaanaann
19. S UT Back Data Propagation 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 FCIS UT Back Data Propagation screen is displayed in View mode 2 3 2 3 Authorizing an FCIS UT Back Data Propagation Record An unauthorized FCIS UT Back Data Propagation record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS UT Back Data Propagation 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 ao ORACLE 2 3 3 e Double click the record that you wish to authorize The FCIS UT Back Data Propagation screen is displayed Select Authorize operation from the A
20. actions FCIS LEP Back Data Propagation Summary You can perform the following operations in this screen Retrieving Record in FCIS LEP Back Data Propagation Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS LEP Back Data Propagation Summary screen by typing LESROPLE in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Specify any or all of the following details in the corresponding fields alo 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 Propagation Reference Number Unitholder ID Propagation Date 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 You can also retrieve the individual record detail from the detail screen by querying in the following manner Press F7 Input the Propagation Reference Number Press F8 FCIS LEP Back Data Propagation Summary Records per page 15 v Authorized Open Propagation Reference a Unit Holder ID Number Propagation Date Advanced Search Authorized Open Propagation Reference Number Unit Holder ID Propagation Date 2 4 2 2 V
21. ancialservices 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 software any programs installed on the hardware and or documentation shall be subject to license terms and license restrictions applicable to the programs No other rights are granted to the U S Government This software or hardware is developed for general use in a variety of information management applications It is not developed or intended for use in any inherently dangerous applications including applications that may create a risk of personal injury If you use this software or hardware in dangerous applications then you shall be responsible to take all appropriate failsafe backup redundancy and other measures to ensure its safe use Oracle Corporation and its affiliates disclaim any liability for any damages caused by use of this software or hardware in dangero
22. authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The FCIS LEP Back Data Propagation screen is displayed Select Authorize operation from the Action List Creating New LEP Transactions If you wish to create a new policy top up policy surrender or a policy switch record that has been missed out you can do so in the FCIS LEP Propagate Transaction Detail screen You can invoke the screen by typing LEDPRTXN in the field at the top right corner of the Application tool bar and click the adjoining arrow button LEP Transaction TI New 233 Enter Query Policy Transaction Policy Number Policy Ten Number Policy Holder ID Transaction Type Topup PAA Asset Allocation Payment Details Broker Details Transaction Details Transaction Date Transaction Entry Date Transaction Mode Amount Transaction Currency Transaction Amount Topup Inclusive Txn Type PortFolio Switch Phase In To Be Portfolio Surrender Cancelled Include Interest In Investment Interest Amount Surrender Money Payable Exchange Rate Details Amount Applied Exchange Rate Applied Source ID Override Exchange Rate No Calculate Input by DateTime Mod No Authorized by Open DateTime Authorized Enter the basic details here The system will default the rest Policy Number Alphanumeric Mandatory Specify the policy number for the transac
23. captured recurring switch transaction Transaction type should be Recurring Switch here Add another row in transaction grid select the Investor policy number and select operation as Delete and old transaction num ber should be the recurring switch transaction in business schema Transaction type should be Recurring Switch here Click Save 2 5 Authorizing Back Data Transactions The system requires dual authorization for the transactions that have been propagated The first time authorization is done from the First Verification screen and subsequently from the summary screens for LEP and UT You can invoke the First Verification screen by typing CSSVERFY in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button SUMMARY Function Id a Key Definition Maker Advanced Search Reset Records per page 15 v 1 of 1 Function Id Key Definition Maker Key Id First Authorization Status Current Mod Number Latest Authorized Mod t In this screen you can retrieve records by specifying any of the following parameters and clicking Search e Function Id e Maker e Key Definition 238 ORACLE 2 6 2 7 The system will retrieve the records matching the parameters specified If you do not enter any parameter before clicking Search the system will display all the unauthorized UT and LEP records Double c
24. ction List Creating New UT Transactions If you wish to create a record that has been missed out you can do so in the FCIS UT Propagate Transaction Detail screen You can invoke the screen by typing UTDPRTXN in the field at the top right corner of the Application tool bar and click the adjoining arrow button UT Propagate Transaction NM New 53 Enter Query Transaction Type Transaction Type IPO X Transaction Number Transaction Sub Type Client Information Unit Holder ID To UnitHolder ID Unit Holder Name To Unit Holder Name FER t ement Dti Intermediary KYC Diis Transaction Date Transaction Mode Amount Fund ID Units Transaction Currency Amount To Fund ID Percent Fund Identification Payment Mode Number Payment Mode Fund Name Description Gross or Net Gross Subscription Fund ID Communication Mode ____ Delivery Option Direct In Person v Investment Account v Exchange Rate Details Source ID Exchange Rate Applied Amount Applied Override Exchange Rate No FX Deal Date FX Value Date Calculate Input by DateTime Mod No Authorized by Open DateTime Authorized Enter the following details here Transaction Type Alphanumeric Mandatory Select from the adjoining drop down list the kind of transaction you want to create The options are e IPO e Subscription e Redemption e Switch e Transfer Transaction Number Display Only The system generates and disp
25. e FCIS UT Propagate Transaction screen is closed and the changes made are reflected in the FCIS UT Propagate Transaction Summary screen 2 3 4 3 Viewing an FCIS UT Propagate Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS UT Propagate Transaction Summary screen as follows e Invoke the FCIS UT Propagate Transaction 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 records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option at ORACLE 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 FCIS UT Propagate Transaction screen is displayed in View mode 2 3 4 4 Deleting an FCIS UT Propagate Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS UT Propagate Transaction 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 rec
26. eate a transaction that has not been input for a unit holder delete existing erroneous data and modify certain details for an existing record in the FCIS UT Back Data Propagation Detail screen You can invoke by typing UTDROPUT in the field at the top right corner of the Application tool bar and click the adjoining arrow button UT Back data propagation New 85 Enter Query Basic Information Propagation Reference Number Unit Holder Name Unit Holder ID Propagation Date Transaction Information 1of1 Operation Old Transaction Number New Transaction Number Transaction Currency Transaction Mode Amount a New v v Input by DateTime Authorized by DateTime Mod No Open Authorized To modify or delete a transaction you can specify the required operation the original transaction number and change the details or delete the transaction through the UT Back Data Propagation screen To create a new record however you are required to enter a new and unique transaction number along with the other details of the transaction in the UT ee ORACLE 2 3 1 2 3 1 1 2 3 1 2 Propagate Transaction Detail screen Subsequently you need to select the new transaction number in the UT Back Data Propagation screen to propagate the new record Fields in the FCIS UT Back Data Propagation Screen You can enter the following details here Specifying Basic Informat
27. ed e The status of the record in the Open field If you choose the Blank Space option then all records are retrieved e Policy Txn Number e Policy Number e Transaction Type e Transaction Date e Transaction Currency 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 You can also retrieve the individual record detail from the detail screen by querying in the following manner 220 ORACLE Press F7 Input the Policy Txn Number Press F8 You can perform Edit Delete Amend Authorize operations by selecting the operation from the Action list FCIS LEP Propagate Transaction Summary Authorized Open a5 Policy Txn Number Policy Number Transaction Type Transaction Date Transaction Currency a Advanced Search Reset Records per page 15 v 1 of 1 Authorized Open Policy Txn Number Policy Number Transaction Type Transaction Date Transaction Currency 2 4 4 2 Editing an FCIS LEP Propagate Transaction Record You can modify the details of an FCIS LEP Propagate Transaction record that you have already entered into the system provided it has not been subsequently authorized and if it has not been attached to any propagation If the transaction has been propagated then you will not be allowed to modify it You can perform this operation as follows Invoke the FCIS LEP Propagate Transaction Summa
28. em provided it has not been subsequently authorized You can perform this operation as follows Invoke the FCIS LEP Propagate SI 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 FCIS LEP Propagate SI 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 FCIS LEP Propagate SI screen is closed and the changes made are reflected in the FCIS LEP Propagate SI Summary screen 2 4 6 3 Viewing an FCIS LEP Propagate SI Record To view a record that you have previously input you must retrieve the same in the FCIS LEP Propagate SI Summary screen as follows Invoke the FCIS LEP Propagate SI Summary screen from the Browser eee ORACLE 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 choosi
29. iewing an FCIS LEP Back Data Propagation Record To view a record that you have previously input you must retrieve the same in the FCIS LEP Back Data Propagation Summary screen as follows Invoke the FCIS LEP Back Data Propagation 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 FCIS LEP Back Data Propagation screen is displayed in View mode 16 ORACLE 2 4 2 3 Authorizing an FCIS LEP Back Data Propagation Record 2 4 3 An unauthorized FCIS LEP Back Data Propagation record must be authorized in the system for it to be processed To authorize a record e Invoke the FCIS LEP Back Data Propagation 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
30. inistrator 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 related documents of this manual Back Data Propagation defines the process of entering UT and LEP Chapter 2 i f transactions missed out and correcting erroneous data already entered Conventions Used in this Manual Before you begin using this User Manual it is important to understand the typographical conventions used in it 1 1 ORACLE 1 5 1 General Conventions Convention Type of Information Italic type Functional foreign terms Names of fields on a screen Validations for fields on a screen References to related Headings Users Manuals For emphasis Numbered Bullet Step by step procedures 1 5 2 Keyboard Conventions Convention Type of Information Keys All keys of the keyboard are represented in capital letters For exam ple lt CTRL gt Shortcut All short cut keys are contained in brackets For example keys lt ALT SHIFT gt 1 6 Glossary of Icons This User Manual may refer to all or some of the following icons Icons Function Ka Exit H Add Row Delete Row z Option List 1 7 Abbreviations and Acronyms The following acronym
31. ion Direct In Person x Investment Account Fund Name Exchange Rate Details Source ID Exchange Rate Applied Amount Applied Override Exchange Rate No FX Deal Date FX Value Date Calculate Input by DateTime Mod No Authorized by Open DateTime Authorized 2 3 3 2 Specifying Settlement Details In this section you can capture the details of settlement and payment made for the transaction in the case of IPO subscription and redemption transactions Payment Details link A ORACLE 2 3 3 3 is displayed on selecting any Payment Mode other than Cash and Against Payment Click the Payment Details link to invoke the Settlement Information screen UT Propagate Transaction D New 43 Enter Query Transaction Type Transaction Type IPO Transaction Sub Type Client Information Unit Holder ID Unit Holder Name To Unit Holder Name Txn Information Settlement Dus Intermediary KYC Dtls Settlement Level Settlement Method Fund Base Currency Mi Payment Reference Payment Charges Number Exchange Rate Source Sub Payment Mode Select One M Exchange Rate Auto Settle No gt Payment Currency FBC Amount Instrument Status Payment Date Settlement Due Date Settled Payment Amount Paid Date Bank Charges Payment Details X Transaction Number To UnitHolder ID Check Draft Details Bank Cheque Date Account Currency Branch Check Number Account Holder Name Payment Type Self X Card Details Account
32. ion Details Propagation Reference Number Display Only The system generates a unique number for each propagation process Unit Holder ID Alphanumeric Mandatory Specify the UH for which the propagation is being done You can use the UH Find button to select the required UH Unit Holder Name Display Only The system displays the name of the selected UH Propagation Date Display Only The system displays the application date here Specifying Transaction Information Details Operation Alphanumeric Mandatory Select from the adjoining drop down list the kind of propagation operation that is to be done The options are e New e Modify e Delete The data that you are required to enter from here on depends on the type of operation you have selected Old Transaction Number Alphanumeric Mandatory only if Operation is Delete Specify the transaction number of the transaction that you wish to delete or modify You can also select the transaction number from the adjoining option list The list contains the reference numbers of all authorized transactions New Transaction Number Alphanumeric Mandatory for New Operation Specify a new unique transaction number for a transaction that you wish to create You can also select the transaction number from the adjoining option list The list contains the reference numbers for all the transactions that were created in the FCIS UT Propagate Transaction Detail scree
33. lay Only The system displays the application date here Specifying Transaction Information Details Operation Alphanumeric Mandatory Select from the adjoining drop down list the kind of propagation operation that is to be done The options are e New e Modify e Delete The data that you are required to enter from here on depends on the type of operation you have selected Policy Number Alphanumeric Mandatory only if the Operation is Modify Specify the policy number for which you want to propagate back data You can also select the policy number from the adjoining option list The list contains the reference numbers of all authorized policies Transaction Type Alphanumeric Mandatory Select from the adjoining drop down list the type of transaction to be propagated The options are e Policy Initial Investment e Topup e Switch e Surrender e Annuity e Premium e Recurring Switch Initial Investment Amount Numeric Mandatory if Transaction Type is Policy Initial Investment Enter the initial investment amount for the policy Old Txn Number Alphanumeric Mandatory if Operation is Delete Enter the transaction number of the transaction that you wish to delete or modify as ORACLE 2 4 2 2 4 2 1 New Txn Number Alphanumeric Mandatory if Operation is New Specify a new unique transaction number for a transaction that you wish to create You can also select the transaction number from
34. lays a unique transaction number Transaction Sub Type Display Only The system will display the sub type for the transaction 58 ORACLE 2 3 3 1 Unit Holder ID Alphanumeric Mandatory Specify the unit holder for the transaction You can select the required unit holder ID by clicking the Find UH button Unit Holder Name Display Only The system will display the name of the unit holder selected To UnitHolder ID Alphanumeric Only for Transfer Transactions Specify the unit holder to whom the units are being transferred You can select the required unit holder ID by clicking the Find UH button To Unit Holder Name Display Only The system will display the name of the unit holder selected Specifying Transaction Information In this section you can enter the basic details for the transaction along with the exchange rates to be used UT Propagate Transaction New 287 Enter Query Transaction Type Transaction Type IPO Transaction Number Transaction Sub Type Client Information Unit Holder ID To UnitHolder ID Find UH Find To UH Unit Holder Name To Unit Holder Name Tan information Settlement Dtls Intermediary KYC Dtls Transaction Date Transaction Mode Amount Fund ID Units Transaction Currency Amount To Fund ID Percent Fund Identification Payment Mode Number Payment Mode Description Gross or Net Gross Subscription Fund ID _ Communication Mode Delivery Opt
35. lick the required record and click Accept The system will perform the first level of authorization and redirect the record to the respective summary screen from where you can perform the second level of authorization Running Debugs for Propagation When you run the data propagation process for LEP and UT you can keep track of the processing using the debug facility To enable this facility you need to maintain a parameter PROPAGATIONLOG in the Parameter Setup Detail screen which you can invoke by typing UTDPARAM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button You are required to maintain the value of this parameter as 1 to have a debug written To disable the debug maintain the value as 0 Viewing Propagation Jobs As part of propagation you will need to run EOD continuously to update the data from the date of transaction input till the current date This is done through jobs You can view the jobs that are being run and terminate the ones that you do not require in the Jobs Monitor Summary screen To invoke this screen type CSSJMNTR in the field at the top right corner of the Application tool bar and click the adjoining arrow button Jobs Monitor Summary Job ID Schema User What Last Date Failures 23 Lz 23 Instance EZAN ET Records per page 15 v Job ID Last Date Instance Failures
36. ma This reference will be used to retrieve the propagation data for the corresponding transaction from the report data stores after propagation The following transactions can be propagated e UT Transactions IPO Subscription Redemption Normal Switch and Pseudo switch Transfer SI transactions e LEP Transactions Policy Initial Investment Top up Premium Annuity Policy switches Recurring switches Surrender a ORACLE 2 3 Note Ifthe transaction is unavailable in the main tables of the business schema the system will check for its existence in the archives of the business schema and display an error message if the transaction cannot be traced in either of these The propagation will be only a simulation in the report schema You will not be allowed to correct data or input data missed out in the business schema You cannot perform multiple operations on the same transaction If after a transaction has been entered in the business schema there is an NAV correction the system will consider the corrected NAV for propagation The following details will be stored in the report data stores for the propagated transactions e Total confirmed units before propagation e Total confirmed units after propagation e Total Provisional units before propagation e Total Provisional units after propagation e Net profit e Net Loss Propagating Back Data for UT You can cr
37. n oe ORACLE 2 3 2 2 3 2 1 Transaction Currency Alphanumeric Mandatory only if Operation is Modify Specify the currency in which the new transaction is to be reckoned Transaction Mode Alphanumeric Mandatory only if Operation is Modify Select from the adjoining drop down list the mode of transacting The options are e Amount e Percent e Units Amount Applied Mandatory if Transaction Mode is Amount If the transaction mode is amount specify the amount for the transaction Percent Numeric Mandatory if Transaction Mode is Percent If the transaction mode is percent specify the percentage Units Numeric Mandatory if Transaction Mode is Units If the transaction mode is units specify the number of units for the transaction After entering the requisite details click Save The system will propagate the transactions and commissions as per the operation specified and generate a detailed report If any of the following transactions have taken place during the data propagation period the system will take these into account along with the original data for reiteration e Dividend payout or re investment transaction e Applicable loads e Periodic fees e Sl Transactions FCIS UT Back Data Propagation Summary You can perform the following operations in this screen Retrieving Record in FCIS UT Back Data Propagation Summary screen You can retrieve a previously entered record i
38. n the Summary Screen as follows Invoke the FCIS UT Back Data Propagation Summary screen by typing UTSROPUT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button 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 Propagation Reference Number e Unitholder ID e Propagation Date at ORACLE 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 You can also retrieve the individual record detail from the detail screen by querying in the following manner e Press F7 e Input the Propagation Reference Number e Press F8 FCIS UT Back Data Propagation Summary Authorized Open Propagation Reference a Unit Holder ID Number Propagation Date Advanced Search Reset Records per page 15 v 1 of 1 Authorized Open Propagation Reference Number Unit Holder ID Propagation Date 2 3 2 2 Viewing an FCIS UT Back Data Propagation Record To view a record that you have previously input you must retrieve the same in the FCIS UT Back Data Propagation Summary screen as follows Invoke the FCI
39. nanawaannnasansnannnsansnaaanssasann 2 13 2 4 1 Fields in the FCIS LEP Back Data Propagation Screen 2 13 2 4 2 FCIS LEP Back Data Propagation Summary maaawa ananawawanananasanan 2 15 2 4 3 Creating New LEP Transactions amaanaawnananaawanaananaanasananananasnnannsann 2 17 2 4 4 FCIS LEP Propagate Transaction Summary mnaaaaawanaananwwwaanananasanan 2 20 2 4 5 Creating Annuities and Premium Transactions a nanawawananananasan 2 23 2 4 6 FCIS LEP Propagate SI Summary 0 3 nnanawwwanananaaananananasasanananasanan 2 24 2 4 7 Processing Transactions na aaanaawaaaananaawanawanaaananananananaannanasasasnnansssann 2 27 2 5 Authorizing Back Data Transactions a nananana anawnnawananananannaaanusananaannnsansana 2 33 2 6 Running Debugs for Propagation sess icri rdrir eer eri r EATE EENE REEE 2 34 2 7 Viewing Propagation Jobs 1 2 27 munanannwwwaaanannaawaaanananawwnananasasasananasananaassssas0nns 2 34 2 8 Impact of Propagation aa pA a a e e 2 35 2 8 1 Load COMPUutatiOn msi niisi ieie e a e a E EEEa aea aE 2 35 2 8 2 Dividend REINVEStMENKS siis s noi ini iaren oiee EEDA AA Ei 2 35 2 8 3 Ageing FIFO UNIS n a E R 2 35 2 8 4 Linked Transactions Processing ananwwwanaananaananaananaananaanansasana 2 35 2 9 Viewing Back Data Propagation Details 0 0 00 eeeeeeee teeter eter eeeteeeeeeetneeeeerenee 2 36 2 9 1 Viewing Investor Fund Balances
40. ng 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 FCIS LEP Propagate SI screen is displayed in View mode 2 4 6 4 Deleting an FCIS LEP Propagate SI Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS LEP Propagate SI 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 the list of displayed records The FCIS LEP Propagate SI 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 2 4 6 5 Authorizing an FCIS LEP Propagate SI Record An unauthorized FCIS LEP Propagate SI record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS LEP Propagate SI Summary screen from the Browser Select the statu
41. nit Holder ID a Fund ID aa Transaction Currency Transaction Date EZAN Em Advanced Search Records per page 15 v 1 of 1 Authorized Open Transaction Number Transaction Type UnitHolderID FundiD Transaction Currency Tran Editing an FCIS UT Propagate Transaction Record You can modify the details of an FCIS UT Propagate Transaction record that you have already entered into the system provided it has not been subsequently authorized and if it has not been attached to any propagation If the transaction has been propagated then you will not be allowed to modify it You can perform this operation as follows e Invoke the FCIS UT Propagate Transaction Summary screen from the Browser e 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 e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified e Click Search button All unauthorized 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 modify in the list of displayed records The FCIS UT Propagate Transaction screen is displayed e Select Unlock Operation from the Action list to modify the record Modify the necessary information e Click Save to save your changes Th
42. nstructions button in the Back Data Propagation Screen to view the standing instructions details propagated KI Standing Instructions Standing Instructions 1of1 SI Number Unit Holder ID Fund ID Transaction Type The following details are displayed SI Number Unit Holder ID Fund ID Transaction Type Status Start Date End Date Escalation Start Date Escalation End Date Last Processed Date SI Description 2 38 ORACLE 2 9 3 Viewing Income Distribution Setup Details Click the Income Distribution Setup button in the Back Data Propagation Screen to view details of the income distribution propagated pai Income Distribution Setup Income Distribution Setup 1of1 Unit Holder Entity Type Product ID Policy Number Fund ID The following details are displayed e Unit Holder e Entity Type e Product ID e Policy Number e Fund ID e Payment Percentage e Reinvestment Percentage 293 ORACLE 2 9 4 Viewing Transaction Summary Click the Transaction Summary button in the Back Data Propagation Screen to view a summary of the transactions propagated Transaction Summary Transaction Summary 1of1 Product ID Policy Number Fund ID Transaction Number Transaction Date The following details are displayed Product ID Policy Number Fund ID Transaction Date Transaction Type Units Price B
43. ook Value Running Total Status Gross Amt in FBC Net Amt in FBC Broker Commission Other Fees 2 40 ORACLE 2 9 5 Viewing Dividend Distribution Details Click the Dividend Distributions button in the Back Data Propagation Screen to view the details of dividend propagated Dividend Summary Fund ID Declaration Date Payment Date Units Held Earnings Lot Total Tax NetAmount Payment Details 1of1 Fund ID Payment Mode Account Number Reinvestment Details 1of1 Fund ID ReinvestmentFundID Amount UnitPrice Units Allotted The following details are displayed e Dividend Details Fund ID Declaration Date Payment Date Units Held Earnings Lot Total Tax Net Amount e Payment Details Fund ID Payment Mode Account Number Bank Branch Amount e Reinvestment Details Fund ID Reinvestment Fund ID 2 41 ORACLE Amount Unit Price Units Allotted 2 9 6 Viewing Capital Gains Transactions Tax Details Click the CGT Transactions button in the Back Data Propagation Screen to view the details of capital gains tax CGT Transactions CGT Transactions 1of1 Product ID Policy Number Fund ID Entry Date Transaction Number Uni F The following details are displayed e Product ID e
44. ord 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 FCIS LEP Propagate Transaction screen is displayed in View mode 2 4 4 4 Deleting an FCIS LEP Propagate Transaction Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the FCIS LEP Propagate Transaction 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 the list of displayed records The FCIS LEP Propagate Transaction 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 2 4 4 5 Authorizing an FCIS LEP Propagate Transaction Record An unauthorized FCIS LEP Propagate Transaction record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS LEP Propagate Transaction Summary screen from the Browser Select the status of the record that you
45. ords 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 the list of displayed records The FCIS UT Propagate Transaction 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 2 3 4 5 Authorizing an FCIS UT Propagate Transaction Record An unauthorized FCIS UT Propagate Transaction record must be authorized in the system for it to be processed To authorize a record Invoke the FCIS UT Propagate Transaction 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 FCIS UT Propagate Transaction screen is displayed Select Authorize operation from the Action List 2 3 4 6 Amending an FCIS UT Propagate Transaction Record After an FCIS UT Propagate Transaction 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 FCIS UT Propagate Transaction Summa
46. ry 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 FCIS UT Propagate Transaction 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 ale ORACLE 2 3 4 7 Authorizing an Amended FCIS UT Propagate Transaction Record 2 4 2 4 1 2 4 1 1 An amended FCIS UT Propagate Transaction record 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 records Propagating Back Data for LEP You can create transactions that have not been input for a policy holder delete existing erroneous data and modify certain details for an existing record in the FCIS LEP Back Data Propagation screen You can invoke by typing LEDROPLE in the field at the top right corner of the Application tool bar and click the adjoining arrow button pau LEP Back Data propagation New
47. ry 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 FCIS LEP Propagate Transaction 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 FCIS LEP Propagate Transaction screen is closed and the changes made are reflected in the FCIS LEP Propagate Transaction Summary screen 2 4 4 3 Viewing an FCIS LEP Propagate Transaction Record To view a record that you have previously input you must retrieve the same in the FCIS LEP Propagate Transaction Summary screen as follows a2 ORACLE Invoke the FCIS LEP Propagate Transaction 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 rec
48. s and abbreviations are adhered to in this User Manual Abbreviation Acronym Meaning ADMIN User Administrator AGY The Agency Branch component of the system AMC Asset Management Company BOD Beginning of Day CDSC Contingent Deferred Sales Charge CGT Capital Gains Tax Ve ORACLE Abbreviation Acronym Meaning 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 help for any function by clicking the help icon provided or by pressing F1 ra ORACLE 2 1 2 2 2 Back Data Propagation Introduction Back Data Propagation refers to the process of including data that has been left out and correcting data that has been erroneously entered and can be performed for both UT and LEP transactions This is done by
49. s 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 FCIS LEP Propagate SI screen is displayed Select Authorize operation from the Action List 2 4 6 6 Amending an FCIS LEP Propagate SI Record After an FCIS LEP Propagate SI 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 FCIS LEP Propagate SI 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 FCIS LEP Propagate SI 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 2 08 ORACLE 2 4 6 7 Authorizing an Amended FCIS LEP Propagate SI
50. saction LEP Transaction New 7 Enter Query Policy Transaction Policy Number Policy Holder ID Policy Txn Number Transaction Type Transaction Details ESEME Payment Details Broker Details Details H 410f1 gt gt I co Fund ID Fund Name Fund Base Currency Transaction Currency Transaction Amount Exchange Rate Source No Override Exchang H To Fund ID Fund Name Input by Authorized by Mod No Open Authorized DateTime DateTime 2 4 3 3 Specifying Payment Details Click the Payment Details tab to enter the payment details for the transaction LEP Transaction Ii New 4 Enter Query Policy Transaction Policy Number Policy Holder ID Policy Txn Number Transaction Type Transaction Details Asset Allocation Falagaaa aang Broker Details Clearing Date Payment Type Bank Code Account Number Check Number Identification Number Address Line 1 Transferee Number Exchange Rate Details Source ID Exchange Rate Applied Transaction Currency Amount Interest Details Interest Rate Interest Amount Interest Amount In Transaction Currency Input by Authorized by Payment Date Payment Currency Payment Amount Ratio Branch Code Account Type Account Currency Check Date Contact Name Address Line 2 IBAN Override Exchange Rate FX Deal Date FX Value Date Interest Calc Days BasisDa
51. the adjoining option list The list contains the reference numbers for all the transactions that were created in the FCIS LEP Propagate Transaction Detail screen Transaction Currency Alphanumeric Mandatory if Operation is Modify Specify the currency in which the new transaction is to be reckoned Transaction Mode Alphanumeric Mandatory if Operation is Modify Select from the adjoining drop down list the mode of transacting The options are e Amount e Percent e Units Amount Applied Mandatory if Transaction Mode is Amount If the transaction mode is amount specify the amount for the transaction Percent Numeric Mandatory if Transaction Mode is Percent If the transaction mode is percent specify the percentage Units Numeric Mandatory if Transaction Mode is Units If the transaction mode is units specify the number of units for the transaction After entering the requisite details click Save The system will propagate the transactions and commissions as per the operation specified and generate a detailed report If any of the following transactions have taken place during the data propagation period the system will take these into account along with the original data for reiteration e Dividend payout or re investment transaction e Annuity recurring switches recurring premium or surrender transactions e Applicable loads e Annuity Journals e Periodic fees e CGT Recovery Trans
52. the unit holder that is the IDS maintained at the time of initial processing Ageing FIFO Units If there has been a change in the allocation status of a transaction the system will consider only the original allocation status of a transaction during data propagation For instance if the original allocation status of a transaction is Provisional and subsequently the status changes to Confirmed while reiterating the transactions the system will consider the status as Provisional and carry out the calculations accordingly Linked Transactions Processing For linked transactions where an inflow transaction that is linked to an outflow transaction is being modified the system will check if the outflow transaction is affected due to data propagation If it is the outflow transaction will not be generated a ORACLE 2 9 Viewing Back Data Propagation Details You can view the details that have been propagated using the Back Data Propagation Enquiry screen You can invoke the screen by typing UTDPRQRY in the field at the top right corner of the Application tool bar and click the adjoining arrow button New 5 Enter Query Propagation Enquiry Basic Information Propagation Reference Propagation Date Number Unit Holder Name Unit Holder ID Processed Date Processed By Verified On Verified By Approved On Approved By Transaction Information E New 6 1of1 Opera
53. tion Policy Holder ID Display Only The system displays the ID of the policy holder Policy Txn Number Display Only The system will generate the transaction number for the propagation policy transactions aut ORACLE 2 4 3 1 Transaction Type Alphanumeric Mandatory Select from the adjoining drop down list the kind of transaction you want to create The options are e Top up e Switch e Surrender Specifying Transaction Details Click the Transaction Details tab to enter the main details for the transaction LEP Transaction i New 4 Enter Query Policy Transaction Policy Number Policy Holder ID Transaction Details Transaction Date Transaction Mode Amount Transaction Amount Txn Type Phase In To Be Cancelled Include Interest In Investment Interest Amount Exchange Rate Details Amount Applied Source ID Input by Authorized by Policy Txn Number Transaction Type Topup AG 4s et Allocation Payment Details Broker Details Transaction Entry Date Transaction Currency Topup Inclusive PortFolio Switch Portfolio Surrender Surrender Money Payable Exchange Rate Applied Override Exchange Rate DateTime DateTime 2 18 HA No Mod No Open Authorized ORACLE 2 4 3 2 Specifying Asset Allocation Details Click the Asset Allocation tab to enter the asset allocation details for the tran
54. tion Policy Number Transaction Type Initial Investment Amount Old Txn Number Investor Fund Balance Standing Instructions Income Distribution Setup Transaction Summary Dividend Distributions In this screen press F7 enter the Propagation Reference Number and press F8 The system will display the following details for the propagated query Operation Policy Number Transaction Type Initial Investment Amount Old Txn Number New Txn Number Transaction Currency Amount Applied Units Percent 2 36 ORACLE 2 9 1 Viewing Investor Fund Balances Click the Investor Fund Balance button in the Back Data Propagation Screen to view the fund balances propagated Investor Fund Balance The following details are displayed e Product ID e Policy Number e Fund ID e Fund Name e Fund Base Currency e Balance Units e Blocked Units e Total Blocked Amount e FBC redeemable e FBC Holding e UHBC Redeemable e Average Cost e Provisional Units e UHBC Holding e Total Blocked Amount e Total Holdings in UH currency 2 37 Investor Fund Balance 1of1 Product ID Policy Number Fund ID Fund Name Fund Base Currency Balance Units Blocked Units Total Bic lt im r Total Blocked Amount Total Holdings in UH Currency ORACLE 2 9 2 Viewing Standing Instruction Details Click the Standing I
55. us applications This software and related documentation are provided under a license agreement containing restrictions on use and disclosure and are protected by intellectual property laws Except as expressly permitted in your license agreement or allowed by law you may not use copy reproduce translate broadcast modify license transmit distribute exhibit perform publish or display any part in any form or by any means Reverse engineering disassembly or decompilation of this software unless required by law for interoperability is prohibited The information contained herein is subject to change without notice and is not warranted to be error free If you find any errors please report them to us in writing This software or hardware and documentation may provide access to or information on content products and services from third parties Oracle Corporation and its affiliates are not responsible for and expressly disclaim all warranties of any kind with respect to third party content products and services Oracle Corporation and its affiliates will not be responsible for any loss costs or damages incurred due to your access to or use of third party content products or services
56. w and new transaction number should be the newly captured premium transaction Transaction type should be Pre mium here Add another row in transaction grid select the Investor policy number and select operation as Delete and old transaction num ber should be the premium trans action in business schema Transaction type should be Pre mium here Click Save Recurring Add Missed SI In LEP Propagation SI transaction Switch Switch screen Function ID LEDPROS1 capture the missed recurring switch In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly captured switch trans action Transaction type should be Recurring Switch here Click Save Delete Wrongly gen In LEP back propagation screen erated Switch select the Investor policy number and select operation as Delete and old transaction number should be the recurring switch transaction in business schema Transaction type should be Recurring Switch here Click Save 82 ORACLE Modify Wrongly gen In LEP Propagation SI transaction erated with screen Function ID LEDPROSI wrong value capture recurring switch transac tion In LEP back propagation screen select the Investor policy number and select operation as New and new transaction number should be the newly
57. y broker in this section zs ORACLE then the system reckons the broker as DIRECT and designates the same as the default broker UT Propagate Transaction New 9 Enter Query Transaction Type Transaction Type IPO X Transaction Number Transaction Sub Type Client Information Unit Holder ID To UnitHolder ID Unit Holder Name To Unit Holder Name Tan information Settlement Dis MENNENE KYC Dis Transaction Intermediary Details 1of1 ry Entity ID Entity Type Split Percentage From Or To Leg Entity Name Parent Entity Name z Broker v Input by DateTime Mod No Authorized by Open DateTime Authorized 2 3 3 4 Specifying KYC Details You need to specify the list of required KYC documents for this transaction System allows you to save the transaction even if the unit holder has not submitted all the required KYC documents However you will not be allowed to perform the completion operation on that transaction unless all the required documents have been received from the investor This feature will be available only if your installation has requested for it 8 UT Propagate Transaction New 5 Enter Query Transaction Type Transaction Type IPO x Transaction Number Transaction Sub Type Client Information Unit Holder ID To UnitHolder ID Find UH Find Ta UH Unit Holder Name To Unit Holder Name Tan information Settlement Dts Intermediary RE
58. ys DateTime Mod No Open DateTime Authorized 2 ORACLE 2 4 3 4 Specifying Broker Details 2 4 4 2 4 4 1 Click the Broker Details tab to enter details of brokers for the transaction LEP Transaction Ii New 433 Enter Query Policy Transaction Policy Number Policy Txn Number Policy Holder ID Transaction Type Topup Transaction Details Asset Allocation Payment Details FiGiaaaaaNa Fatch Broker Details Broker Details 1of1 m Broker Code Broker Name Split Percentage Input by DateTime Mod No Authorized by Open Fit DateTime Authorized Refer the following chapters for more details on the fields in this screen e Policy e Policy Transactions Top Up e Policy Transactions Switch e Policy Transactions Surrender FCIS LEP Propagate Transaction Summary You can perform the following operations in this screen Retrieving Record in FCIS LEP Propagate Transaction Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS LEP Propagate Transaction Summary screen by typing LESPRTXN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button 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 retriev
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