ICE Clear Europe PTMS User Guide
Contents
1. IL T T TT T TI C After completing the updates to the single line trade record you must click the Save button located on the toolbar above the data display panel Prior to clicking Save the trade record will be shaded in yellow The yellow shading indicates that the trade has been altered but the alterations have not been saved to the PTMS database Additional trades may be updated as needed then the user must click Save When navigating to a different tab the updated trade lines will remain yellow until the changes have been saved Alternatively if the changes are incorrect and wish to be removed before saving the user can click Discard Unsaved Changes Discard Unsaved Changes Spit Apply If a user attempts to logout before saving all changes they will receive a warning dialogue stating that there are unsaved changes and on what screen those unsaved changes reside Warning The following screens have unsaved data Trade Review Do you want to exit without saving 5 2 Multiple Line Update PTMS allows a user to update multiple trade records simultaneously Enter the relevant Account Position Account Allocation Method Group ID Destination Member and Destination Account into any of the editable column header fields Next highlight contiguous rows by left clicking the first row of data to highlight the trade record Hold down the Shift key on the keyboard and scroll to the last row2. When in static search is ON the next search will remove the trade from view If static search is OFF and a trade has been split the new split trades will appear and the original now inactive row will also be displayed The next action by the user will refresh the screen removing the inactive trade from the display NOTE The Previously Cleared Transactions Screen is a Static Search only screen New transactions will not automatically display The user MUST enter a Cleared Date and then click the SEARCH button to retrieve transactions 3 Trade Summary Screen The trade summary screen displays trades aggregated by Commodity Commodity and Month or Commodity Month and Price Select the aggregation parameter by choosing the grouping criteria from the dropdown toolbar located in the upper right corner of the trade Summary screen The trades displayed on the screen are those trade executed by the Trading Member and Exchange selected at the top of the screen ICE MM ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on UAT EU PTMS Print Export Help _ Static Search Current Clearing Date 2011 Jan 12 Default Trade Summary Th Reset to All Trade Summary ER PO Commodity Month w Commodity Commodity Month Commodity Month Price Va isfer Review Trade Review Group Review ji Previously Cle
3. the alert messages will be removed If no action is taken the alerts will remain until the user logs off If the user logs in and the alert is still valid or active it will be redisplayed 8 2 Emergency Alerts Emergency alert messages are broadcast to users to convey critical information regarding PTMS or ICE Clear Europe These alerts will restrict the user from any PTMS activity until the alert message has been acknowledged The Emergency alert will be displayed in the center of the PTMS application screen This pop up window will display the alert message and an OK button To acknowledge the alert and clear the notification from the screen click the OK button Critical Alert Fri Feb 18 10 58 41 GMT 2011 A TEST ALERT PTMS will be shutting down at 7 PM If you have any questions please contact ICE Clear Europe XXX 23000000000 TEST ALERT If additional emergency notifications are sent they will be displayed in the order they were received After acknowledging the earliest the next more recent will be displayed If the user logs out and logs in at a later point in the same trading day if the alert message is still a valid alert it will be redisplayed 9 Logout To log out of PTMS click on the PTMS menu in the upper left corner of the screen and select Exit from the menu You can also log out of PTMS by clicking the X in the upper right corner of the PTMS screen and then Yes to the Exit dialogue ICE www theice com P
4. Trade Summary Traer Ge Du W Contract Period Price az m an Exchange Each PTMS screen is divided into two panels the selection criteria panel on the left for filtering and the data display panel on the right These panels can be resized to suit the needs of the user 2 3 1 Filter Pane Creating a query To filter data on any PTMS tab use the selection criteria panel on the left side of each screen Each tabs drop down options will be based on relevance to that screen To create a specific query click on the relevant drop down boxes and select any combination of criteria Once the desired filter selection has been made PTMS will automatically filter the data by that selection if the Static Search option is OFF see section 2 5 Each subsequent filter choice will dynamically update to the data in the table If the Static Search option is ON see section 2 5 then the user will have to click the Search button before the selected filters are returned If the selected filters wish to be restored to display all trades then simply click the Reset to All button The user must again click Search if Static Search is ON for the reset to take effect Default TEST Search Reset to All Commodity All Contract Period All Price Range Account lan Original Order ID lan Trade Type lan Alloc Meth ICE PTMS User Gui
5. select the directory and location available to your computer where you require the log files to be stored After the location has been defined select the Save button to save these preferences After clicking Save PTMS will display a confirmation message identifying the location selected Note The user must have access to the directory selected for this function LI 2 AMAN Thalia CAM C e W W W LI 1elCce com Message i You have sucessfully changed the log file location to C Documents and Settings kweil My Documents Your change will take effect on the next log in The log files will not be directed to the new location until the next login to PTMS If the user continues in PTMS without logging out the files will be written to the original default location 2 3 Screen Layout The various PTMS screens are accessible via tabs at the top of each screen Once logged in the user will be defaulted to the last screen accessed by the user If accessing for the first time the Trade Summary screen will be the default screen selected The tabs across the top right of the screen identify the screens available to the PTMS user E ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on UAT EU PTMS Print Export Help Static Search Current Clearing Date 2011 Jan 12 mn oo Ca Default MAA Summary Transfer Review Trade Review 3 Group Review Previously Cleared T
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7. Static Search Date 2010 Dec 31 Current Clearing Trade Default Search Resetto All Cleared Date Previo 2010 12 30 w 2010 12 29 A Enn A brief window will appear notifying the user that the transactions from the date selected are being retrieved This window will remain in view until all transactions from the selected date are retrieved Once the data has been retrieved the user can refine their search using additional filter criteria but the Cleared Date is always required After entering the filter criteria the user ICE PTMS User Guide v1 0 22 March 2011 Page 29 ICE must click the Search button to retrieve the previously cleared transactions matching the selections entered This screen will not automatically refresh or load trades based on settings in your profile If the user alters their search criteria they must click the Search button to refresh the search The following filter criteria are available for the Previously Cleared Transactions screen Cleared Date mandatory Commodity Trader Transfer Type Trade Date Contract Period Trade Type Source Account Price Range Low High Inclusive Opposite Member From To After PTMS has displayed the previously cleared transactions for the Cleared date and other filter criteria selected the user can review the transactions to isolate any trades that may need modification The columns disp
8. System To log into PTMS open an Internet Explorer browser and go to https ptms euclearing theice com client From the PTMS homepage click Launch PTMS link https ptms euclearing systest theice com client Windows Internet Explorer O EJ Me theice com w CG Certificate Error zz X BE soge 57 Favorites e https ptms euclearing systest theice com client Launch ptms After launching PTMS the Login Screen appears as below ICE MM ICE CLEAR EUROPE Post Trade Management System E Version 3 7 2 3 43 Build 144 January 20 2011 L ICe CLEAR EUROPE User ID Password Login Cancel Proxy Settings Enter your PTMS User ID and Password User IDs and passwords are case sensitive and must be entered exactly as created Upon first login to PTMS you will be required to change your password for security purposes The password must be a minimum of seven characters and contain at least three of the following upper case lower case numbers or special characters 2 1 Proxy settings After entering your user ID and password PTMS will begin the login process If a firewall or proxy conflict is detected the user will receive an error and will be unable to login PTMS is configured to run through a browser and connect with no configuration changes for the Member If your firm has a firewall setting or a proxy server that prevents users from accessing PTMS the firm
9. Transfers If a Member is the recipient of a position transfer that they DO NOT agree e g if the quantity side is incorrect or they do not know the transfer altogether the user can challenge the transaction by clicking in the checkbox marked C Challenge The new status after clicking the challenge option will be UAC Unmatched Allocated Challenged Transfers in this condition will not clear during end of day processing The creating member must cancel the transfer Alternatively they can leave it in the UAC status and the transfer will remain uncleared overnight and appear for two more business days to allow the associated Members to confer and determine if the transfer is valid This procedure also applies to transfers where no action has been taken i e neither accepted challenged nor cancelled At the end of the second business day the transfers will be removed from PTMS A transfer can be challenged if the user has accepted the transfer in error The status of the transfer will be changed to MAC Matched Allocated and Challenged If the To Member does not cancel the transfer by the end of the business day the transaction WILL CLEAR at the end of the day as if it had been accepted ICE Transfers that have been accepted and are subsequently challenged must then be cancelled in order to avoid the clearing cycle To Members are advised to contact the From Member if they have challenged a
10. information If the user wishes to mark trades for give up and can provide the trading member that the trade is intended for that information can be added in PTMS also under the Dest Member column They also add the Account and Position account that trade is intended for under the columns Dest Acct and Dest Pos Account respectively If a user inserts a Dest Member it will automatically make the trade for give up i e enter a G into the Alloc Meth column Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions Trade Information e Dest Acct Dest Pos Account m Orig Order ID Filled Order ID i Giveup Memo 9 L NO So II C j P 4715082 4715082 E 4196016 4196016 client 3852631 3852631 client A Giveup Memo can also be added to the trade at this point Once the user is happy with the give up details entered they must click Save in order to submit the trades to ACT for claiming ICE PTMS User Guide v1 0 22 March 2011 Page 24 Alternatively if the details entered are incorrect and the user wishes to clear the give up details before saving they can either delete each individual field or simply click the Discard Unsaved Changes button Once a trade has been marked for give up and saved the trade can no longer be amended via PTMS This means the G cannot be removed from the trade In
11. of data to modify and then click ICE PTMS User Guide v1 0 22 March 2011 Page 19 L VAN LIRAINA A A nO Ce www theice com the last line with a left mouse click All rows between the first mouse click and the second mouse click will be highlighted After the trades have been selected and data entered into the multiple edit boxes the user must click on the Apply button located on the toolbar above the data display panel PR ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on UAT EU PTMS Print Export Help w Static Search Current Clearing Date 2011 Jan 11 _Discard unsaved Changes R on fl save IR amy Default TEST Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions Trade Information Search Reset to All Account iti DeskiPos Account n Commodity menn CH 9 Mame RUDI4 RUDI1 RUDI2 TESTOPPACC TESTOPPACC Contract Period jan Source Alloc Meth This will overwrite all of the selected lines with the information entered into the header boxes Once the lines have been updated the user must click the Save button located on the toolbar above the data display panel Prior to clicking the Save button the trades will be shaded in yellow This shadin
12. record from the Trade Review screen The split screen can also be invoked by clicking on a trade record to ICE PTMS User Guide v1 0 22 March 2011 Page 21 Ce www theice com highlight the line and then clicking the Split button located on the toolbar above the data display panel Discard Unsaved Changes emp Save App After double clicking the highlighted line or clicking the Split button PTMS will display a pop up window entitled Multiple Allocation This screen is used to split a larger trade into one or many different accounts FB ICE CLEAR EUROPE Multiple Allocation Trade ID 7136231 Trade Date 2011 01 11 16 18 59 Account TESTOPPACC Position Account H Trader XXX Contract Period Mar 2011 Price 6249 PutiCall Strike Memo TradetextMU4AJCGKA3C QTY Dest Member Dest Acct Dest Pos Account Dest Text TESTOPPACC Lots to be Allocated Buy O Sell 0 CLEAR ROW CANCEL The top area of the split allocation window details the original trade The trade details include total trade quantity commodity trade date time price contract period strike put call and memo On the first line of the edit grid the total quantity will appear in the QTY column The Destination Member Destination Account Destination Position Account and Destination Text will also appear On the first line of the edit grid the total quantity will be displayed the user c
13. s security team can configure the proxy settings allowing user access to PTMS Click on the Proxy Settings link from the login screen to update the configuration file for the PTMS application After clicking the Proxy Settings button the proxy settings window will appear The proxy information must be entered on this window and provided by the PTMS user s internal IT or security department The proxy information fields include Proxy Host Proxy Port Proxy User and Proxy Password P ICE CLEAR EUROPE Post Trade Management System L Version 3 7 2 3 43 Build 144 January 20 2011 L ICe CLEAR EUROPE User ID Password Proxy Host Proxy Port Proxy User Proxy Password Login Cancel Proxy Settings The proxy setting information will identify the physical internal server and port to be accessed for external communications The proxy user and password will identify the user to the internal server This information will be saved to the local computer for subsequent ICE connections to PTMS After the user has completed entering the PTMS user id and password and entered the proxy settings proxy user id and password press login to simultaneously login through the specified proxy server and into PTMS 2 2 Log File Location settings PTMS creates a log file to assist in the diagnosis of a user s interaction with PTMS By default these log files are st
14. transaction the quantity entered quantity can be less than the original quantity cleared but the user must enter an additional line item with the original clearing information to finalize the transactions ICE MM ICE CLEAR EUROPE Create Adjustment Create Adjustment Originating Side Opposite Sides ek rasa p a Opp Op OppMember OppAcct OppPosAcct Opp User Text Side sy J YY H DI QTY Comm Contract Period Mar 2011 Strike 0 Price 785 25 Account 3 Position Account HC Trade Date 2011 01 11 User Text Opposite Sides Total Quantity 56 Submit Cancel 7 4 Modification of Previously Cleared Trades If the user wishes to create an average price transfer from previously cleared trades the user can highlight the trade to be added to the average price group and enter the group id in the AP Group ID field After clicking the Save button PTMS will assign the trade to the specified group and also mark the trade as A in the Alloc Meth indicator Adding Previously Cleared Transaction to AP Group The trade will be displayed on the Group Review screen with any other trades with the same Trade Date Commodity Side Expiration Strike for Options Put Call designation for Options and Group ID The user will be able to manage the Average Price Transaction from the Group review screen See Group Review Marking a Previously Cleared Transaction for Give Up It is also possibl
15. u 29y UONISO4 junoooe uonisod e o paubisse JO pajedojje u q jou sey sped junoooe uolnisod paubisseun 95V UONISOY D uonduoseq pen 1 V SWLd SONIddVIN SINLd LOV lt lt SUL SALVLS SGVYL AVA dOL Z XIGNAddV 3peJ pole sibolun an uondiuosaq po SHL lt P ge abeg LLOC YEW ZE OLA SPINS HSN SIN LA 391 UOI SUeI euly ay Ul enoJdde H9 anba jIM s194suexs uollisod e juo UODISUEIL AUS 104 esnouGuLiea9 oU Aq pejejap u q sey Jeu Jejsue j UO ISOd out jo sn e s juejeAInb3 LOV SIWLd ON UOHEIJION Pajelad esnouGuLiea9 ya y Aq pajoefe u q sey ey Ja sue uonisod ay jo mee juajeamb3 LOV SIN Ld ON UonEOUDON papay me wm asnoyBullea y Aq panoldde useq sey ey Jejsue JO snjezs juajeninb3 Liew lcd ON UONBILION pasuoyny eAo dde UOI EOIJIJON 104 esnouGuueo J 0 paniuuqns u q sey jeu Jejsue jo snje s AuajeAINb3 LOV SINLd ON posiou neun pouo1eN xoq 1d 55v ou 109 as O sey JeqwaN SIN Ld obojje ou 1d392Y o epe ay JO apis ausoddo jndui o sey jegqwa OL SHL pe dejoe u q Jou JOJSUBJ JeqweN O Ul JoJSues uonisod pebajje jo snje168 pojeoojiy pouojeuwun indu JON UOUEOUDON Wa Jaquau eusoddo y Ag pajdeooe u q Jou sey JOJSUBJ UYDIYM U99J0S S J3QUIA A WOJ4 y u JEejsuB n UONISOd y JO sn e1S pojeoojiy pouojeuwun vn uoneoyou payajewuf ll sey yolym UBBIOS S Jaquiau aysoddo ay Aq pajdaooe usaq sey y 19 sue eusa xa Ue
16. GI 01 EE 28 C ODC Cl IO ee A E ee eee eee 28 7 Previously Cleared TransSactiODS an KN KEN KEN KEN KEN KEEN KENNEN KEN KEN 29 7 1 Search for Previously Cleared TranSacCtiONS eee ea aaaaa atant aaaaaaaaeeaeeeeeseseeseeeseseoeos 29 7 2 Reversing a previously cleared Position Transfer 31 Tem Create MWA US MENN u u u u uuu iu traiciona 32 7 4 Modification of Previously Cleared Trades e eeeee aaa a aaa aaaataaaaaaaaee eee eeeseseseeeesesogeos 33 5 Sy LEN An EE 33 8 1 Informational Alerte 33 G EE 34 JO Be e Te WEE 34 O Zeie li EE 36 ICE 1 Introduction The Post Trade Management System PTMS is used to manage the clearing of trades executed on the ICE Futures Europe and ICE OTC trading platform This document will describe how PTMS is used by Clearing Members and Exchange Members that access the ICE Clearing Systems to manage the clearing process of trade executed on the above mentioned trading platforms Please note for brevity the term Member is used throughout this document to refer to both Energy Clearing Members and Exchange Members that access the ICE Clearing Systems Each PTMS user will be issued a unique user ID and password A user will have screens available for processing trades that have been executed on the ICE Futures and ICE OTC trading platforms based on their permissions Access to the ICE Clearing Systems can be requested from ICE Clearing Operations iceuops theice com or 44 0 20 065 7600 2 Logon to
17. H Contract Period jan ly Source x an lan x 5361330329 TESTOPPACC H Account 361330 lan gt 5361330329 TESTOPPACC H Alloc Meth 5361330329 TESTOPPACC H an 5361330329 T This will overwrite all of the selected lines with the information entered into the header boxes Once the lines have been updated the user must click the Save button located on the toolbar above the data display panel Prior to clicking the Save button the trades will be shaded in yellow This shading indicates that the trades have been altered but the data has not been saved to the PTMS database The following standard ICE Exchange business validation rules are applied to all trade updates e The Position Account will be defaulted to U unregistered for all trades where the Allocation Method is updated to G e When marking for Give up if the Destination Member is entered it must be a valid Member If an invalid Member is entered the following error message will appear M Invalid Destination Value When a trade is marked for Give Up and then saved no more updates can be made on this trade via PTMS They must log in to ACT in order to further process this trade 5 3 Split Functionality See demo here The split functionality allows the user to assign allocate portions of a trade to more than one account Member To engage the split feature simply double click on a trade
18. Ice Global markets in clear view ICE Clear Europe PTMS User Guide Version 2 0 March 22 2011 This material may not be reproduced or redistributed in whole or in part without the express prior written consent of IntercontinentalExchange Inc Copyright IntercontinentalExchange Inc 2011 All Rights Reserved ICE L INtroducioON NEE 3 Z LOGO LO SY ELONN si oa 3 2L PROXY E ne 4 2 2 EGO FING LOCATION SCING E 5 Za SOCTCCW La OU rene ora 6 2 3 1 PISE PANS sr cipal ad 7 2 SCT OI NA VIGAUION icra a ky ab ab e murs EE EE 8 o e oo A 8 2 4 2 Column Location and SIZE EE 8 2 4 3 Sg Int WEE 9 2 4 4 TEE Ee 9 2 5 State Search ODOM KEE 9 2 5 1 State Searc Ol sara taa 10 2 5 2 State Search OF Pacs tt aa 10 2 5 3 Inactive Te 11 3 Trade SUMMary SC E 11 4 Transfer Review SCree n ccccccecceeucescuceauenacvencuesacrseereevensuuenauenauuenacusaers 12 4 1 Transfer Review Filter Criterta ccc cess nannan aaa tett eesssssesssstttttttoseseeeoeoes 12 4 2 Create Position Transfer EE 14 43 ACCepUNG POSION Tans EFS usais 16 4 4 Challenging Position Transfers l kk kk tk tt etat aaa aaaaaasessestttastseseseeseseseseoeoun 16 4 5 Cancellation of ag ansioso rro 17 e Trade REVICW See sere rr ratones 17 NS A A 18 5 2 Multiple Line Update viaria as 19 5 3 PIC FACHO i rad 21 Bee Give UD FARCUON AU rada 23 5 5 Average Price Functionality cias ads 25 6 Group REVIEW SCS pri 26 Ou ROV W DetallS EE 27 62 COMPIE Gl OUD EE 28 gt SUD
19. MP ICE CLEAR EUROPE Post Trac Print Export Help Sti Curre Print Screen fate 201 Excha Print Table i Page Setup 2 4 4 Export To export the retrieved data set click the Export from the toolbar above the search criteria panel PTMS will prompt the user to specify a file name for the new file and allow the user to specify the location for the file After entering the file name and specifying the location click SAVE The displayed data will be saved to the specified location in excel format BCE CLEAR EUROPE Post Trade Man PTMS Print Export Help r Static Sez Current Cli Export To File 2 5 Static Search options PTMS provides a utility for the user to set their preferences to allow for dynamic updates of trades to their PTMS screens or to allow for the user to manually request for the data Initially all users will default to Static Search ON If the user changes this preference the setting will be kept in the users profile for later use ICE 2 5 1 Static Search ON When the user has selected the Static Search to be ON the checkbox is ticked PTMS will require the user to manually refresh the data on the screen All PTMS screens available to the user will be set to Static Search ON when the selection is checked PA ICE CLEAR EUROPE Poet Trade Management Syste PTMS Print Export He Current Clearinc After entering the desired filter criteria the user must click the SEARCH button to r
20. Review Previously Cleared Transactions Group Review Search Reset to All P Trade Date amp 2010 12 31 Strike Account Position Account 101 91 101 9142678 Each column displayed represents the details of the Average Price group and will display the following items Group ID As specified in the Trade Review screen Commodity Commodity of trade in group Contract Period Expiry date of trades in group Buy Total quantity if buys Sell Total quantity if sells Strike Price Strike price for grouped options Put Call Options only Average Price System calculated Average Price of group Rnded Price System rounded price to nearest tick increment of commodity Per Unit Residual The residual cash difference per contract quantity unit between the rounded average price and the actual average price Account Account Reference for group Position Account Position account for group Current Group Status Signifies whether the group is I n Progress or S ubmitted Trade Date Trade date of the transactions in the group Function buttons along the top allow the user to manage the average price groups 2c 31 M Review fette Complete suma open BEZE Discard unsaved Changes i _sae _ Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions Group Review Tr
21. TMS Exit O Are you sure you want to exit ICE PTMS User Guide v1 0 22 March 2011 Page 35 ge abeq LLOC YDIEW ZE OLA apno SN SIA Ld 391 ot Dupued pawie un CUE DEL 0u AID UOoneoojiy pajeso je un si dnog vn pejeoojieun vn UONBDO IY Pawie L e JO esianay sanbay AMM 9819 39y pajeniu AMM uoneDO IY Joalay PI pepslsYy KEE AID dnoio lt 1O uolooljiv Jo wns dnog 31290 8 19AmO p3 290 Y 1340 VAO AID dnoio gt O wep jo uns dnous paulejo Japuf p uule O Japun oan 10 dnoio gt 1O uoneooliv jo wins dnous ajeoojie lapun pejeoojiv Japun van es1an9y e de00V SJ A Y D uulIJUOO ANM p1o9ay WIe D e ul e O qnS uonedojiy WIE D uoneoojje pawneo un pejeoojie si dnolo VO D uuIE O ans pojesoliy ds Jajsued apes sfaouey JeqWwajN WO sgoue deoay Jay Joysuel s Bu euO equa Ol p B5u euS p 1e5So v D U3 E lN J9 SUB apes s d 55v sequiayy OL pajdad9y pa e90 y Ppayojeln a9uejdasoy aJojag Jejsuelj sebua ey JSquiayy O J9 sueJ pabua ey paJe90 w paeyajeuwufy J9 SUBJ E 1O J9 SUB J pejeooliy UONOCSUBI pajjaduBO IND OVI lt 9 Evi S3009 LOV SW Ld L XIdN3ddV Xipusddy ot Woo ealay MMM 591 uorisueuj euld Joj ajqejieAY eet LOVISILd ON apen perie juejeAInb3 LOV SWLd ON wn Spell pojejsibay K n paulejo Ajjnjsseoons Loy uo pue pajeso je u q sey Jo junoo9e UONISOd e o paubisse si jeu ape JO SIN Lel
22. ade Date Group ID Comm Contract Period Average Price Rnded Price Per Unit Residual Status Strike Account 6 1 Review Details This opens a new window with the details of each trade included in the group This window can also be opened simply by double clicking on the group line on the main screen Trades can be removed from the group from this window simply highlight the trade you wish to remove from the group and click Remove from Group Lentz i gt y DA NO PW AUS Ll ICE Group ID 111 AP Group Detail View of 111 for trade date 2010 12 31 Comm Buy Sell Contract Period Average Price Rnded Price Strike P C Per Unit Residual Total Residual Status B 239 Feb 2011 101 9142678 101 91 4 27 1 020 53 In progress Account Position Account Order ID Deal ID Trader Trade ID EST 3363410 7047994999 bou 8149133 TT REG 44UbUO s 3040 4343 OI43103 d 3 4161463 5872123661 8149191 Remove from Group Li This will remove the Group ID from this particular trade and will update the Trade Review screen accordingly The trade will remain marked for Average Pricing A in Alloc Meth column The Average Price details of the group will then recalculate with the Trade removed 6 2 Complete Group Once the account and position account have been assigned to the the user can complete the group The status of the group will be in a Completed status In this state no furt
23. al Trade ID before trade was split TT Trade Type REG Regular BLK Block Trade EFP Exchange for Physical EFS Exchange for Swap TAS Trade at Settlement CRS Cross Trade MMK 8 30 Minute Marker AMK 4 30 Minute Marker TASB TAS Block Trading Member Member mnemonic Trader Trader mnemonic Opp Member Opposite Member Counterparty for BLK TASB CRS trades Opp Trader Opposite Trader Counterparty for BLK TASB CRS trades ICE Buy Quantity of trade if a BUY Sell Quantity of trade is a SELL Comm The commodity symbol of the underlying instrument Price The price of the trade or premium if an option trade Strike The strike price options only for the trade P C Put or Call options only Price Ind Price Indicator Final Price is Final No Price is not final Populated for AMK MMK TAS TASB Contract Period The expiration month or date for the commodity Deal ID Unique identifier for trade Orig Order ID Original Order ID when transaction was entered Filled Order ID Order ID associated this part filled order Account The account assigned to the trade Editable field Position Account The position account assigned to the trade Editable field Alloc Method Allocation Method Editable field enter G to Give Up trade or A to include trade into Average Price Group Group ID Average Price Group ID in which the trade is to be included in Dest Member Destinatio
24. an change this quantity and enter the desired quantity to be assigned to a specific account or they can update the Destination Member to another Member This will mark that part of the split to be given up once the split is saved Alternatively enter a quantity on the second line of the edit box please note that the new quantity must be less than the total quantity of the original trade the top line quantity will automatically reduce by this new amount so the total quantity remains the same The Dest Member Dest Acct and Dest Pos Account will default to what the original trade had entered but these can be updated to whatever is required ICE PTMS User Guide v1 0 22 March 2011 Page 22 LL A A A NA am C e W V V W 1 wa C e a Ol PA ICE CLEAR EUROPE Multiple Allocation Trade ID 7136231 Trade Date 2011 01 11 16 18 59 Account TESTOPPACC Position Account H Trader XXX Contract Period Mar 2011 Price 62419 PutiCall Strike Memo TradetextMU4AJCGKA3C QTY Dest Member Dest Acct Dest Pos Account Dest Text TESTOPPACC RUDI8 TESTOPPACC GIVEN UP 123 Lots to be Allocated Buy O Sell O CLEAR ROW CANCEL If the user makes a mistake they may highlight the row and click the Clear Row button This will remove only that row of allocation and the removed quantity will be added back to the top row quantity Clicking the Cancel butto
25. ared Transactions Contract Period Strike Trading Member Commodity AAA B eee 169016 Mar 2011 l AAA jan pi nm 166352 Mar 2011 L E XXX een Xxx 15768 Mar 2011 XXX XXX G 15840 Mar 2011 J XXX xxx T 90831 u Mar 2011 XXX Be TT 90666 Mar 2011 j XXX YYY ETE ANANA A Mar 9044 YYY The trade summary screen also allows a user to refine the search by using the filter criterion in the query pane on the left side of the screen Trade summary can be filtered by Commodity Futures Options Trader Original Order ID Strike Account or Put Call Select the desired filter criteria from the drop down menus and the data will be automatically filtered by your choice To clear the filters click the Reset to All selection on the filter pane 4 Transfer Review Screen This screen allows the selected Member user to review accept challenge or create a transfer for top day clearing After accessing this screen the user can filter criteria to focus their search to a specific set of transactions or they can review all transfers that have been created by their associated Members or by other Members that are transferring to the selected Member 4 1 Transfer Review Filter Criteria The user can filter the transfers by any combination of the following characteristics Commodity The commo
26. automatically mark the trade as an average price participant CA in the Alloc Meth column and assign the trade s to the group specified N Trade Review Group Review Previously Cleared Transactions Account Buy TESTOPPACC H 100 6209 B TESTOPPACC H 100 62 05 B TESTOPPACC H 100 62 07 B TESTOPPACC H E When the Group ID has been added it will create the Average Price Group ready for review and submission to ACT These Average Price Groups can be viewed in the Group Review screen PLEASE REFER TO GROUP REVIEW SCREEN SECTION FOR FURTHER INFORMATION 6 Group Review Screen The Group review screen allows the Clearing Member user to review modify and manage Average Price groups that have been created from the Trade Review screen This screen will display all Average Price groups that have been assembled by the user and show the status of the group The screen also allows the user to review and remove individual components of an average price group and to submit groups to ACT for give up LANARAN tia a 1 my A A YA I C e www theice com IM ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on PROD TEST EU DER PTMS Print Help v Static Search Current Clearing Date 2010 Dec 31 Discard Unsaved Changes Save Default Trade Summary Transfer Review Trade Review Group
27. change X e Allocation Method Indicator that identifies a transaction as being part of an average price group A or give up transaction G Allows for editing of previously cleared outright transactions e Destination Member The destination member assigned to a trade or transaction Allows for editing of previously cleared outright trades e Destination Account The destination account assigned to a trade or transaction Allows for editing of previously cleared outright trades e Destination Position Account The destination position account for a trade or transaction Allows for editing of previously cleared outright trades e Group ID The group id associated with average price transfer only applicable to APTs grouped and calculated by PTMS e Opp Member The member on the opposite side of the transaction transfers only e Opp Trader The trader on the opposite side of the transaction transfers only e Transfer Type Description of the transfer type POS iton APT Average price transfer REV ersal ADJ ustment e Orig Trade ID Original Trade Id the original trade id associated with the underlying PTMS trade available for transfers of previous day trades Memo The original memo assigned to the transaction User Text The user text associated with the transaction e Give up Memo The give up memo associated with a giveup transaction Give ups only 7 2 Reversing a previously cleared Positio
28. creen ready to Accept or Challenge ICE 4 3 Accepting Position Transfers Ifa Member is the recipient of a position transfer that they agree whether it is from another Member or an in house account transfer the user must check the Accept box for it to clear The user can adjust the filters to display To transfers only This will limit the transfers displayed to just those where the user s selected trading member needs to accept or challenge After the transfer has been accepted the new status will be MAA Matched Allocated and Accepted If the transfer did not already have the correct account information this can be updated before or after the transfer is accepted they must click the SAVE button to finalize the change It should be noted that transfers cannot be split between different accounts If the transfer was accepted erroneously the user will still have the option to challenge And the alternative applies if the transfer is challenged by mistake the option to accept is still available Ir Transfer Review j ai elen Trading Member x CH Sa sss During the Early Transition position transfers will not require Clearing House formal approval However the Transfer Review screen will be monitored throughout the day and should a position transfer require additional margining ICE Clear Europe reserves the right to issue an intraday margin call as per current operational procedures 4 4 Challenging Position
29. de v1 0 22 March 2011 Page ICE If the user has a specific set of filters that they use on a regular basis it is possible to create a new Filter tab with only the criteria the user wishes to display This is achieved simply by clicking the New button at the bottom of the pane this will open a pop up Input window where a name for the new tab must be entered Once entered and clicked OK the user will then be able to select which filters they would like to display in this tab _ Commodity _ Contract Period _ PutiCall Strike Account Price Range vi Opp Member vi Group ID vi Transfer Type From To Select All Clear All Delete Template Save L The order in which the filter options are clicked will be the order in which they are displyed in the new filter tab first clicked will be at the top of the list If the user changes their mind at this stage they can simply click on Delete Template which will abort the filter tab creation Otherwise when the filter options have been selected the user must click Save and the tab will be created 2 4 Screen Navigation All PTMS screen navigation is similar and can be managed by using the buttons at the top right of the screen and the filter criteria on the left side of the screen Use the scroll bar at the bottom of the screen to view additional columns 2 4 1 Sort To sort the data displayed simply click on any of the column headings A
30. dity referenced in the transfer e From To Signifies the direction of the Transfer i e if From then Transfer has been created by the selected Member if To then the Transfer needs to be Accepted or Challenged by the selected Member e Opposite Member The opposite member that the transfer is either going to or coming from e Transfer Type The type of transfer represented by the line item displayed ADJ ustment REV ersal POS ition e Account The account associated with the transaction Trade Status The current status of the transaction e Contract Period The Expiry date of the commodity involved Strike The strike price for option transaction Put Call The put call of the option transaction Price Range The price ranges low and high for transfers or adjustments PTMS will display all transfer trades that meet the filter criteria entered For each transaction the following information will appear ICE Trader Defaults to Member Trading Member The Member selected to Transfer the position from Long Short Quantity The quantity and side of the transfer From To The relative direction of the transfer To will be displayed for transfers to your selected trading member From will display on those transfers that you have created Trade Date The date of the transfer defaults to current business day Comm The commodity symbol of the underlying instrument Contract Period The expiration mont
31. e lines After all lines are selected enter an A in the column header and click the APPLY button at the top of the menu This will place an A on all of the selected trades After the trades have been marked click SAVE to finalize the changes Account Position Accou TESTOPPACC TESTOPPACC restore 5 LL TESTOPPACC EREGI Trades cannot be split after they have been marked for average pricing ICE Unable to Split fey OR Allocation marked for Average Pricing cannot be split When a trade is marked for average pricing the following fields will become uneditable as they only apply to trades marked for Give Up Dest Member Dest Acct Dest Pos Account GiveUp Memo Trades may be marked as Average Price eligible when the order is created from the front end trading platform These trades will appear in PTMS as marked for average pricing i e the Alloc Meth column will be populated with A The AP Group ID to which the trade is intended to be part of can also be specified via the front end trading platform which will reflect in the Group ID column in PTMS Trade Review screen Users can unmark trades that have been marked for average pricing by simply removing the A in the Alloc Meth column and clicking the Save button This action this will also remove the group ID if one had been entered The user can mark trades for inclusion to an average price group by entering a Group ID on a trade This will
32. e to give up previously cleared transactions in the same way as you would a top day trade All the same columns are available to enter Give Up details Dest Member Dest Acct Dest Pos Account and Give Up Memo When a Previously Cleared Transaction has been marked for give up and saved it will pass the trade through to the ACT system for further processing 8 System Alerts PTMS administrators have the ability to send alert messages to users of the PTMS system These messages are displayed on the screens to notify the user about PTMS news information or notifications concerning ICE Clear Europe Two distinct message types can be sent by the PTMS administrator Informational and Emergency 8 1 Informational Alerts The informational message alert is a small balloon message that appears in the lower right corner of the PTMS screen These alert messages will not restrict usage of the PTMS ICE screens The information contained in the alert is sent to notify the user of non critical updates regarding PTMS or ICE Clear Europe Message A a Online Connected Memory 02 18 11 11 01 The user does not have to react immediately to this alert The alert message will stay fixed in the bottom right corner of the screen until the user clicks on the alert Clicking on the alert will delete the message If more than one message alert appears they will appear sequentially starting at the bottom of the page As each alert is acknowledged
33. etrieve data for display After the data has been displayed no new rows of data will be displayed onto the screen If additional rows meeting the criteria selected become available the rows will not dynamically update in the current view The user can monitor if new rows are available by looking at the counter provided in the lower left corner of the PTMS screen This will show the current number of rows displayed and the number of rows that meet the filter criteria from the previous search Status 280135 Records displayed Queued 0 The user must click the search button to retrieve those additional rows Also in this status certain actions will cause a refresh to occur If a user moves from one screen to another by navigating through the tabs the new screen displayed will refresh to display the latest set of trades meeting the filter criteria 2 5 2 Static Search OFF When the static search button is OFF the checkbox is blank all screens will dynamically update with new trades for the selected Member that meet the specified filter criteria selected by the user ICE Mi ICE CLEAR EUROPE Se Trada Mansannmant Syst 2 5 3 Inactive Trades In all cases whether the Static Search is set to on or off trades that have been split and no longer available for post trade management will remain on the screen with a dark grey background This shading indicates that the trade is now inactive and updates can no longer be made to it
34. g Member Member which the transfer is From Original Trade Date Opposite Member Member who the transfer is To Quantity long or short Commodity Contract Period MMM YYYY or DD MMM YYYY P C flag Options only Strike Options only Price Account from which you desire the position to be transferred Position Account from which you desire the position to be transferred User Text Opposite Account if Known Opposite Position Account if known Opposite User Text After the information has been entered the user must click the ADD button to add the information to the main entry pane ICE PA ICE CLEAR EUROPE Add Position Transfer Firm YYY User rudifirm Trading Trade Opp Contract Position User Opp Exchange Member Date Member Long Short Comm Period PIC Strike Price Account Account Text Acct Opp Pos Acct Opp User Text Ip mar 2011 e Leier 2011 01 11 poor y 100 e 92 52 EXAMPLE2 H user manual2 le heet 100 E 9252 EXAMPLE user manual RUDI 8 a F 00 2011 ae 9252 EXAMPLE muwu wr Once the desired transfers have been added to the entry window they can still be edited by simply clicking in the cell you wish to update and then make the correction The edit line will retain the information entered If the user wishes to add more position transfers they can edit any or all of the fields for the new entry If they wish
35. g indicates that the trades have been altered but the data has not been saved to the PTMS database To highlight multiple non contiguous rows the user can hold the Control Ctrl key and left mouse click on the relevant to update Each row will be highlighted as they are selected After the trades have been selected and data entered into the edit boxes located in the header of the rows the user must click on the Apply button located on the toolbar above the data display panel to apply these changes to the selected rows ICE PTMS User Guide v1 0 22 March 2011 Page 20 L VAN LIRAINA A A nO Ce www theice com FB ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on UAT EU Ea lx PTMS Print Export Help vw Static Search Current Clearing Date 2011 Jan 11 Default TEST Trade Summary Y Transfer Review Trade Review Group Review i Previously Cleared Transactions pe Reset io All Trade Information s Account Position Account Alloc Meth Group ID Dest Member Dest Acct Dest Pos Account A Filled Order ID Giveup Geer L L G L D 5361330329 RUDIS U AY RUDI3 H eem 5361330329 RUDM H H D 5361330329 RUDI1 H 5361330329 RUDI2 H Deal ID I ag 25 an LY 5361330329 TESTOPPACC
36. h or date for the commodity Strike The strike price options only for the transfer P C The Put or Call designation options only for the transfer Price The price of the transfer Account The account assigned to the transfer editable field Position Account The position account associated to the transfer adjustment Opp Member The opposite trading member associated with the transfer adjustment e Transfer Type A description of the type of transfer POS ition REV ersal ADJ ustment e Status The current status of the transfer UA Unmatched Allocated MAC Matched Allocated Challenged by receiving Member MAA Matched Allocated Accepted by both parties CNL Cancelled by creating Member e Created Date The date the transfer was entered into PTMS e Orig Trade ID Original Trade Id the original trade id associated with the underlying PTMS trade available for transfers of previous day trades e Trade ID The trade ID associated with the transfer a unique id for the line item displayed e User Text The user text that has been added to the transaction For each line item three fixed checkboxes appear on the left side of the screen The column headings are A Accept C Challenge and CXL Cancel These checkboxes can be active depending on the current status of a transfer and the role the Member has regarding the transfer on each line If the selected Trading Member is the receiving entit
37. her trades can be added to group The group can now be submitted to ACT by selecting the Submit button 6 3 Submit Group When the group is ready to be submitted to ACT for further processing the user will need to add an Account and Position Account to the AP Group and click Save the option to Submit will then be available Simply highlight the group line and click the Submit button When an Average Price Group is initially created it will have a status of I In Progress this will update to S Submitted after the Submit button is clicked When the group is in S status no trades can be added or removed from the group 6 4 Open Group A group in a Completed status can be reopened by selecting the Open button Once the group is reopened the user can add trades via the Trade Review Screen or remove trades by selecting the Review Details button If the group is Submitted in error the user will need to access ACT in order to re open the group Please see ACT User Manual for further information Whether the Group has been submitted or is still in progress it will remain on the Group Review screen for TWO days Ce www theice com 7 Previously Cleared Transactions See demo here The Previously Cleared Transactions screen allows the users to review and manage trades from the previous TWO business days This utility will allow the users to correct and adjust trades that may have cleared in the i
38. ice middle office system Further management of the give up can be done via ACT ICE www theice com Through this screen users have the ability to mark trades for give up or review trades that have already been marked for give up When marking for give up the user can also add the following information e Dest Member e Dest Acct e Dest Pos Account e GiveUp Memo As soon a trade that has been marked for give up Is saved no further action can be taken on this trade via PTMS It must now be managed via ACT Marking a trade for Give Up To mark trades for give up the user must highlight the trade to be marked and in the Alloc Meth Allocation Method column the user must enter G Give up This will identify the trade as being marked for give up The user must then click the SAVE button and PTMS will create a corresponding message for ACT To mark multiple lines for give up highlight a series of lines by simultaneously pressing Ctrl and individually selecting the lines After all lines are selected enter a G in the column header edit field and click the APPLY button This will place a G on all of the selected trades After the trades have been marked click SAVE to finalize the changes Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions Trade Information 4715082 4715082 4196016 4196016 3852631 3852631 1933520 Marking Trades with Destination
39. inating Side Opposite Sides Orig Trade ID 7138042 Opp Qty OppMember Opp Acct Opp Pos Acct Opp User Text _ Side 56 OOK TEST NH USERMANUAL Add Remove Comm 56 l XXX l TEST l H l USERMANUAL Contract Period Mar 2011 Strike 0 Price 8525 Account Position Account H _ Trade Date 2011 01 11 User Text Opposite Sides Total Quantity 56 Submit Cancel The user must enter the corrected information onto the top entry line they must then click ADD button The new transfer details will appear in the lower pane If the user has made adjustment to the entire trade Originating side quantity is equal to opposite side quantity The user must click SUBMIT to create the adjustment This action will create two transactions An identical transaction as the originally cleared transaction Buy Sell side will be reversed will be created as well as a new transaction with the updated information will be created These new transactions will appear on the Transfer Review screen for additional management If the trading member was modified a new transaction claiming the new member will also be generated If the trading member on the transaction has not changed the user is changing the account or position account on the trade the transfers will automatically be matched allocated and accepted when reviewed on the transfer review screen If the user wishes to modify a portion of a previously cleared
40. layed for each transaction are as follows Trade Date The trade date of the transaction Trading Member The trading member that cleared the transaction From To The relative direction of the transfer To will be displayed for transfers that are for the selected Trading Member to receive From will display on those transfers that the user has created Buy Sell Quantity The quantity and side of the transaction Comm The commodity symbol of the underlying instrument Contract Period The expiration date for the commodity Strike The strike price options only for the transaction P C The Put or Call designation options only for the transaction Price The price of the trade or transfer Rounded Price For average price Transfers the rounded price of the transaction This price is the price at which that the transfer will clear Unit Residual For APT transfers calculated by PTMS The residual value per contract for the transfer Account The account assigned to the transaction editable field Position Account The position account that was recorded on the cleared transaction Trade ID The trade ID associated with the transaction a unique id for the line item displayed Trade Type A description of the type of transaction Regular Trade Transfer Average Price Transfer ICE e Trader The trader mnemonic associated with the transaction e Source The source of the original transaction Electronic E Off Ex
41. n Member This field is used for give ups The user can specify here which Member they want the trade to be given up to e Dest Acct Destination Account For Give Ups only The user can specify here the recipients Account Reference to be applied to the trade e Dest Pos Account Destination Position Account and is used for give ups only The user can specify here the recipients Position Account to be applied to the trade e Giveup Memo Free text field in which a memo can be added to the trade being given up e Trade Date Date and time the trade was created YYYY MM DD HH MM SS e Last Update Time Date and time the trade was last amended YYYY MM DD HH MM SS e Last Update User Specifies the username of the last person to update this trade Entering Trader ID Defaults to Trading Member mnemonic User Text Free text field to add any additional information about this particular trade e Status The current status of the trade Will either be MAA Matched Allocated Accepted or CNL Cancelled e Memo Un editable free text field brought through from the front end trading platform e Spread Ind Spread Indicator Specifies if the trade is a leg of a spread trade YES or NO e Source Origin of trade E Electronic X Off Exchange e g Block Trade e Aggressor Ind Y Yes if the trade hit or lifted resting orders N No if the trade was a resting order and was hit or lifted 5 1 Single Line Update T
42. n Transfer See demo here If the user has identified a transfer that must be reversed the user must highlight the transaction and click the action button along the menu bar at the top of the screen titled REVERSE This action will cause PTMS to display a confirmation window as shown below PB ICE CLEAR EUROPE Reversal Transfer gt This action will reverse the selected transaction Trade ID 7138463 Opposite Trading Member YYY If the user wishes to continue clicking OK will create a transfer that can be viewed in the Transfer Review screen with Transfer Type REV the opposite party will then need to accept this transfer for it to clear or challenge if they do not agree the reversal To return to the screen without creating the reversal transaction the user can press CANCEL No additional transfers will be created if the user has clicked the cancel button ICE 7 3 Create an Adjustment If the user has isolated a previously cleared transaction that was cleared in error and needs to be corrected the user can select or highlight the trade and click MAKE ADJUSTMENT This will launch a new window with details of the selected trade displayed in the left portion of the panel Originating side The user has the ability to modify any of the following modifiable fields Quantity opposite member opposite account opposite position account and opposite user text MM ICE CLEAR EUROPE Create Adjustment Create Adjustment Orig
43. n arrow will appear on the sorted column indicating the sort direction The first click in a column heading will sort all trades in ascending order A second click on the column will sort the data in descending order Data can be sorted by any of the visible columns Trade Information Trade ID A Parent Trade ID Trading I Wel 2 4 2 Column Location and Size The location and size of each column on all PTMS screens can be tailored to suit each user s personal preference To move a column left click on the column header and hold the mouse button down drag the column to the desired location and release the mouse button ICE ES ni OUNI To resize a column place the cursor on the edge of the column heading until a double headed arrow appears At the appearance of the double headed arrow click the left mouse button and hold it then extend or contract the column width by moving the mouse right or left Column locations and sizes are automatically saved when they are moved or resized 2 4 3 Print The data displayed can be printed by selecting Print from the toolbar above the search criteria panel There are two options for printing print screen and print table Print screen will print the data currently displayed and any search criteria used to return the data set The print table selection will print the data set only but not the search criteria Use page setup to change the page type size and printer designations
44. n will discard all changes and return the user to the Trade Review screen After the split has been processed the original line will remain in view on the screen it will be highlighted in black to indicate that it is no longer available for modification A refresh of the screen will remove the record from the screen L 713623 XXX 100 B 62 19 A A AO After the refresh the new splits will appear as new trade lines in PTMS reflecting the updates that were input via the Split Multiple Allocationns window The Parent Trade ID column will be populated with the Trade ID of the original trade and the resulting splits will be given new Trade ID s DetTault E ade ormatio I Account Positi Alloc Meth Dest Member Dest Acct Dest Pos Account Giyeup Memo Ee 7137554 7136231 5 6219 B TESTOPPACC U GIVEN UP 123 ET 7137553 7136231 20 62 19 P RUDIS H i Pe 7137552 7136231 75 62 19 B TESTOPPACC H T Trades that have been marked for Give Up can no longer be managed via PTMS The user must access ACT to manage this trade further Trade marked for Average Pricing can also not be split the user must remove the Average Price Indicator Alloc Meth A from the trade before it can be split 5 4 Give Up Functionality The allocating user can give up a trade by either marking the trade for give up via PTMS or via FIXML give up API messages through use of a Member s back off
45. ncorrect account position account combination In particular it allows the user to rectify any trades that cleared into the Default Position Account D Trades from this screen can also be given up or added to average price groups ML ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on PROD TEST EU PTMS Print Export Help y Static Search Current Clearing Date 2010 Dec 31 eur team Default Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions pc Resetto All Previously Cleared Transactions PIC Price Rnded Price Account Position Account TT Trader Source loc Meth Group ID pp Membe Transfer Cleared Date H E 2010 12 30 D H E Commodity H E All yi H E Trader H E All gt H E Transfer Type H jan w w Trade Date H E a EJ H E Contract Period H E All D H E Trade Type d jan vi Source i 7 1 Search for Previously Cleared Transactions PTMS will have the two previous business days of trades available to choose from The user MUST select the Cleared Date he she wishes to review and then click the Search button PA ICE CLEAR EUROPE Post Trade Management PTMS Print Export Help
46. o update a single line select the trade record by placing the cursor anywhere on the line and click the left mouse button once The line is highlighted and the PTMS user can enter or overwrite data in any of the editable fields Account Position Account Allocation Method Group ID Destination Member and Destination Account Click in the editable cell and begin typing in the information to be updated ICE www theice com PR ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange ALL on UAT EU PTMS Print Export Help Static Search Current Clearing Date 2011 Jan 11 Discard Unsaved Changes sun Save Default TEST Trade Summary Transfer Review Trade Review Group Review Previously Cleared Transactions j Trade Information Search Reset to All Commodity Contract Period Orig Order ID Filled Order ID Account Position Account Alloc Meth Group ID Dest Member Dest Acct Dest Pos an 5361330329 5361330329 RUDI3 RUDI3 H Ss 5361330329 5361330329 RUDI4 la 5361330329 5361330329 RUDI 115361330329 5361330329 RUDI2 n 5361330329 5361330329 TESTOPPACC 2 5361330329 TESTOPPACC 5361330329 536133023 5361330329 All w Source 5361330329 jan y 5361330329
47. order to rectify a trade that is marked for give up by mistake the user must log in to ACT and set the Destination Member back to the original Trading Member In effect the trade gets given up to the original member Please be aware that updates made to any trade made in ACT will not reflect back in PTMS FOR FURTHER INFORMATION ON THE GIVE UP PROCESS PLEASE REFER TO THE ACT USER GUIDE 5 5 Average Price Functionality Trades that are of the same Trade Type Trade Date Commodity Contract Period Side buy or sell can be grouped together via the Average Price functionality If the grouped trades have varying prices PTMS will calculate the average price to 7 decimal places it will also calculate the residual price per lot For the Early Transition only the average price can not be overwritten and thus is the price that the trades will clear at The ability to overwrite the true average is available in the Final Transition The prices are not required to be varied in order to be included into an Average Price Group Trades can be marked for Average Price groups via PTMS or via the API Submission of the Average Price groups can only be done via the PTMS GUI during the Early Transition To mark a trade for average pricing via the GUI the user must highlight the line and enter an A in the Alloc Meth column To mark multiple lines for averaging highlight a series of lines by simultaneously pressing Ctrl and individually selecting th
48. ored to the user s documents folder on the C drive of the user s computer A typical location would be C Documents and Settings username ptms iceclear The location will always be the default location described above If the user has restrictions that require this log file to be written to an alternate location the following actions may be taken After logging into PTMS click the menu item PTMS on the toolbar at the top left corner of the screen Select Preferences and then Change Logfile Location from the drop down menus a ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Ex PTMS Print Export Help Static Search e E Change Logfile Location Default llo Summary Transfer Review Trade Review Group Review PI h Search Resetto All Tra Samay Trader Comm Buy Sell Contract Period Commodity XXX B 165099 XXX B 162867 After selecting Change Logfile Location PTMS will display the current destination where the logfiles are written All x lisal Change Logfile Location Save In My Documents D ill ES DZ ka My Data Sources J My Music Ci My Pictures J My Shapes CH My Videos C SightSpeed Recordings CA WebEx File Name C Documents and SettingsikweiliMy Documents B Files of Type w kees w d et AC Save Cancel Using this window
49. previously accepted transfer to ensure that it is cancelled 4 5 Cancellation of a Transfer If a transfer is created in error the transfer may be cancelled under the following conditions e the transfer has been challenged by the opposite member or e the transfer has a status of UA trade has not been accepted by the opposite member If the transaction is eligible for cancellation the creating firm can click on the record to highlight the transaction then click in the checkbox under the column heading CXL PTMS will display a warning message If the user clicks Yes the status of the trade will be set to status CNL Cancelled If the user clicks No the transfer will be reset to the previous status Cancel Trade No further changes can be made after this transaction is cancelled Are you sure you would like to cancel this transaction ves No 5 Trade Review Screen The Trade Review screen allows a user to review and manage trades that have been executed on the ICE Futures Europe and ICE OTC trading platform selected Member The trades can now be marked for give up split into different accounts or give ups or included in an Average Price Group Through this screen the Account and Position Account can also be added amended on trades which have not been marked for give up The following columns will be displayed under this tab e Trade ID Unique PTMS Trade Identifier e Parent Trade ID Origin
50. ransactions x i Trader Camm Ruw Sali Cantract Pariad Price Strike Pit The screens available are as follows 1 Trade Summary Allows the user to summarise trade activity in various methods and to see trades aggregated in different groups 2 Transfer Review Position Transfer management and creation screen 3 Trade Review Displays all top day trades for the selected Member and management thereof Including trade account management marking for Give Up and Average Pricing 4 Group Review Average Price AP Group management screen From this screen AP groups can be submitted to ACT for Give Up processing 5 Previously Cleared Transactions Displays all T 1 and T 2 trades for the selected Member including defaulted trades Adjustments for Previous and Prior day business can be actioned from this screen After logging into PTMS the user can then select the Exchange and Trading Member combination they wish to view trade details for IOC P TACO anr 7 IAA lt a AN 5 fT Niarnh ZAC d Danna Q l M VI IG Ai iQ V d IVATO d be on AS l VIO USS V u UG V Y L L IV a Gil ICE WWW theic ce com EB ICE CLEAR EUROPE Post Trade Management System for User rudifirm Firm XXX Clearing House ICEU Exchange AL PTMS Print Export Help Static Search Current Clearing Date 2011 Jan 12 Trade Summary Transfer Review Transfer Review Trade Review Group Review Previously Cle
51. to clear the edit line the user can click the Clear button at the top of the window pane next to the Add button This will clear the information entered in the edit line only ICAL ALLL If the user wishes to remove a specific entry from the window the user must highlight the entry line within the transfer entry window and click the Clear Entry button at the bottom of the window This action will remove the entry from the window If the user has entered several transfers and wishes to copy a specific line the user can highlight the desired line and click Copy Entry The information displayed on the line item within the transfer pane will be copied to the edit line The user can modify or edit this entry and click Add to add it to the entry window Copy Entry Clear Entry ancel Create Transfers After the user has entered all position transfers into the entry window they can finalize the creation of the position transfers by clicking the Create Transfers button This will validate the entries and create the new transfers Alternatively if the transfers are suddenly not required the user can simply click Cancel and the transfers will not be created and the Add New Position Transfer window will close Copy Entry The status of these transfers will be initially marked as UA unmatched allocated when viewed by the From Member The To Member will see the trades on their transfer review s
52. y the TO Member initially the A and C boxes will be active If the selected Trading Member is the creator of the transfer the From Member the CXL checkbox will be active Trade summary Transfer Review Trade Review Group Review i Previously Cleare 1 Transfer Review DIOU MICA rading Member Opp Member llo After the user has displayed the transfer transactions on the screen various actions can be taken to affect the transactions ICE 4 2 Create Position Transfer PTMS allows users to create a position transfer from one Trading Member to another This feature can be used to move positions in aggregate from member to member To create a position transfer the user must select Add Position Transfer from the toolbar at the top of the Transfer Review Screen The following window will appear MM ICE CLEAR EUROPE Add Position Transfer Firm YYY User rudifirm Trading Trade Opp Contract Position User Exchange Member Date Member Long Short Comm Period PIC Strike Price Account Account Text Opp Pos Acct Opp User Text A vi ere 2019 01 19 Dd L ei IL kall I yl r 71 Clear Exchange Trading Member Trade Date Opp Member Long Short Comm Contract Period Pic Stri Cancel The user must enter the transfer information in the fields along the top of the window The user must enter the following information for each transfer Exchange Tradin
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