Oracle FLEXCUBE Investor Servicing
Contents
1. Intermediary 1of1 7 Entity Type Entity ID Split Percentage Default B Yez i livery Dtls Beneficiary Details JointHolder Dtis Nominee Dtis Member Dtis Alternate Language Dtls Director Details Document Upload PrevRem Rem Audit Outcome ial Here you can enter the following details Broker Details Section Broker ID From the list select the broker ID preferred by the investor The corresponding information regarding the Broker Name and Parent Broker Name will automatically be populated in the adjoining fields on selection of the Intermediary Broker can be selected by specifying the broker code or the name or part of the name and click on the adjacent option list System will search for Brokers with Broker code or name having the given search string In addition system will have a search option based on the Legacy Code in the option list Split Percentage Specify the percentage of the commission that the selected broker is entitled to receive on any transactions put through for the investor This percentage must not exceed one hundred percent If you specify more than one broker in this section then the split percentages for all brokers when summed up must not exceed or fall below one hundred percent 120 ORACLE 1 1 10 Default Select Yes to identify the broker that is to be reckoned as2. mmm nenea eee eee eee eee 1 20 1 1 18 Nominee Details Tab aurrien ariei eea N a i ia 1 21 1 1 19 Member Details Button nenea eee eee eee 1 22 1 1 20 Alternate Language Details Button ce en nene nene anna 1 23 1 1 21 Documents Upload Button mmm eee eee eee eee eeea 1 23 1 1 22 Submit the Transaction to the Processing Hub mmme nene none 1 24 1 1 23 Acquire the Task for Further processing mmmcce nana 1 24 1 2 Stage 2 Validation and Enrichment Stage cenne nene nenea nea 1 25 1 3 Stage 3 Verification Stage mn nene eee nea neeennaa nanaenaaaaaaaanu 1 25 Function ID Glossary sasi aie asimila a andante aaa da adinutaa aa 2 1 1 1 1 Unit Holder Creation Process The Business Process Execution Language BPEL workflow layer of Oracle FLEXCUBE Investor Servicing FCIS allows you to define a workflow for handling the Unit Holder creation business The front end user interface of this layer allows you to capture details required for the transactions and sends them to FCIS for processing This manual explains the BPEL workflow available in FCIS The stages of the BPEL Workflow for the unit holder creation process are e Initiation e Validation Enrichment e Verification In FCIS a separate menu is provided for the unit holder creation to initiate the BPEL workflow This manual explains the BPEL workflow for unit holder creation This chapter contains the follo
3. tab gt Alternate Language Details Alternate Language Dtis Middle Name First Company Name Authorized Signatory 1 Last Name Authorized Signatory 3 Authorized Signatory 2 Correspondence Address Address Line 2 Contact Person State Address Line 1 City Alternate Address Address Line 2 Address Line 1 State City You can specify the customer details and customer contact details in the desired alternate language Here you can capture the following details First Name Specify the first name of the individual investor in the desired alternate language vet ORACLE Company Name Specify the name of the company for the corporate account in the desired alternate language Middle Name Specify the middle name of the individual investor in the desired alternate language In case of a corporate customer you need to enter the following information instead of the investor name Authorized Signatories Specify the names of any authorized signatories that must be deemed as valid for the company in the desired alternate language Address Lines 1 2 Specify the default postal address that is to be used for correspondence with the investor in the desired alternate language City Specify the name of the city of residence of the investor in the desired alternate language State Specify the state in which the city of residence of the investor is located in the desired alternate language Contact Person Specify the nam
4. and Initials will be defaulted Account Category You can select the account type whether it is Self or Third Party Identification Type Select the identification type from the option list Identification Number Specify the identification number of the identification type If you select the Account Category field as Third Party the system will not verify the third party bank accounts using the details such as Initials Identification Number and so forth FCIS provides the option to capture the bank routing details as well while maintaining the bank details At the time of transaction input the routing details specified here are picked up for the combination of fund transaction type and transaction currency You can specify the following Routing Details ie ORACLE Swift Format Select the format of the Swift message The options are e MT 103 e MT 202 Bank Charged Indicate whether the bank charges must be levied upon the beneficiary the remitter or must be shared between the two Beneficiary Account Category You can enter the following details in the Beneficiary Account Category Section Beneficiary Specify the beneficiary bank Beneficiary BIC Code Specify the BIC Code of the beneficiary bank Beneficiary Address1 3 Enter beneficiary address Beneficiary Account Number Enter the account number of the beneficiary Beneficiary Code Enter the beneficiary code Beneficiary In
5. Once authorized this field cannot be modified Date of Issue Specify the date of issue of the identification document or proof that is furnished by the unit holder The date of issue that you specify here must not be later than the date of opening the account ORACLE Date of Expiry Specify the date of expiry of the identification document or proof It must be later than the date of issue and the application date Place of Issue From the option list select the place of issue of the identification type Once authorized this field cannot be modified Form 60 61 Available If form 60 61 is available select Yes Else select No Tax Exempted You can use this field to indicate that the investor is the recipient of a special exemption from tax Check this box to indicate such an exemption If you have maintained any tax details for such an investor they will be disabled and not used Tax ID Specify the tax identification number or tax ID for the investor You can use this field to capture the PAN Number of the unit holder For any transactions entered into by the unit holder in any fund which involve volumes that exceed the Minimum Amount for Tax ID specified in the fund rules the system validates the availability of the PAN Number Tax Circle Specify the tax circle to which the unit holder belongs Tax Deducted at Source Check this box to indicate that tax must be deducted at source for the investor By
6. Reference Number AMCID il Investor Type Individual AMC Description gt Dealing Type PE UH Category ______Jz Dealing Type Desc a Category Description Fee Category FE Fee Sub Category Fee Category Desc Auth Rep ID Mh Remarks Auth Rep ID Desc First Company Name Unit Holder ID Last Name Middle Name Title O Date Of Birth E Beneficiary Initials Marital Status 22 gt Minor Nof Marital Status i i SS Guardian Name Occupation Ce Occupation Sex AC Operation Type Je Guardian PAN GIR No Account Operation Type Guardian MFIN Guardian Form 60 61 Yes EI Available Relationship Delivery Dtls Beneficiary Details JointHolderDtls Nominee Dtis MemberDtis Alternate Language Dtls DirectorDetails DocumentUpload PrevRem Rem Audit Outcome el You can enter the following details Title Select the applicable title for the name of the individual investor from the list provided If you do not find the option you are looking for in the list maintain the same in the System Parameters Maintenance Screen For further information refer to the chapter Maintaining System Parameters in Volume 1 of Fund Manager user manual Lac ORACLE First Name Specify the first name of the individual investor Middle Name Specify the middle name of the individual investor Last Name Specify the last name of the individual investor
7. Category Description Fee Category Desc Fee Sub Category Remarks Auth Rep ID Auth Rep ID Desc Unit Holder ID First Company Name Individual Dis Corporate Dis Contact Dts ClientPreferences ID Details BankDts Intermediary Dts KYC Details Document Dts Add into A Retated i i Parties Shaw Imane Delivery Dis Beneficiary Details Joint Holder Nominee Dtis Member Dtls Alternate Language Dtis Document Upload Prev Rem Audit Upon clicking the UH Signature tab you will find the following two buttons e Show Image e Delete Image Click on the show image button to invoke the Signature Verification screen Signature Verification CI New 19 Enter Query Signature ID Unit Holder ID Unit Holder Name l 4of1 E SiNo ImageType Signature lmage Input by DateTime Authorized by DateTime Mod No Open Authorized Fen ORACLE In the Signature Verification screen click on Document Upload button to invoke the image upload screen Image Upload Browse pcpodnA In the image upload screen you can browse for the required document or image and click upload button After uploading the document click OK to exit 1 1 14 Related Parties Tab You can link authorized Related Parties entity with unit holder at the time of unitholder creation Click Related Parties tab in the Unitholder Maintenance screen You can link multiple Related parties and add modify or delete the lin
8. Initials The system uses the first character in the First Name and Middle Name of the Unit Holder and displays it as Initials You can however change the initials if required For example consider the investors with names Lee Ann Burrows and Shawn David James Burrows The table below illustrates how the system arrives at the Initials for the above two names First Name Middle Name Last Name Initials Lee Ann Burrows L Shawn David James Burrows SDJ Sex Indicate the gender of the individual investor by choosing either the Male or Female option as applicable The default option displayed in this field is Male and will be considered to be the gender of the investor if you do not select an option Minor Check this box to indicate that the investor is a minor If so you must specify the following as mandatory information for such an investor e The date of birth for the same in the Date of Birth field e The name of the designated guardian in the Guardian field e The relationship of the designated guardian with the investor in the Relationship field Guardian Name Specify the name of the designated guardian for the minor investor Guardian Form 60 61 Available If you want Guardian Form 60 61 to be available select Yes Else select No Guardian MFIN In case the unit holder is a minor and the client country parameter is set to SHOWPANINFO for your bank specify the MF
9. account is displayed here and is non editable If the unit holder account is being created for a CIF account in FCC then the unit holder number will be identical to the FCC account number CIF Number Specify the CIF number of the customer for whom you are creating a unit holder account When you specify the CIF Number the name of the corresponding CIF customer is retrieved from the database and displayed alongside the field Also the default information from the initial unit holder account created for the CIF account is displayed in the fields of this screen You can override any of these if necessary and make necessary specifications A C Opening Date DD MM YYYY Specify the date on which you are creating the account The application date is displayed here by default and will be reckoned as the opening date for the account if you do not specify any other date in this field You can specify an earlier date if necessary Reference Number This is deemed as a unique alphanumeric identifier for the account It could be the serial number that is given on the application form through which the investor has invested in the AMC It could also be any alphanumeric value given by the investor to identify the account AMC Distributor ID Select the code of the AMC Distributor in whose funds the investor wishes to invest from the list provided You capture this information for the purpose of identifying the AMC Distributor to which the unit
10. allow a RAND transaction The system in such a case will raise an error FATF Non FATF Indicate whether the unit holder resides is a FATF Financial Action Task Force or a Non FATF country Place of Birth Enter the place of birth of the investor This is mandatory if you have not specified the Tax ID Country of Birth From the list select the country of birth of the investor This is mandatory if you have not specified the Tax ID For further details please refer Client Preference Tab section in Managing Investor Account Chapter in Entities User Manual 1514 ORACLE 1 1 7 Identification Details Tab In this section you specify details of any identification provided by the investor You also indicate the applicability of tax being deducted at source for the investor and the required tax details Click on ID Details tab Unitholder Maintenance lal Save Hold Workflow Ref No Priority Low x CIF Number AIC Opening Date c Find UH Reference Number mo W Copy OF Investor Type Individual AMC Description Dealing Type a UH Categori a Jal Dealing Type Desc 2 Category Description 2 Fee Category C h Fee Sub Category A Fee Category Desc Auth Rep ID 22 Remarks Auth Rep ID Desc 9 First Company Name Unit Holder ID Individual Dtls Corporate Dtis Contact Dtls Client Preferences IBEBIGEI Bank Dtls Intermediary Dtls KYC Details Document Dtis Add info UH Signature Rela
11. assigns the BPEL process to your User ID You can perform the following activities in the Initiation stage e Enter the unit holder details It is not necessary to enter all the details during the first stage e Put the unit holder creation process on Hold if you want to continue at a later stage To put the process on Hold select Hold under Actions menu e Select Approve and save the record to proceed to the next stage If you Reject the first stage and save the system terminates the task 1 1 2 Invoke UH Maintenance Screen for Stage 1 You can invoke this screen by typing UTDUHBOT in the field at the top right corner of the Application tool bar and click the adjoining arrow You can specify the following fields in this screen Workflow Ref No The system displays the reference number of the workflow You can specify the following details in this screen Unitholder Maintenance H save M Hoia Workflow Ref No Priority Low CIF Number AIC Opening Date B Reference Number mco A Copy CIF Investor Type Individual AMC Description Dealing pe hz UH Category Jal Dealing Type Desc P Category Description P Fee Category az Fee Sub Category E Fee Category Desc Auth Rep ID LEI Remarks Auth Rep ID Desc i First Company Name 1 Unit Holder ID ELE Corporate Dtls Contact Dtis Client Preferences ID Details Bank Dtis Intermediary Dtl
12. default this box is checked indicating that tax is reckoned to be deducted at source You can uncheck it if necessary If you check this box and indicate that tax must be deducted at source then you must specify the following mandatory information e The tax ID of the investor in the Tax ID field e The tax circle that corresponds to the investor in the Tax Circle field e The tax category that corresponds to the investor in the Category field EUSD Option The EUSD European Union Savings Directive option gets defaulted based on either the unit holder s county of domicile or the segment level default EUSD option However you may change this value if required If EUSD option is not applicable at the segment level then you will not be allowed to specify any option here Tax Certificate Expiry Date DD MM YYYY Specify the date on which the tax certificate expires It is mandatory for you to specify the expiry date if you chosen Tax Exemption Certificate as the EUSD option UH BIC Code Enter the Bank Identification Code BIC of the unit holder in case of financial institutional unit holders 118 ORACLE 1 1 8 MFIN Specify the MFIN details of the unit holder provided the client country parameter is set to SHOWPANINFO for your bank You will however not be allowed to enter the MFIN details if the unit holder is a minor Recover CGT Check this option if the tax on capital gain has to be deducte
13. holder belongs and in whose database the unit holder account will reside Investor Type Indicate whether you are creating an account for an individual investor or a corporate one by checking the appropriate radio button Dealing Type Indicate whether the investor wishes to deal with the AMC either directly as self or through a designated authorized representative by choosing the appropriate option from the drop down list re ORACLE 1 1 3 If you choose the authorized representative option here then you must specify the ID of the designated authorized representative in the Auth Rep ID field as mandatory information for the account If you are maintaining a depositary as a unit holder in the system you must select the dealing type as Depositary Auth Rep ID For investors dealing through authorized representative select the ID of the preferred representative using the list button alongside Fee Sub Category From the list provided select the fee subcategory to be deemed applicable for the investor whose account you are creating Remarks Specify any narrative or descriptive text if any concerning the account First Company Name In this field indicate the reasons for which the account is being created if necessary Individual Details Tab Click on the Individual Details tab unitholder Maintenance e H save lt i Hold Workflow Ref No Priority Low CIF Number AIC Opening Date E
14. IN details of the unit holder s guardian here Marital Status Indicate the marital status of the individual investor by choosing either the Single or Married option as applicable The default option displayed in this field is Single and will be considered to be the marital status of the investor if you do not select an option i ORACLE A c Operation Type Indicate the manner in which the investor wishes to operate the account from the options in the list provided The investor may choose to operate the account in any of the following ways e Single e Joint e Either or Survivor If you choose the Joint option then you must specify the name of at least one of the preferred joint unit holders in the Joint CIF Details section in this screen you are also allowed to specify the details of the joint account holders in the Joint Unit Holder Details screen which can be invoked by clicking the Joint Unit Holder Details hyperlink which appears once the Joint option is selected You can modify the account operation type after authorization Occupation Indicate the occupation of the individual investor by selecting the applicable option from the list provided Father Spouse Name Specify the name of the father or spouse of the individual investor Date of Birth Specify the date of birth of the investor Although you need not specify this as mandatory information for non minor investors it is recommended that you do so You must sp
15. Level Mandatory Select the reporting level from the list The following are the reporting levels e A All Reports e C Contract notes and trade acknowledgement tar ORACLE e V Valuations and statements e N No Reporting Preferred Mailing Mode Mandatory Select the preferred mailing mode from the list The following are the preferred mailing modes e Mail e E Mail e Fax e SWIFT Link Notes Optional The link notes stores free format text which is used to explain the reason for linking the entity with the unit holder Note Related Parties are captured for informational purpose only and no processing impact is associated 1 1 15 Delivery Details Button Click on the Delivery Details tab Delivery Details Delivery Details 10f1 Account Name Account Number UH AIC Type Default Custodian Clearing Agent _ hd Here you can enter the following details e UH A c Type e Custodian Clearing Agent e Account Number e Account Name e Default Jah ORACLE 1 1 16 Beneficiary Details Button Click on the Beneficiary Details tab Beneficiary Details Beneficiary Details 10f1 Beneficiary ID Beneficiary Type Beneficiary Name Date Of Birth Gender ID Type ia Primary Male Here you can capture the following details Beneficiary ID If the beneficiary is an existing unit holder you can invoke the Find Options screen to specify the
16. UH Creation Process User Guide Oracle FLEXCUBE Investor Servicing Release 12 1 0 0 0 Part Number E67272 01 October 2015 ORACLE UH Creation Process User Guide October 2015 Oracle Financial Services Software Limited Oracle Park Off Western Express Highway Goregaon East Mumbai Maharashtra 400 063 India Worldwide Inquiries Phone 91 22 6718 3000 Fax 91 22 6718 3001 www oracle com financialservices Copyright 2007 2015 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 inher
17. a Aod Workflow Ref No Priority Low gt CIF Number AIC Opening Date E Reference Number ANC ID i Investor Type Individual ANC Description ie Dealing Type a UACategon fal Dealing Type Desc 9 Category Description 2 Fee Category O H Fee Sub Category las Fee Category Desc Auth Rep ID i Remarks Auth Rep ID Desc 2 First Company Name Unit Holder ID Individual Dtis Corporate Dtis Contact Otis leiigeeuttsy ID Details Bank Dtis Intermediary Dtls KYC Details Document Dtis AddInfo UH Signature Related Parties Mandatory Nationality PE Preferred Currency i Nationality Base Currency Desc Country Of Domicile PE AC Statement Currency a Country Of Domicile E Acent Simt Currency Preferred Language 22 AIC Statement Frequency i Preferred Language Desc Account Statement Frequency Resident Status H mme fd p Resident Status 7 Account Type o Redemption Payment a Preferred Mailing Mode Lil Redemption Pymt Default Preferred Mailing Mode Dual Nationality H NRI Nol Dual Nationaliy Substantial Stay in US nd b tional p Registration Name Check Writing Facility Yes E Pay by FEDWIRE ACH No Telephone Redemption Yes Apply Indexation on CGT Delivery Dis Beneficiary Details JointHolderDtls Nominee Dils MemberDtls Alternate Language Dts Director Details DocumentUpload Prev Rem Rem Audit You can enter the following detai
18. ame Date Member details were Contributory transferred Employee Retirement Age Date of Retirement Date of death Cause of Death Area Code Here you can enter the following details Date member became contributory DD MM YYYY Enter the date on which the investment account was created i e the date on which the investor made the first contribution towards the retirement plan tas ORACLE 1 1 20 Date member details were transferred DD MM YYYY If the retirement account was transferred from a different AMC then specify the date of account transfer Employee retirement age Specify the age that will be considered as retirement age for this unit holder Date of retirement Based on the retirement age specified for the investor system derives and displays retirement date in this field Date of Death DD MM YYYY lf the unit holder is deceased enter the date on which the unit holder died Cause of death If the investor is deceased then specify the cause of death here Area Code If the unit holder is deceased select the area code of the unit holder s residence from the available list of values The list displays all the values maintained for the parameter AREACODE in the Parameters Maintenance You are allowed to invoke the Member Details screen only if the client country parameter RETIREMENTCHK has been set to true for your bank Alternate Language Details Button Click on the Alternate Language Details
19. d from the transaction Redemption Transfer and Switch Bank Details Tab In this section you specify details of any bank accounts operated by the investor which are preferred for transacting with the AMC Click on Bank Details tab Unitholder Maintenance IEI save Aroa Workflow Ref No CIF Number AIC Opening Date E Reference Number ANIC ID E Investor Type Individual AMC Description e DealingTipe___ f UH Category C H Dealing Type Desc Category Description Fee Category Y Fee Sub Category Fee Category Desc Auth Rep ID Remarks Auth Rep ID Desc First Company Name Unit Holder ID Indvidual Dts Corporate Dis Contacts Client Preferences 1D Detais EERE Intermedia Dis KYC Deals Document Dts Add Info UH Signature Related Parties tof 1 gt H Fund ID Default Yes Transaction Type Direct Debit Applicable No gt Bank i Branch Bank Details Account Type Account Name Account Type Description Account Currency Account Number Account Currency Description Param Value Self Initials Last Name IdentificationNumber Relationship IBAN Delivery Dils Beneficiary Details JointHolderDtls Nominee Dtls MemberDtls Alternate Language Dts Director Details DocumentUpload Prev Rem 7 Outcome iv For each bank account in each currency specify the following details Fund ID Select the ID of the fund Transaction Type Select the type of transaction T
20. d 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 1 2 Table of Contents Unit Holder Creation Process seccceesseeeeeeeeeeeeeeeseeeeeeeeeeeeseeeeeeeeenees 1 1 1 1 Stage 1 Initiation Stage oe eee ee cenee cence ana naa e aae enaaaaa nana 1 1 1 1 1 Steps in the Initiation Stage nenea nenea ana aa aaa 1 2 1 1 2 Invoke UH Maintenance Screen for Stage 1 mmm eee 1 2 Lra Individdal Details Tai sms cin rats ao mata a a ri asd ied vines ratia 1 3 1 14 Corporate Details Tab 3e npt seis Bashar ied a 3000 a d os d a o aa a 1 5 1 1 5 Contact Details Tab nsii nenea eee aaa mean men 1 6 1 1 6 Client Preference Details Tab nenea nenea en one 1 8 1 1 7 Identification Details Tab sussistono a eee ia 1 11 CLE Bank Details Tabasco tr a tt ith oie eee tees 1 13 1 1 9 Intermediary Details Tab eoriou ienaa A REAREA nenea 1 15 1 1 10 KYO Details Tabara sivas wives nse Die a ane ee 1 16 7 1 11 Document Details Tab orcsoun er eeaa 1 17 1 1 12 Additional Information Tab nene nenea nenea eee eee eee 1 17 1 1 13 Unit Holder Signature Tab nene eee nenea ana aaaa 1 17 11 14 Aelated Parties Tai sas betes a oua a tesa eee 1 18 1 1 15 Delivery Details Button eee eee nenea eee eee 1 19 1 1 16 Beneficiary Details Button mmm nenea eee eee eee 1 19 1 1 17 Joint Holder Details Button
21. desired unit holder by using the search criteria Else specify the same Beneficiary Type Specify whether the beneficiary is a primary or secondary holder Beneficiary Name Specify the name of the beneficiary Date of Birth Enter the beneficiary s date of birth Gender Specify the gender of the beneficiary ID Type Select the identification type of the beneficiary from the drop down list If the beneficiary is a valid Unit Holder the identification type will be displayed ID Number Specify the identification number of the identification type of the beneficiary If the beneficiary is a valid Unit Holder the identification number will be displayed Relation Specify the relationship of the beneficiary with the unit holder If the beneficiary is a valid Unit Holder the relationship will be displayed Award Specify the percentage of the unit holder s holdings that belongs to the beneficiary The award should sum up to 100 1529 ORACLE 1 1 17 Address Specify the contact address of the beneficiary IBAN Specify the beneficiary IBAN Delete Use this check box to identify any beneficiary details that must be marked for deletion In the desired row check this box When you have selected all the accounts to be deleted click the Delete link at the top of the section Add link Click this link to add a new row in this section Bank Specify the bank code of the beneficiary s bank You can select the same
22. e of the contact person for the company in the desired alternate language Alternate Address Address Lines 1 2 Specify the alternate postal address that is to be used for correspondence with the investor in the desired alternate language Alternate Address City Specify the name of the city of residence of the investor in the desired alternate language Alternate Address State Specify the state in which the city of residence of the investor is located in the desired alternate language ioe ORACLE 1 1 21 1 1 22 Documents Upload Button You can upload documents to the Oracle IPM Oracle Imaging and Process Management Click Documents Upload button to upload the documents Document Upload Document Upload toft PSE 5 Document Code Document Description Document Path Upload VaR a DRE Document Code Specify the document to be uploaded You can also select the document to be uploaded from the option list The option list consists of the valid documents codes mapped to the process Document Description The description of the selected document code is displayed Document Path Specify the path of the document to be uploaded You can browse the path by selecting the Browse button Upload Click Upload button to upload the documents View Click View button to the view the documents uploaded Submit the Transaction to the Processing Hub After you enter the d
23. ecify the date of birth as mandatory information for investors that are minors re ORACLE 1 1 4 Corporate Details Tab Click on the Corporate Details tab Unitholder Maintenance E save amp Hoid Workflow Ref No Priority CIF Number AIC Opening Date Find UH Reference Number ANC ID H Investor Type Individual AMC Description Dealing Type eee UH Category i PO Subscription Dealing Type Desc 2 Category Description Fee Category Fee Sub Category laz Fee Category Desc Auth Rep ID Remarks Auth Rep ID Desc First CompanyName O O Unit Holder ID Individual Dtis elidelc aiic Contact Dtls Client Preferences ID Details Bank Dtls Intermediary Dtls kYC Details Document Dtis Add info UH Signature Related Parties Authorized Signatory 1 Corporation Type Ce Authorized Signatory 2 Description Authorized Signatory 3 Incorporation Country E Min No of Signatories Description Delivery Dtls Beneficiary Details JointHolderDtis Nominee Dtls MemberDtls Altemate Language Diis Director Details Document Upload Prev Rem Audit ly Here we can capture the following details Corporation Type Select the type of the corporation that the company is to be deemed from the list provided Description Upon selection of the corporate type the system displays the description of the specified corporate type Minimum No of Signatories Specify the minimum number of signa
24. elease button The task will move to the Pending List Click on the Reference No of any transaction to view its details Stage 2 Validation and Enrichment Stage In this stage you can view edit delete the details containing the data which was saved in the Initial stage You can also upload the documents to Oracle IPM Follow the steps mentioned above to acquire the task You can enter the details which you had not entered in the first stage Based on the validation certain fields will be mandatory in this stage After you enter the details you can then put the process on Hold or save and proceed e To put the process on Hold select the option Hold under Actions menu e To proceed to the next stage choose Approve and click OK to save i ORACLE 1 3 Once you save the second stage the system performs all mandatory validations and business checks on the details that you have entered The system displays any error it encounters and allows you to correct the details You will be able to proceed to the next stage only after all you resolve the errors If you Reject the second stage and save the process the system will terminate the task Stage 3 Verification Stage On successful completion of the second stage you can acquire the task from the Pending list Only an authorized user can acquire the task for further processing In this stage you are required to verify the doc
25. ently dangerous applications including applications that may create a risk of personal injury If you use this software or hardware in dangerous applications then you shall be responsible to take all appropriate failsafe backup redundancy and other measures to ensure its safe use Oracle Corporation and its affiliates disclaim any liability for any damages caused by use of this software or hardware in dangerous applications This software and related documentation are provided under a license agreement containing restrictions on use and disclosure and are protected by intellectual property laws Except as expressly permitted in your license agreement or allowed by law you may not use copy reproduce translate broadcast modify license transmit distribute exhibit perform publish or display any part in any form or by any means Reverse engineering disassembly or decompilation of this software unless required by law for interoperability is prohibited The information contained herein is subject to change without notice and is not warranted to be error free If you find any errors 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 an
26. etails you can either put the process on Hold or approve the details To put the process on hold select Hold from the Actions menu Click OK button to save After the data is saved in the first stage the task will appear in the Pending items list An authorized user can then acquire the task and then operate on it ie ORACLE 1 1 23 Acquire the Task for Further processing You can query on tasks by clicking on Task option in the Application Browser gt 194202 DISTAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer Home interactions Tasks Preferences Change Module Options wy Help Sign OF UTDUHBO mp Tasks k d Search Corporate Flexcube Komel Standard gt Acquired t Assigned 3 Completed Pending Supernsor0 Tay ORACLE Based on the access control defined through the Security Management the system builds the Summary dashboard for every user O 19942M02 DISTAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer Home Interacbons Tasks Preferences Tasks Change Module Options Heip Sign Of JTOUHBO mp Search In this dashboard tasks are available for a User under the following categories e Pending These are the tasks that are waiting for the users to act upon e Assigned These are the tasks that have assigned for act
27. formation Enter any other beneficiary information Intermediate Details You can enter the following details in the Intermediate Details section of the screen Intermediary Indicate the intermediary bank Intermediary BIC Code Specify the intermediary bank s BIC Code Intermediary Address 1 3 Enter intermediary bank s address Intermediary Account Number Enter the account number for the intermediary Intermediary IBAN Specify the IBAN of the intermediary Intermediary Details Tab In this section specify the intermediaries with the respective hierarchies that will represent the investor in transactions with the AMC You can also specify applicable commission percentages that each is to receive 1519 ORACLE Click on the Intermediary Details tab Unitholder Maintenance El sae Hoa Auth Rep ID Desc First Company Name Remarks m Workflow Ref No Priory Low CIF Number AIC Opening Date E Reference Number AMC ID gl Investor Type X AMC Description 9 Dealing Type pee UH catego p Dealing Type Desc o Category Description Fee Category L h Fee Sub Category Fee Category Desc Auth Rep ID Unit Holder ID Individual Dtls Corporate Dils Contact Dts Client Preferences ID Details Bank Dts luciul EABEI KYC Details Document Dtis Add Info UH Signature Related Parties Broker Details 1 of 1 Broker ID SplitPercentage Default
28. from the option list if the bank code is a valid code in the system Branch Specify the branch of the bank that you have selected You can select the same from the option list if the branch is a valid one in the system Account Type From the list select the nature of the account held by the beneficiary Account Currency Select the currency of the bank accounts that you are designating for the beneficiary Account Number Specify the number of the account held by the beneficiary in the selected bank Account Name Specify the name in which the beneficiary holds the specified bank account Joint Holder Details Button You can specify the names of any joint unit holders to be considered for joint unit holder accounts or Either or Survivor accounts For accounts with the operation type as either Joint or Either or Survivor you must specify the name of at least one joint unit holder for such an account as mandatory information ue ORACLE Click on the Joint Holder tab Joint Holder Details 10f1 Joint Holder ID Joint Holder Name Joint Holder Type Date Of Birth Gender PAN GIR Number First Male Here you can capture the following details Joint Holder ID Select the ID of the joint account holder from the list of IDs available Joint Holder Name Specify the name of the Joint Holder Joint Holder Type Select the Type of joint account from the drop down list Date
29. g Type Desc 2 Category Description gt Fee Category C Ta Fee Sub Category a3 Fee Category Desc Auth Rep ID la Remarks Auth Rep ID Desc 2 First Company Name a Unit Holder ID Individual Dtls Corporate Dtls Contact Dtis Client Preferences ID Details Bank Dtis Intermediary Dtls fege Sety Document Dtis Add info UH Signature Related Parties Default KYC a KYC Details 1of1 Hil 7 Requested Requirement Fax Received Original Received Received Date Workflow Reference No User Comment wo aa E B 2 mu Chasing Date E Detain Trade Acknowledgements Additional Comments D Retain Contract Notes Allthe Requested KYC Yes gt Hloutstanding KYC requirements not to be reported on Trade Documentation has heen Acknowledaements i Delivery Dtls Beneficiary Details JointHolderDtis Nominee Dtls MemberDtls Alternate Language Dtls DirectorDetails Documentupload PrevRem Rem Audit Outcome l Met ORACLE 1 1 11 Here you can enter the following details Requested By default documents belonging to type Standard are marked are Requested You are not allowed to uncheck the standard documents However you may check or uncheck any additional documents Requirement Both standard and additional list of documents maintained for the combination of country type and investor category are displayed here You may add additional documents if required You cannot add additional d
30. he options available are tiy ORACLE e IPO Subscription e Subscription e Redemption Bank From the list select the name of the bank in which the account is held Branch From the list select the name of the branch of the bank in which the account is held Direct Debit Check this option to indicate if whether direct debits are allowed for the account Default Use this check box to identify the bank account that is to be reckoned as the default bank account for the investor in the system In the desired row check this box Account Type From the list select the nature of the account held by the investor The list provides all account types that have been set up in the Account Type Maintenance records Account Currency Select the currency of the bank accounts that you are designating for the unit holder You can maintain any number of accounts in each currency however you must designate one default bank account for each currency Account Number Specify the number of the account held by the unit holder in the selected bank Account Name Specify the name in which the investor holds the specified bank account By default the system reckons this to be the specified name of the unit holder and the same is displayed here It will be accepted into the database as the account holder s name if you do not specify any other Last Name and Initials If you select the Account Category field as Self then the Last Name
31. ion by a particular user e Completed These are the tasks that has been completed or acted upon on a particular business day e Expired These are the tasks that have been in pending status for particular period of time and have expired Any task that has not been acted upon within a pre defined time limit is moved into the Expired queue Once a transaction moves into this category it becomes unavailable for further processing in the workflow layer In each of these lists the system displays the number of transactions that are assigned a high priority Ve ORACLE 1 2 Click on the Pending task list to view all transactions which are pending O 19942M02 DISTAGY FMGKERDIST Oracle FLEXCUBE Investor Servicing v 12 0 ENG 04 23 2014 Windows Internet Explorer n sloj xj Home Interactions Tasks Preferences LROLES 000 BPELUSER 2012 10 03 1315 20 2012 10 03 1324 25 Stage ALLROLES 000 BPELUSER 000 2012 10 03 13 41 03 Stage ALLROLES 000 BPELUSER 000 Task History You can acquire any transaction in your Pending list by clicking Acquire button against the transaction Once you acquire a transaction you can view its details by double clicking on it You ll be returned to the Summary Dashboard The transaction that you acquired would now have moved to your Acquired list Click on the Acquired list to view the details If you do not wish to work on that task click on R
32. ked related parties Tap ORACLE These details are used to send unit holder reports to the linked entities The report sent is based on the reporting level selected while creating unitholder Unitholder Maintenance New 753 Enter Query Workflow Ref No Priority Low hd CIF Number AIC Opening Date Investor Type Individual AMC ID Dealing Type AMC Description Dealing Type Category Fee Category Category Description Fee Category Desc Fee Sub Category Remarks Auth Rep ID Auth Rep ID Desc Unit Holder ID First Company Name Individual Dtis Corporate Dtls Contact Dtls Client Preferences ID Details Bank Dtls Intermediary Dtls KYC Details Document Dtis Add Info UH Signature fa 10f1 E Entity Type Entity ID Relationship Reporting Level Preferred Mailing Mode Link Notes Entity Name il Select m Delivery Dtls Beneficiary Details Joint Holder Dtls Nominee Dtis Member Dtis Alternate Language Dtls Document Upload PrevRem Audit Outcome The following details are entered for maintaining related parties Entity Type Mandatory Select the entity type from the following e Related Parties e Agent e Agency Branch e Unit Holder e CIF e Broker Entity ID Mandatory Select the entity ID from the option list These entities are based on the Entity Type chosen Entity Name Display The entity name gets displayed on selection of entity ID Reporting
33. lect in this field will be the one from which management fee will be recovered and into which any incentives will be credited When an incentive is being credited the system will first consider the fund you have selected here in the field Preferred Fund If you have selected a fund here the incentive will be credited into this fund If you have not selected a fund the incentive will be credited into the fund for which a fund load mapping has been done Consider the following cases during the redemption of a fee Case 1 Periodic Fee maintained at the product level If the periodic load is maintained at the product level redemption will happen from the fund indicated here only if the fund has sufficient balance If the fund does not have sufficient balance the system will consider the funds that you have selected through the Management ie ORACLE Fee Applicability screen For further information on the Management Fee Applicability screen refer to the chapter Management Fee in the LEP User Manual Case 2 Period Fee maintained at the fund level If the periodic load is maintained at the fund level the redemption will happen in the following manner The system will first consider the fund you have selected here in the field Preferred Fund If there is sufficient balance the redemption will happen from this fund If the balance is not sufficient or you have not selected a fund this field being optional the system
34. ls Preferred Currency From the list select the currency in which the investor prefers to transact with the AMC The preferred currency is the currency in which the investor or unit holder prefers to make any payments involving transactions or receive any dividend income payments The currency you select here will be deemed as the default currency for all payments from or to the investor The investor can if need be choose to transact in a currency different from the one you specify here for any transaction When you specify the country in which the investor is domiciled in the Country of Domicile field the currency associated with the specified country is retrieved from the Country Currency Maintenance record in the system and displayed in this field by default If you do not select any currency here then the displayed default currency will be deemed as the preferred currency for the investor Nationality From the list select the nationality of the investor for whom you are creating the account rh ORACLE When you specify the country in which the investor is domiciled in the Country of Domicile field the nationality of the specified country is displayed in this field by default If you do not make any selection in this field then the displayed default nationality will be deemed as the nationality of the investor A C Statement Currency Select the currency for account statements for the investor from the drop down list The
35. lume 1 of the Fund Manager user manual ee ORACLE Click on the Document Details Unitholder Maintenance New 73 Enter Query Workflow Ref No CIF Number Investor Type Individual Dealing Type Dealing Type Fee Category Fee Category Desc Remarks Unit Holder ID tab Priority Low AIC Opening Date AMC ID AMC Description Category Category Description Fee Sub Category Auth Rep ID Auth Rep ID Desc First Company Name Find UH Conv CIE Subscriotian IPO Subseriniian Individual Dils Corporate Diis Contact Dils Client Preferences ID Details Bank Dits Intermediary Dtis KYC Details EEE Add info UH Signature Related Document Details 10f1 Document ID Document Type Parties Delivery Dtis Beneficiary Details Joint Holder Dtis Nominee Dtls Member Dtls Alternate Language Dtls Document Upload PrevRem Here you can enter the following details Document ID Audit Outcome You can either enter the document id in this field or choose the document id from the option list Document Type The system updates the document type once you choose the document ID 1 1 12 Additional Information Tab If the AMC has designated any additional information heads for investors you can indicate the relevant information applicable to the investor under each head in this section 1 23 ORACLE Click on the Additional Inf
36. o tab Unitholder Maintenance New Enter Query Workflow Ref No Priority Low CIF Number AIC Opening Date Investor Type Individual AMC ID Dealing Type AMC Description Dealing Type Category IPO Suhscrintion Fee Category Category Description Fee Category Desc Fee Sub Category Remarks Auth Rep ID Auth Rep ID Desc Unit Holder ID First Company Name Individual Dtls Corporate Diis Contact Dtis Client Preferences ID Details Bank Dils Intermediary Dtis KYC Details Document Dtis BEBIN UH Signature Related Parties Additional Information Details 10f1 Le Other Info Field Field Value Delivery Dtls Beneficiary Details Joint Holder Dtis Nominee Dtls Member Dtls Alternate Language Dtls Document Upload PrevRem Audit Here you can specify the following details Other Info Field Select this option to allow the system to display the additional fields maintained Field Value Select the value for the additional field from the option list 1 24 ORACLE 1 1 13 Unit Holder Signature Tab You can upload the document containing unit holder s signature s signature using the UH Signature tab in the Unit Holder Maintenance screen Unitholder Maintenance New 8 Enter Query Workflow Ref No Priority CIF Number NC Opening Date Investor Type individual AMC ID i Dealing Type AMC Description Suhscrintian Dealing Type Category Fee Category
37. ocuments once the All the requested KYC documentation has been received check box has been checked Fax Received Check this option to indicate that the investor has faxed a copy of the required document Original Received Check this option to indicate that the investor has submitted the original document Received Date Specify the date on which the document was received Workflow Reference No Enter the workflow reference number number of the corresponding document from the external imaging system here User Comment Specify any narrative or descriptive text if any concerning the document Delete Button You can delete a record by clicking button Documents defaulted from KYC maintenance cannot be deleted However Adhoc documents added during UH creation can be deleted before checking the All the requested KYC documents has been received option For further details please refer KYC Details Tab section in Managing Investor Account Chapter in Entities User Manual Document Details Tab Document Management System or DMS is used to scan and store documents like Account Opening form Transaction form Identity Proof etc In this section you can specify the document type for the unit holder The document types can be maintained in the System Parameters Maintenance screen For further information on maintenance of system parameters refer to the chapter Maintaining System Parameters in Vo
38. of Birth Enter the joint account holder s date of birth Gender Specify the gender of the joint account holders PAN GIR Number Specify the Permanent Account Number PAN of the joint account holders in the respective text boxes Form 60 61 Available Indicate whether Form 60 61 is available for the joint holders in case they don t have a PAN Country of Domicile Select the country of domicile from the option list provided these details are maintained as part of Country Maintenance Recover CGT Check this option if the tax on capital gain has to be deducted from the transaction Redemption Transfer and Switch Address Line 1 and Address Line 2 Click on the Address Details link to view the Address text box Here you can enter the address of the joint account holder ra ORACLE 1 1 18 Nominee Details Tab Click on the Nominee Details tab Nominee Details Nominee Details 10f1 Nominee ID Nominee Type Nominee Name Date Of Birth Gender First Male You can specify the details of one or more nominees if any for the unit holder A nominee could be an existing Unit Holder in the system or could be an external entity Here you can enter the following details Nominee ID If the nominee is an existing unit holder you can invoke the Find Options screen to specify the desired unit holder by using the search criteria Else specify the same Nominee Type Enter the
39. ounts in which the unit holder is availing the check writing facility use this field to indicate whether the signatures of all joint unit holders must be required on issued checks ROA Investor Check this box to indicate that the investor prefers to avail of the Rights of Accumulation facility Registration Type For investors requesting NSCC or Wire Order transactions indicate whether the registration of certificates issued if any must be in the investor s name Individual Name or registration name specified for the broker dealer Street Name Registration Name For street name registrations specify the registration name to be displayed on the certificates Typically this is the dealer name of the corresponding broker dealer Transaction Delivery Preferences Select the transaction delivery preferences from the option list You can use this field to indicate whether indexation is to be applied on capital gains tax computation for the investor Select this option to indicate application of indexation Leave it unchecked to indicate that indexation is not applicable To indicate application of indexation you must also specify it as applicable for the capital gains load when you associate the load with a fund in the Fund Load Setup Indexation is applied only if it is specified both in this Unit Holder New Account screen for the investor s profile as well as in the Fund Load Setup for the fund Preferred Fund The fund you se
40. preferred currency for the unit holder that you selected in the Preferred Currency field is displayed here as the default account statement currency If you do not make any selection this will be deemed as the account statement currency for the unit holder Country of Domicile From the list provided select the country where the investor is domiciled When you specify the address of the investor the country if any indicated in the address is displayed here by default as the country of domicile for the investor If you do not make a selection then this default country of domicile is reckoned for the investor account in the database A C Statement Frequency From the list select the frequency at which the investor wishes to receive periodic statement of accounts from the AMC this could be monthly daily yearly half yearly biweekly quarterly or weekly Preferred Language From the list select the language preferred by the investor for correspondence and communication A C Type From the list specify whether the account is to be a Voluntary account or a Retired account Once authorized this field cannot be modified Resident Status Indicate whether the investor resides in the selected country of domicile or not by selecting either the Resident or the Non Resident option Preferred Mailing Mode From the list select the mailing mode in which the investor prefers to receive correspondence from the AMC If you wish to suppress
41. r Details Document Upload PrevRem Audit Outcome irl Here you can specify the following correspondence address details Address Lines 1 2 Specify the default postal address that is to be used for correspondence with the investor City Specify the name of the city of residence of the investor You can select the city from the drop down list provided The available options depend on the values defined at the params maintenance If the city is not available in the list you can specify the city in the field provided alongside The list of cities available in the system will be a one time upload into the system Use State Maintenance Optional You can select one of the two values from the dropdown list e Yes e No If you select Yes then only the system can accept US state code in State If you select No then system can accept any value for State By default the system displays No ie ORACLE State Specify the state in which the city of residence of the investor is located You can select the state of residence from the drop down list provided The available options depend on the values defined at the params maintenance If the state is not available in the list you can specify the city in the field provided alongside Country Select the country in which the investor is domiciled from the drop down list Optional Check this box to indicate that the specified state is a US United S
42. s KYC Details Document Dtis Add Info UH Signature Related Parties Last Name Father Spouse Name Middle Name Date Of Birth E Title be Beneficiary Initials Marital Status 22 Minor Nof Marital Status Guardian Name Occupation La Relationship Occupation o Sex 22 AIC Operation Type a Guardian PAN GIR No Account Operation Type __ Guardian MFIN Guardian Form 60 61 Yes Available Delivery Dtls Beneficiary Details JointHolderDtls Nominee Dtls MemberDtis Alternate Language Dtis Director Details DocumentUpload PrevRem Audit Outcome jel EI ORACLE Priority Indicate your priority from the drop down list e Low e High e Medium Unit Holder ID This is a unique number assigned by the system to each unit holder account It is generated automatically after you have specified all mandatory details for anew account and clicked the Save button at the bottom of the Client Information Section or at the bottom of the Detail screen All your specifications are validated and upon successful validation the generated unit holder ID for the account is displayed The logic governing the generation of unit holder ID s would have been defined for the agency branch where you have created the account in the agency branch maintenance record This field is not visible when you are creating a new account in the Detail screen If you are viewing editing deleting or amending a previously created unit holder record then the ID of the
43. tates state E Mail Specify the Email address of the investor Zip Code Specify the zip code of the specified city of residence of the investor Contact Person For corporate investors enter the name of the contact person at the unit holder office Telephone 1 2 Enter the contact telephone numbers of the investor Cell Phone Number Specify the cell phone number of the investor Fax Number Enter the fax number of the investor You can enter the alternate address details of the investor Address Line 1 2 Specify the default postal address that is to be used for correspondence with the investor Specify the name of the city of residence of the investor You can select the city from the drop down list provided The available options depend on the values defined at the params maintenance If the city is not available in the list you can specify the city in the field provided alongside The list of cities available in the system will be a one time upload into the system Use State Maintenance Optional You can select one of the two values from the drop down list e Yes e No If you select Yes then only the system can accept US state code in State If you select No then system can accept any value for State By default the system displays No ta ORACLE State Specify the state in which the city of residence of the investor is located You can select the state of residence from the drop do
44. ted Parties Identification Type a Tax ID L ecua Description Tax Deducted at Source Yes Identification Number Tax Certificate Effective Date E Date of issue B Tax Certificate Expiry Date e Date of Expiry 5 Form 60 64 Available Nol EUSD Options With Holding Tax gt Tax Exempted Nol Place of Issue a Tax Circle _ Place of Issue MFIN UHBIC Code US Indicia Available No Recover CGT Nol FATCA Status FATCA Classification Description Delivery Dtls Beneficiary Details JointHolderDtls Nominee Dtls MemberDtls Alternate Language Dtls Director Details Document Upload Prev Rem Outcome fv Here you can enter the following details Identification Type From the list select the type of identification that is being provided by the investor The identification type is the mode in which the unit holder will furnish an identification document or proof and could be a Personnel ID License Birth Certificate etc This is used for identifying the unit holder during all subsequent transactions You can capture NRIC Number as the identification type for a unit holder account If you have selected NRIC Number as the Identification Type for the account you can specify the applicable NRIC Number as the Identification Number Once authorized this field cannot be modified Identification Number Specify the number or ID of the identification document or proof that is furnished by the unit holder
45. the default broker for the investor in the system In the desired row check this box Intermediary Details Section Entity Type Select the entity type that has been identified as the intermediary for the transaction Entity ID For each entity type specify the intermediary in this field The name of the selected intermediary is displayed in the Entity Name field While entering a transaction system will default the intermediary specified here However you can override the defaulted value Split Percentage Specify the percentage of the commission that the selected intermediary is entitled to receive on any transactions put through for the investor Default Select Yes to identify the intermediary that is to be reckoned as the default intermediary for the investor in the system In the desired row check this box KYC Details Tab Depending on the type of country marked for the investor and the investor category Unit Holder KYC list maintained for that type of country and investor category is displayed You can check the documents received from the investor and link the KYC list to the unit holder being created Click on the KYC Details tab unitholder Maintenance H save MHo Workflow Ref No Priority Low v CIF Number AIC Opening Date EA Reference Number AMC ID a Investor Type Individual AMC Description D Dealing Type PE UH Category al IPO Subscription Dealin
46. the printing of contract notes in respect of the unit holder during execution of End of Day processes you must select the File option in this field Redemption Payment Select the default mode of payment that is to be used for paying out the proceeds of any redemption transactions for the investor The two modes of payment supported in the system are Check and Transfer You can specify the following in the Optional section of the screen Check Writing Facility You can use this field to indicate that the investor is allowed to avail check writing facility on any funds of the AMC in which the investor holds unit balances Typically in money market funds investors could be issued deposit slips for subsequent purchases They could also write checks to any external entity individual which are reckoned tig ORACLE as redemption from the investor account when produced by the external entity individual to the AMC Pay by FEDWIRE ACH Check this box to indicate that payment by FEDWIRE or ACH is to be accepted for the investor Telephone Redemption and Telephone Switch Check either box or both to indicate that telephonic requests from the investor for redemption or switch transactions must be accepted If so and you have checked either or both these boxes redemption and switch transaction requests with telephone as the means of purchase would be accepted in the system All Signatories Sign Required For joint acc
47. tories Authorized Signatory 1 2 and 3 Specify the names of any authorized signatories that must be deemed as valid for the company ai ORACLE 1 1 5 Contact Details Tab Click on the Contact Details tab unitholder Maintenance lea Save i Hold Workflow Ref No CIF Number Reference Number AIC Opening Date AMC ID AMC Description IPO Subscription Investor Type Individual Dealing Type das un Category ______ fas Category Description Fee Sub Category _____ Pa Auth Rep ID aue Dealing Type Desc Fee Category Fee Category Desc Remarks Unit Holder ID Individual Dtls Corporate Dtls Correspondence Address Address Line 1 Address Line 2 City State Country Zip Code E Mail Contact Person Alternate Address Address Line 1 Address Line 2 City State Country Zip Code Effective From Date ewa Client Preferences ID Details Bank Dtis Intermediary Dtls KYC Details Document Dtis Add Info UH Signature Related Parties E Auth Rep ID Desc First Company Name Int Dialing Code Telephone 1 Int Dialing Code Telephone 2 Int Dialing Code Cell Phone Number Int Dialing Code Fax Number Int Dialing Code Telephone 1 Int Dialing Code Telephone 2 Int Dialing Code Fax Delivery Dtls Beneficiary Details JointHolderDtls Nominee Dtls MemberDtls Alternate Language Dtls Directo
48. type of Nominee Nominee Name Specify the name of the nominee Date of Birth Specify the date of birth of the designated nominee Gender Specify the gender of the nominee ID Type Select the identification type of the nominee from the drop down list If the nominee is a valid Unit Holder the identification type will be displayed ID Number Specify the identification number of the identification type of the nominee If the nominee is a valid Unit Holder the identification ID will be displayed PAN GIR Number Specify the Permanent Account Number PAN of the nominee lia ORACLE 1 1 19 Relation Specify the relationship of the nominee with the unit holder If the nominee is a valid Unit Holder the relationship will be displayed Award Specify the percentage of the investor s holdings that belongs to the nominee The award should sum up to 100 Address Enter the address of the nominee E Mail Enter the e mail ID of the nominee Contact Person Enter the name of the nominee s contact person The Bank Details Link Here you can capture the nominee bank details Click on the Bank Details link to invoke the Bank Details screen IBAN Specify the IBAN of the nominee For further information on the Bank Details screen refer The Bank Details Section under ID Details discussed later in this chapter Member Details Button Click on the Member Details tab Member Details Date Member bec
49. uments uploaded Check the Verify option in the Doc Verification screen and click Ok button to verify each documents to be uploaded The documents will be uploaded to Oracle IPM Once you acquire the task you can put the process on Hold or approve to save the process On saving the third and final stage the data is stored in FCIS Note The documents uploaded are not saved in the FCIS system and can only be viewed till the final stage of the BPEL workflow 140 ORACLE 2 Function ID Glossary U UTDUHB01 nenea 1 2 ORACLE
50. will consider the fund for which a fund load mapping has been done If there is sufficient balance in this fund the redemption will be carried out from this fund If in this fund the balance is not sufficient the system will carry out the redemption from any other fund that the Unit Holder has invested into in the appropriate ratio The funds from which the fee amount is redeemed may not be in the same currency If the funds have different base currencies the mid rate will be used as the exchange rate to arrive at the amount to be redeemed in the fee currency If the fee needs to be accrued in a certain currency the transaction will need to be generated in the same currency Hence if the base currency of a certain fund is not that particular currency and it does not allow any transaction in that currency the fund will not be considered for redemption of the fee amount This can be illustrated with the following example The base currency of the fund where the fee is accrued is RAND After apportioning the system will generate a redemption transaction in three funds with base currency and the restrictions as follows F1 Base Currency RAND Allowed Currencies RAND USD and GBP F2 Base Currency USD Allowed Currencies USD INR and GBP F3 Base Currency GBP Allowed Currencies USD and GBP In this case since the fee is accrued in RAND the redemption transactions need to be generated in RAND In the above case F2 does not
51. wing sections e Section 1 1 Stage 1 Initiation Stage e Section 1 2 Stage 2 Validation and Enrichment Stage e Section 1 3 Stage 3 Verification Stage Stage 1 Initiation Stage This section contains the following topics e Section 1 1 1 Steps in the Initiation Stage e Section 1 1 2 Invoke UH Maintenance Screen for Stage 1 e Section 1 1 3 Individual Details Tab e Section 1 1 4 Corporate Details Tab e Section 1 1 5 Contact Details Tab e Section 1 1 6 Client Preference Details Tab e Section 1 1 7 Identification Details Tab e Section 1 1 8 Bank Details Tab e Section 1 1 9 Intermediary Details Tab e Section 1 1 10 KYC Details Tab 11 Document Details Tab 12 Additional Information Tab e Section 1 1 13 Unit Holder Signature Tab 1 e Section 1 1 1 1 e Section 1 1 14 Related Parties Tab 1 1 1 e Section 1 e Section 1 1 15 Delivery Details Button 17 Joint Holder Details Button e Section 1 1 18 Nominee Details Tab e Section 1 1 19 Member Details Button e Section 1 1 20 Alternate Language Details Button e Section 1 e Section 1 1 21 Documents Upload Button La ORACLE e Section 1 1 22 Submit the Transaction to the Processing Hub e Section 1 1 23 Acquire the Task for Further processing 1 1 1 Steps in the Initiation Stage In this stage you can launch the screen to initiate the BPEL process On launching the screen the system
52. wn list provided The available options depend on the values defined at the params maintenance If the state is not available in the list you can specify the city in the field provided alongside Country Select the country in which the investor is domiciled from the drop down list E Mail Specify the Email address of the investor Zip Code Specify the zip code of the specified city of residence of the investor Fax Number Enter the fax number of the investor Telephone 1 2 Enter the contact telephone numbers of the investor Effective From Date Specify the date that marks the beginning of the period for which the specified alternate address is in effect Effective To Date Specify the date that marks the end of the period for which the specified alternate address is in effect The following fields comprise the SWIFT address information in the SWIFT Address section Address Lines 1 2 Enter the SWIFT address of the investor You can enter up to 4 lines of address information City Specify the city of the SWIFT address for the investor Country Specify the country of the SWIFT address for the investor BICCODE Specify the Bank Identifier Code BIC of the investor LL ORACLE 1 1 6 Client Preference Details Tab In this section you specify any preferences indicated by the investor for the purpose of investment and transaction processing Click on the Client Preference tab Unitholder Maintenance E s
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