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CDS User Manual

1. n CENTRAL DEPOSITORY COMPANY Central Depository System User Manual For Registrar Transfer Agent Ver 1 2 CENTRAL DEPOSITORY COMPANY Table of Contents 1 INTRODUCTION ceu erasec cos eee neu np so aes ku eaa ea oou s Eck a ona oeeie 1 1 PURPOSE AND SC OP Bis atecciteicasteiea detente ade i dtundoui ei apdontd e enden 1 2 OPERATING DA Y a tots coomblo cuden eo COUP elon eee svete ELEME pL eee 1 3 UPDATING ac dinis utbs eu iba CoU ace Oe eee ea eee 1 4 DISTRIBUTION uiti cix viia COURIR OPIRD Lex ire ieee een 2 GETTING STAR EED iiie cic eeese tuit d bes tence p ol ienna aeaaaioii 2 4 CDS CLIENT DOWNLOJAD 5 5 2 other pee aede E 2d d Prekequisil CS uve pe RN EUR v tad od t v ede v RR 2 1 2 Software Download csset Et Ud RN 22 CHANGE PASSWORD assedio vienidenew Susie 2 3 COMMONLY USED COMMAND BUTTONS 2 3 1 ROEST BUN ON sosta testo tutius Reviews erste a etiatn Deren ls 23 2 507082771010 ROMERO 2 9 Update BUON oec eati ee M oD 2 3 4 Pelete Biol eot opibet tema M beides nds eibi s aD Doe CONCEP OM is ieee ate ey eae naa eee ee es 2 3 6 DOUDE GIG qeesiseumu esca tot esi a asse E Eu SOURCE E EU 2 3 7 SAVE DU ON Aer E EOI O 2 3 8 POS OU Or ee EA E A 2 3 9 SCOTCH 20751077 NH 2 3 10 PEPOT susti eE DER HERR H dur DS EMI e ael UE 2 4 MAIN MENU SCREEN 5 doppio pr cineipai Citi a eon PIS Cod pide cimPtpas eius S ONES OE OLI LOT Uem 3 1 CHANGING PASSWORD nisse nr A aR 2 2 LOGGING OUT
2. 2 1 2 Software Download In order to download the CDS software the user will be provided a web address through e mail directing the user to the CDS Client Software Deployment web page The installation webpage is shown below Revised October 2010 9 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 el CDS Automatic Deployment Windows Internet Explorer provided by Central Depository Company SAX hd File Edit View Favorites Tools Help Q sax amp x a A x Search jf Favorites A jw iy rel s http 10 1 210 6 7025 WebStartCDC RTA html E Go Links CENTRAI DEPOSITORY COMPANY INTRODUCTION CDS DEPLOYMENT HELP LINE Welcome to CDC Web Site Step 1 Download Manager Please call our help desk This Web site is designed to facilitate the Client Download the Manager at 0800 CDCPL 23275 for further assistance Side deployment You can install the CDS Application by following the deployment steps Step 2 CDS Deployment After the deployment your CDS Application will Start CDS deployment by start automatically clicking the link below CDS Automatic Deployment Done 8B Internet pra By clicking on the CDS Automatic Deployment link the client software will automatically start downloading Initially the following screen will appear that will load the JAVA environment G Java Loading The following screen will appear that will depict the
3. Browse Account Number Unit Volume Save Cancel The user may enter the Participant ID in the textbox provided or select the required Participant ID from the Element ID lookup table by clicking the Browse button After entering the above details the user should click the Save button to temporarily save the data Clicking the Cancel button closes the Issuance Request Details screen without saving the data On clicking the Save button the data is temporarily saved in the Issuance Request Add screen and a fresh Issuance Request Details screen appears in case the user wants to enter details of another issuance request for the same security Once the user has entered all the required requests using the Issuance Request Details screen the Issuance Request Add screen appears as follows Revised October 2010 97 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Issuance Request Add RTAID 24561 SH RTA Security Symbol IMUTUF3 Browse mutufal fund test Hemarks Issuance Request Issuance Request Detail Maximum 1000 Issuance Detail records allowed PARTICIPANT ID ACCOUNT NUMBER UNIT VOLUME Total Records 2 Total Volume 300 een j ee Due Sae Cow The Security Symbol and Remarks are displayed at the top of the screen and can be updated if desired The issuance request records are displayed in the scrolling table and in order to update the details of issuance request records
4. List Reports e Transaction List Report Right Subscription Reports Revised October 2010 106 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 e Right Subscription Request List Reports e Right Subscription Cancellation List Reports e Right Offer Reconciliation Report The following paragraphs in this chapter contain detailed explanations for each of the above menu options Wherever considered appropriate the above menu items have been grouped together under logical headings based on the overall area of CDS functionality they deal with PRINT OPTIONS In order to avoid excessive repetition before going into detailed explanations of CDS R TA reports the function of Print and Download is explained below Print Report Clicking this radio button prints the report on the screen Only Download amp Clicking this radio button not only prints the report on the Print screen but also downloads the report in a specified file Field This field is only enabled when the Download and Print Separator option is selected The user is presented with the options to separate the fields by selecting delimiters for the download If the Download amp Print option is selected File button is enabled Clicking on the Fi e button displays the following screen Revised October 2010 107 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 CJ Accounts Acount Activity Files
5. Record Selection ps Options Subject Message From Date 04 2 05 v To Date 23 0 4 2057 amp Search Refresh SUBJECT RECEIVED PRIORITY STATUS Test Message 23 04 2057 10 41 53 Normal At the time of login the user is forced to read the message by clicking View button or mark the messages as View Later button If the user presses Cancel button without view view later then the following message will be displayed by the system Please either read all the unread messages or mark them as View Later Clicking the View button after selecting a particular message displays the following message viewer Revised October 2010 33 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 eCDS Message Viewer Subject Test Message Attachments Priority O High Normal This is a test Message sent by COC administrator Message Subject The Subject of the message sent by CDC Attachments Attachments if any sent by CDC along with the message Save Save All Provision is available adjacent to the Attachment field to either save or save all the attachments Ci 8 Priority Priority reflects the importance of the message as set by CDC Message The browser displays the body text of the message Revised October 2010 34 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 OK Clicking the OK button closes the message viewer and redirects the us
6. Browse Pending Corporate Actions From Date 14 01 201 To Date 1401 2012 The user can also click the Browse button by the side of the textbox to open a lookup table containing Security Symbols in case the user does not remember the correct Security Symbol Pending The Pending Corporate Actions check box is provided for Corporate enabling the users to generate Issuer Action Diary containing Actions information on corporate actions not yet completed The user needs to click this check box in case the user wants to generate the report containing such information When the user clicks this check box the From Date and To Date fields disappear as shown below iones Issuer Action Diary Security Symbol amp All C 2 Specific e Pending Corporate Actions co met Revised October 2010 150 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 From Date The user also needs to enter the From Date and To Date amp To Date 1n the respective fields to specify the date range for which the report is to be compiled The From Date must be less than or equal to the To Date If this is not the case the system generates the following message Similarly the To Date cannot be greater than the System Date otherwise the system generates the following message To Date must be less than ar equal to System Date A legend for interpr
7. If the Save button is clicked without making any changes in the transaction details the system displays the following message No Updations Made Clicking the Save button in the Transfer Approval Rejection screen after making the required changes will save those changes to the saved transfer Approval Rejection pending record and generate the following message Revised October 2010 78 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 7 Deleting saved Units Transfer Approval Rejection In order to delete a saved transfer Approval Rejection pending transaction the user will open the Unit Transfer Approval Rejection Screen on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Unit Transfer Approval Saved Unit Transfer Reject or Saved Unit Transfer Pending if the user wants to delete unit transfer approval rejection or pending transaction respectively Clicking the record to be deleted from the scrolling table and clicking the Delete button generates the following confirmation message Confirm changes E x Do you want to Delete the Transfer Appraval Rejection Tes No Clicking the No button will close the above message screen without deleting the transfer Approval Rejection Pending transaction while clicking the Yes button will delete the transaction and generate th
8. Information a Successfully Posted 2005 51 im Revised October 2010 80 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 On clicking the Ok button on the above message screen removes the saved unit transfer Approval Rejection transaction from the scrolling table indicating that the units have been transferred to the respective Participant s account 4 4 PARTIAL CANCELLATION 4 4 1 Partial Cancellation Approval Rejection This functionality will be provided to R TA for approval or rejection of partial cancellation requests In order to access the Approval Rejection of Partial Cancellation Request functionality the R TA user needs to click the menu item Partial Cancellation Approval Rejection in the Partial Cancellation menu as shown below e CDS Central Depository System Corporate Actions Reports m Deposit Approval Rejection d 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 46 36 Withdrawal Approval Rejection Partial Cancellation gt Revised October 2010 81 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 When the user clicks the Partial Cancellation Approval Rejection option the following screen is displayed Partial Cancellation Approval Rejection First Upload Final Upload Security Symbol Browse Transaction ID File Hame Browse File Save Download Cancel The Partial Cancellation Approval
9. the user can select the relevant request record and click the Update button which opens up the Issuance Request Details screen in which the Units Volume field can be updated Similarly a particular issuance request record in the scrolling table of the above screen can be deleted by selected the record to be deleted and clicking the Delete button The maximum number of issuance detail records allowed is displayed above the scrolling table in the Issuance Request Add screen After the user has entered all the unit issuance request records the user should click the Save button to save the Issuance Request Transaction Clicking the Cancel button displays the following message Revised October 2010 98 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Confirmation E E x Are you sure you want to cancel Yes Mo Clicking the Yes button closes the Issuance Request Add screen without saving the data while clicking the No button closes the above message screen Revised October 2010 99 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 6 2 2 Updating Mutual Fund Issuance Request The user can update a saved Units Issuance Request In order to update a record the user needs select the issuance request transaction to be updated from the scrolling table of the Mutual Fund Issuance Request screen and click the Update button Clicking the Update button after selecting the required record opens up
10. 50 APPROVED 07 04 2005 000000000008 50 APPROVED 07 04 2005 000000000009 50 APPROVED 07 04 2005 000000000010 50 APPROVED Total 10 Approved 10 Rejected 0 Pending 0 Total Volume 500 Approved Volume 500 Rejected Volume 0 Pending Volume 0 The user can filter the desired record in the scrolling table by either entering the certificate LOR number in the textbox provided or by checking the relevant check box to display Approved Rejected and or Pending certificates LORs The certificate LOR details can be updated similar to saving the deposit Approval Rejection transaction explained above On successful update of the certificates LORs the following message is displayed Information 6 Successfully Updated 2003 268 o Revised October 2010 46 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 1 3 Deleting Saved Deposit Approval Rejection Transactions The user can delete a saved Deposit Approval Rejection transaction In order to delete a transaction the user needs to go to the Saved Deposit App Rej status of the Deposit Approval Rejection screen and select the saved record to be deleted Clicking the Delete button after selecting the required record displays the following message Confirm changes r E X Do you want to Delete the Deposit Approval Rejection Tes No Clicking the Yes button deletes the saved deposit Approval Rejection transaction and it disappears
11. CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 button If this button is clicked without selecting a record from the scrolling table the system displays the following message Ho Record Selected On clicking the Approve Reject Transaction button after selecting a transfer request record the following screen is displayed Unit Transfer Approval Rejection Transaction ID 2057 ale RTAID 24561 From Participant ID 50508 UMAR CAPITAL SECURITIES PT LTD From Account Humber 517 Muhammad muzzamil To Participant ID MU NORMAL PARTICIPANT FOR MERGER TESTING To Account Humber 511 ACCOUNT TITLE1033 Security Symbol MUTUFS mutufal fund test volume 1000 Reason Code TROO Transfer Request due to Settlement Status Pending Remarks Sow Cancel The user can select the appropriate option from the Status combo box so as to mark the transfer request as Approved Rejected or Pending and enter the Remarks in the respective field If the user selects the Reject option from the Status combo box the Rejection Code field appears as shown below Revised October 2010 74 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Unit Transfer Approval Rejection Transaction ID 2057 42 RTA ID 24561 From Participant ID 6060s UMAR CAPITAL SECURITIES PT LTD From Account Number 517 Muhammad muzzamil To Participant ID MU NORMAL PARTICIPANT FOR MERGER TESTING To Account Humber 511 ACCOUNT TIT
12. Certificate L OR Detail CDS Users Manual Version 1 2 Remarks Registration Number L 01415 19890202 Save Cancel As shown above the Transaction ID Participant ID Account Number and Security Symbol fields are hard coded and cannot be changed by the user The Deposit Approval Rejection tab of this screen provides the user with the Remarks field which is used to enter any remarks that the user considers appropriate regarding the deposit Approval Rejection to be carried out In case of non individuals the Registration Number is shown in disabled mode In case of individuals the following screen is shown Revised October 2010 41 CENTRAL DEPOSITORY COMPANY Transaction ID 2006 232 Participant ID zh RAS Particpant Name Account Number 505 ATW Security Symbol BDSS BANK OF DENMARK Security Deposit Approval Rejection Certificate LOR Detail Remarks Principal Account Holder CNIC No 1240512004358 First Joint Holder Name First Joint Holder CNIC No Second Joint Holder Name Second Joint Holder CNIC No Third Joint Holder Name Third Joint Holder CNIC No CDS Users Manual Version 1 2 Principal Account Holder Passport No First Joint Holder Passport No Second Joint Holder Passport No Third Joint Holder Passport No In this case the Registration Number will not be shown Instead the information as displayed in the screen above e g Principal Account Holder CNIC No e
13. Holding Entitlement If in Corporate Action Split amp Consolidation RTA is selected then the report shows the Participant ID Description A c No Type and A c Title Share Holding Entitlement To be distributed and Fraction Revised October 2010 169 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 If 1n Corporate Action Right is selected then the report shows the Participant ID Description A c No Type and A c Title Share Holding Parent Entitlement Right Rights Offered and Fraction If in Corporate Action Right is selected then the report shows the Participant ID Description A c No Type and A c Title Share Holding Parent Entitlement Right Rights Offered and Fraction To display and or print the Entitlement List for a Security the user would select the Entitlement List option on the submenu displayed when the Corporate Action menu item on the Reports menu is highlighted Clicking this menu option brings up the screen shown below Entitlement List Report Entitlement List Selection History Present Transaction ID 2017 Browse Corporate Actions Bonus Resident Status ALL Account Code ALL Print Options i Print Report Only C3 Download Report Only File Separator The data to be entered in this screen is as follows Entitlement The History and Present radio buttons in the List Entitlement List Selection field allow the user to view Rev
14. Security Symbol 2 Specific Transaction Code 2 Specific Operation Code Contra Element Type i Participant RTA 3 Pledgee Contra Element ID Specifice Browse Hil Activity Reason Code From Date 23 04 2057 Ta Date 23 04 2057 53 Print Options Print Report Only 2 Download and Print File Separator A Browse button 1s provided by the side of the Contra Element ID field to give the user access to a lookup table in case the user does not remember the correct code Nil Activity Option 1s provided to the user to also fetch the details of those securities in which no activity take place From Date The dates to be covered by the report should be entered in amp To Date these fields The From Date must be less than or equal to the To Date If this is not the case the system generates the following message Revised October 2010 196 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 similarly the To Date cannot be greater than the System Date otherwise the system generates the following message The print option is explained at the beginning of this chapter The contents of Download and Print option report are same as that of the Print Report only Clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it pr
15. facilitate ease of reference the headings used correspond as far as possible to the order in which the available options appear on the various menus Revised October 2010 25 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 3 FILE MENU The File menu is the first menu on the main screen of the CDS application This menu provides the user with some basic functions related to the application These are e CDS Central Depository System File Direct transactions Corporate Actions Reports Change Password Element Id 24561 User ld C2456101 System Date 16 05 2057 Last Accessed 23 04 2057 16 13 08 Logout Exit e File e Change Password e Logout e Exit Revised October 2010 26 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 3 1 CHANGING PASSWORD After the initial changing of the password as explained in the chapter Getting Started the user may change the password whenever the user feels appropriate in order to maintain proper security of CDS access The Change Password option on the File Menu allows the user to change an existing password and replace it with a new one This option in the File menu is shown below Element Id 24561 User ld C2456101 System Date 16 05 2057 Last Accessed 23 04 2057 16 13 08 1 h h H This functionality is same as that explained in section 2 2 Revised October 2010 27 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1
16. record matching the provided certificate number The user can also display the Approved Rejected and or Pending certificates LORs by selecting the appropriate checkbox and clicking the Filter Certificates LORs button This will return the approved rejected and or pending certificates LORs as specified through the checkbox If the certificate LOR number entered in the textbox 1s present in the scrolling table the system displays the following message Revised October 2010 43 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Error Certificate OH Humber not found By default all certificates LORs are marked as Approved as shown in the Status column of the above screen In order to mark certificates LOR as approved rejected or pending the user can click the respective button after selecting the required records from the table If the Approve button is clicked without selecting a record from the table the following message is displayed Approval Rejection a EL X Please select a record first ta Approve it Since all certificates LORs are marked as Approved by default the user may only click the Save button to save the Deposit Approval transaction However the Approve All button is available so that the user does not need to approve each certificate LOR separately Clicking the Approve All button changes the status of all certificates LORs to Approved A
17. 1 2 In order to upload the new issue data file such as the above the user should enter the Security Symbol in the First Upload tab of the Upload New Issue screen shown above The user has the option to select the desired security from the security lookup table by clicking the Browse button by the side of the Security Symbol field in the above screen The lookup table lists all securities for which a new issue has been defined in the system The Transaction ID related to the new issue definition is automatically displayed in the Transaction ID field of the Upload New Issue screen as shown below Hew Issue Upload First Upload Final Upload Security Symbol PTS Pakistan trading Security Transaction ID The complete path of the location where the new issue data upload file is saved can be entered in the File Name field Alternatively the user may click the Browse File button and specify the file The following screen opens up when the Browse File button is clicked Revised October 2010 90 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Open Ed m EIETET S EI My Music Ci My Pictures File Hame lissue bd Files of Type New Issue Upload Files txt Clicking the icon of the desired file returns the name of the file in the File Name textbox as shown above Clicking the Cancel button on the above screen closes the screen When the user clicks the Open button after specifying the file name the
18. 191 7 8 ACTIIVIEY BAELANGEREPORS ide b e SERI assoc AA 192 7 8 1 ACCO ACV REPOT MT TP 193 7 8 2 ACCOUNT Baldance xReDOVi iae soo tec oun nctcsbubund aad a e VR Ups De utei Oct lo bud au eU bd URGE DEO bee tes UU ERE 197 7 9 ITS TRE POR TS 199 7 9 1 UV GU SACHOIATAST AR CDOEDasm et EVENIRE A I MU 199 7 10 RIGHT SUBSCRIPTION REPORTS 2 1259 SEES ete MERE eo Sae ETEA an tuli ates a o han es 202 7 10 1 Right Subscription Request List Report eese eese nnne eese nnne eese snas 202 7 10 2 Right Subscription Cancellation Request List Report esses 204 7 10 3 Rien Offer Reconciliation Repoti eese ae ete Eee ae Eva educi viven 206 Revised October 2010 5 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 1 INTRODUCTION 1 1 PURPOSE AND SCOPE The CDS User Manual has been designed to be used as a detailed guide for all users responsible for the day to day operations of the Central Depository System CDS The details contained herein are applicable to all CDS elements and their authorised users in accordance with their nature and authority to execute various types of CDS transactions These elements include but are not limited to e Account Holders including Participants e Registrars Transfer Agents e Eligible Pledgees e Trustees The Manual covers details of operations for all users of the CDS Relevant sections of the Manual are issued to differ
19. Allotee After First Upload New Issue iw With Detail Without Detail Security Symbol IMAMBE MAMBS Browse MAMB65 Security for New Issue Test Transaction ID 27056 117 Print Options iw Print Report Only 2 Download Report Only The user has the option to generate the report With Detail or Without Detail by selecting the relevant radio button in the above screen The user is required to enter a Security Symbol in the above screen A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct symbol When a valid Security Symbol has been entered the system automatically displays the Transaction ID for the New Issue transaction for which the report is being extracted as shown below Revised October 2010 165 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 List of Successful Allotee After First Upload New Issue With Detail Without Detail Security Symbol IMAMB5 MAMBS Browse MAM65 Security for New Issue Test Transaction ID 27056 117 Clicking the Ok button displays the report on the screen while clicking the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started The print option is explained at the beginning of this chapter 7 6 6 List of Successful Allotee After
20. Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember Revised October 2010 132 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 the correct ID Transaction ID The user can generate the report for A withdrawal Approval Rejection transactions or for a specific transaction by selecting the relevant radio button As the user selects the Specific radio button a textbox for entering the Transaction ID appears as shown below Withdrawal Approval Rejectian Report Save Post RITAID 2456 SH RTA Participant ID amp All 5 Specific Transaction ID All Specific Browse a A Browse button is provided by the side of the field to give the user access to a lookup table containing withdrawal transaction records Account No The user can select the A or Specific option by clicking the relevant radio button to generate the report on withdrawal Approvals Rejections for all accounts of a participant or a specific account The Specific option in this field is enabled if the Specific option is selected in the Participant ID field since accounts are related to participants Further if the user selected the All option in the Participant ID field the Specific option in the Account No field is disabled Further this field disappears if the user selected the Specific option in the Transaction ID field The
21. Cantral Depasitory Company of Pakistan Limited Dapcsit Requast Approval Report 206762 coc 100206 z 3240522006727 11A Account z JK One 3240 512006721 BET 030303757 Joint Holder Two 3240E 1200472 4 UAT 01200 Joint Holder Three z 32405 1200 72 5 UAT 01201 I o 1 C2456103 11 10 2010 10 00 25 Page Usar Data Tima INVESTOR ACCOUNT SERVICES NYDERAEAD SUT SH CDS Testing Security 24562 Approved z 10 02 2050 cH RTA Rejactad No af Certificates LOR id 4 11 gt bi Contains commands for working with the selected items Total Volum Wc of Units o 25 When the Print command is executed through one of the above options the following screen appears Revised October 2010 20 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Printer Mame Shede_ho_stvS0 HP2420PDT Status Toner low 0 documents waiting Comments and Forms Type HP Laserlet 2420 PCL 6 Print Range Preview GO All Curent view Current page O Pages 1 Subset All pages in range Reverse pages Page Handling Copies 1 m Collate Page Scaling Reduce to Printer Margins va Auto Rotate and Center Ir HHN i jiii Choose Paper Source by PDF page size Print to file Units Inches oom 964 121 T User can set the printer option in this screen OK button prints the report on selected printer and Cancel button will
22. LORs and Pending volume Clicking the Cancel button on the Deposit Request Approval Pending screen displays the following message Deposit Certificate LOR Do you want to discard the changes Tes Ho If the user clicks the Yes button in the above message screen all changes are discarded and the deposit Approval Rejection transaction is not saved The user is taken back to the main Deposit Approval Rejection screen If the user clicks the No button the message window is closed and the user remains on the same Deposit Approval Rejection screen After the user has marked the certificates LORs as approved rejected or pending as desired the user should click the Save button to save the Deposit Approval Rejection transaction in the system Upon clicking the Save button the transaction is saved and the Deposit Approval Rejection screen is closed Revised October 2010 46 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The system displays the following message confirming that the transaction has been saved successfully Information Successtully Added 2003 40248 o 4 1 2 Updating Saved Deposit Approval Rejection Transactions The user can update a saved Deposit Approval Rejection transaction In order to update a transaction the user needs to go to the Saved Deposit App Rej status of the Deposit Approval Rejection screen and select the saved record to be updated Clicking the
23. OF THE APPLICATION Revised October 2010 CDS Users Manual Version1 2 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 3 3 EXITING FROM THE SYSTEM ereire ann a delen otia eai a a aei 29 4 MESSAGE VIEWING FACILITY soisenecnisstosenokenonssetiosas ian aair a a aa aaan 30 gt DIRECT TRANSACTIONS rr K 36 4 1 DEPOSITAPPROVALJREJECTION siosaia e a a E EA EA 37 4 1 1 Saving Deposit Approvals Rejections eee eene nee snnnn nnne sena nnne enses 3 4 1 2 Updating Saved Deposit Approval Rejection Transactions eese 47 4 1 3 Deleting Saved Deposit Approval Rejection Transactions eeeeeeesessseseee eene 49 4 1 4 Posting Deposit Approval Rejection Transactions eeeeeeeeeseseseseee enne eene nnne 50 4 2 WITHDRAWAL APPROVAL RBEIBCCIPIODBUu eeptepata ded E da C eodd eor pa hr ted epticnatons 53 4 2 1 Saving Withdrawal Approval Rejection Transactions eee eene eene 54 4 2 2 Updating saved Withdrawal Approval Rejection Transactions eeeeeessseeeeeeeeeneneeennens 59 4 2 3 Deleting Saved Withdrawal Approval Rejection Transactions ssec 61 4 2 4 Posting Saved Withdrawal Approval Rejection Transactions eese 62 4 3 MUTUAL TUND Sera ts du autos utecdutu A 64 4 3 1 Saving Units Redemption Approval Rejection ecce n e nhnnneeesnnnnrnnnn eee nnns 65 4 3 2 Updat
24. Option fields on a screen 2 3 10 Report Whenever the user will generate any report a separate screen will appear containing the respective report in Adobe Acrobat format as shown below el http 10 1 210 6 7026 Reports posteddepositrequest 28677322222010 1 199 11286773035746 pdf inf Windows Internet Explorer pro File Edit Address A Save a Copy a PI Search D Select ien A H 4 66 67 DOS v t Attachments 0 i D 5 o Favorites Help ix a A Search Pp Favorites L3 cw A LJ aax http 10 1 210 6 7026 Reports posteddepositrequest128677322222010 1 199 11286773035746 pdf info C2456101 10 1 199 11286773035746 10 1 45 22 x Go Links Report elaction Posted Transaction Id 2050 448 Transaction Date 10 02 2050 Participant I4 Account Bo Principal Account Woldar CNIC Nc Principal Account Woldar Passport Nc First Joint Holder Nama First Joint Holder CNIC No First Joint Holder Passport No econd Joint Woldar Nane econd Joint Holder CNIC No Second Joint Holdar Passport Nc Third Joint Nolder Nama Third Joint Holder CNIC No Third Joint Holder Passport No Security Symbol Remarks RY TA Approval Rajection Date Approval Rajection Remarks Approved Cart LOR Rejacted Cart LOR Pending Cert LOR Total Cartificates LOR Cantra 1 Depository Company of Pakistan Limited Dapcsit Raquast Approv
25. Participant Free Delivery File Name Files of Type Text File txt T GI SE After giving the file name when user has to click the Save button if the specified file name already exists the system gives the following message This file already exits Overwrite The Yes button overwrites the files while the No button takes the user back to the previous screen to get the different file name After giving the file name user has to press the SAVE button in report screen The program will display the message in the bottom of screen Please wait while retrieving data After the process completion the following message will displayed Revised October 2010 108 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Successfully Downloaded Report The downloaded file can be opened from the specified location to view and or print the report 7 1 ELEMENT AND USER MAINTENANCE REPORTS The Element and User Maintenance reports option on the Reports menu enables the user to display and or print reports relating to maintenance reports of elements and users e CDS Central Depository System File Directtransactions Corporate Actions Element Type RTA Element Id 2 Last Accessed 23 04 2057 11 46 36 b ipti b List Reports Right Subscription Reports Revised October 2010 109 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 1 1 Element Rep
26. Rej Transaction button after selecting a redemption request record the following screen 1s displayed Redemption Approval Rejection Transaction ID 20 5r RTA ID 24581 Participant ID neng MS UMAR CAPITAL SECURITIES PVT LTD Account Number 517 JrowsE Muhammad muzzamil Security Symbol MUTUFS OW SE mutufal fund test Transaction Amount 1 M Remarks Status Approve z e The user can update the Remarks in the respective field and select the appropriate option from the Status combo box so as to mark the redemption request as Approved Rejected or Pending If the user selects the Reject option from the Status combo box the Rejection Code field appears as shown below Revised October 2010 66 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Redemption Approval Rejection Transaction ID 2057 _ RITA ID 24581 Participant ID erowse UMAR CAPITAL SECURITIES PVT LTD Account Humber Browse Muhammad muzzamil Security Symbol MUTUFS browse mutufal fund test Transaction Amount 1 Don Hemarks Status Rejection Code Sow eon In the Rejection Code textbox the user is required to enter the appropriate rejection code or select a rejection code from the lookup table that opens when the Browse button next to the field is clicked If the user selects the Reject option in the Status combo box
27. SE ae rnt utut t The Status field on the above screen enables the user to display Rejected Approved Pending or All transactions in the scrolling table of the screen by selecting the relevant option from the combo box To post a saved Withdrawal Approval Rejection transaction the user will need to select the desired record from the scrolling table and click the Post button Upon clicking the Post button the system checks if the transaction includes certificates with Pending status If that is the case the system displays the following message Revised October 2010 62 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Otherwise the system generates the following confirmation message Confirmation Are you sure you want to post this record Yes No If the user clicks the Yes button the Withdrawal Approval Reject transaction is posted in the system If the No button is clicked the message window is closed and the user remains on the same Withdrawal Approval Rejection screen Clicking the Yes button displays the following message confirming that the transaction has been posted successfully en Once a withdrawal Approval Rejection transaction has been posted it disappears from scrolling tables of the Withdrawal Approval Rejection screen of the Saved Withdrawal Approval Rejection screen Revised October 2010 63 CENTRAL DEPOSITORY CO
28. Share Book Detail report can be displayed printed amp downloaded by the R TA When the User clicks the Share Book Detail option in the Corporate Actions Reports submenu under Reports menu the following screen is displayed Share Book Detail Report Options Book Closure Id 2057 Browse Share Book Selection 2 History Present Resident Status ALL T Account Code m Share Holder Category Id ALL Print Options Print Report Only 2 Download Report Only T File Separator on J uen Revised October 2010 152 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The History and Present radio buttons in the Share Book Selection field allow the user to view share book details regarding historic completed book closures or present current book closures respectively The user also has to select the Resident Status Account Code and Share Holder Category ID The Resident Status Combo has the following options The Account Code combo box has the following options ALL Resident Pakistani Non Resident Pakistani R Non Resident Pakistani NR Foreigner Resident R Foreigner Resident NR Foreigner Non Resident R Foreigner Non Resident NR ALL CFSII CFSC CFSH CFSCI C CIA G H IHA Revised October 2010 153 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Share Holder Category combo has the foll
29. The Deposit Request Report menu item 1s displayed when the Deposit Reports option on the Reports Menu is highlighted It enables the user to display or print a report showing the posted Deposit Requests that have been marked as Cancelled or Pending Clicking this menu item displays the screen shown below Deposit Request Report Search Option From Date 23 04 2057 53 To Date 23 04 2057 Status All v ina Options Transaction ID Account Number Security Symbol Search TRANSACTION ID PARTICIPANT ID ACCOUNT NO SECURITY SYMBOL VOLUME REMARKS STATUS Pr Print Report Only O Download Report Only File Separator The Save tab of the above screen is disabled by default The R TA ID is hard coded and cannot be changed by the user This screen provides the user with Search Options The Search Option combo box enables the user to search posted Deposit Request transaction on the basis of a specific Date Range or Transaction ID When the user selects Transaction ID from the Search Option combo box in the above screen the textbox for entering the required Transaction ID appears as shown below Revised October 2010 126 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Deposit Request Report Transaction Br If Date Range is selected from the Search Option combo box the Status field appears enabling the user to select a status for the poste
30. Volume Number of Certificates LOR Total Volume No of Units Status and Description Clicking the No button closes the message window without generating the report Once a deposit Approval Rejection transaction has been posted it disappears from both scrolling tables of the Deposit Request screen as well as from the Saved Deposit Approval Rejection screen Revised October 2010 32 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 2 WITHDRAWAL APPROVAL REJECTION The withdrawal procedure enables account holders participants to withdraw book entry securities from the Central Depository System in order to get them reconverted to physical security certificates if the account holders sub account holders prefer keeping security certificates in their physical possession This procedure will be initiated by an account holder participant either on behalf of his client or on his own behalf and will result in the issuance of a fresh security certificate in the name of the beneficial owner and a decrease in the CDC s nominee holding in the Members Security Holders Register Note During the Book Closure period of a Security the System will not allow account holders participants to process and post Withdrawal Request transactions of that particular Security Revised October 2010 53 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 2 1 Saving Withdrawal Approval Rejection Transactions The registrar transfer age
31. after selecting the required record displays the following message Confirmation E E X Are you sure you want to delete Tes Ho Clicking the Yes button deletes the saved unit s issuance request transaction and it disappears from the scrolling table of saved transactions Clicking the No button closes the message screen without deleting the transaction As a transaction is successfully deleted the following confirmation message 1s displayed Information 5 Delete Successtully 2005 51 m Revised October 2010 102 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 6 2 4 Posting Mutual Fund Issuance Request In order to post a saved unit issuance transaction the user needs to select the required record in the scrolling table of the Mutual Funds Issuance Request screen shown below e CDS Central Depository System File Direct transactions Corporate Actions Reports Element Type RTA Element Id 24561 User ld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 46 36 G email Mutual Funds Issuance Request Save Record Selection pa Options Transaction ID Security Symbol Transaction Date 23 04 2057 zd Search Refresh TRANSACTION ID TRANSACTION DATE SECURITY SYMBOL REMARKS 2057 15 23 04 2057 MUTUF3 Issuance Request The user may find the required record by entering the relevant Transaction ID Security Symbol and or Transaction Date in the Search O
32. can also click the A radio button to compile the report for all the securities A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol e Transaction The user can enter a particular Transaction Code if the user Code wants to restrict the report to activity in that transaction only or the user can enter A to compile the report for all the transactions executed A Browse button 1s provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Transaction Code Revised October 2010 200 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Operation The user can enter a particular Operation Code if the user wants Code to restrict the report to activity in that transaction only or the user can enter A to compile the report for all the operations executed A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Operation Code Since the Operation Code is related to Transaction Code the textbox for entering the Operation Code appears only when the Specific option is selected in the Transaction Code field From Date amp X The dates to be covered by the report should be entered in these To Date fields Clicking the OK button will display
33. on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Transfer Approval Saved Transfer Rejection or Saved Transfer Pending if the user wants to update transfer approval rejection or pending transaction respectively Clicking the record to be updated from the scrolling table and clicking the Update button opens the Unit Transfer Approval Rejection screen shown below Unit Transfer Approval Rejection Transaction ID 2057 g7 RTAID 24561 From Participant ID From Account Humber To Participant ID To Account Humber Security Symbol Volume Reason Code Status Remarks HOBOS UMAR CAPITAL SECURITIES PT LTD 517 Muhammad muzzarmil MU NORMAL PARTICIPANT FOR MERGER TESTING 511 ACCOUNT TITLE1033 MLITLIF3 mutufal fund test 1000 TROO1 Transfer Request due to Settlement Approve Y Approve cl sow Cances The user can change the status by selecting the appropriate option from the Status combo box and update the Remarks Clicking the Cancel button will generate the following message Revised October 2010 77 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Confirmation Clicking the Yes button will close the above Unit Transfer Approval Rejection screen without updating the data whereas clicking the No button will close the above message screen
34. sisse eese rnnt sn nire 103 T REPORT oaen aa E c Hm 105 7 1 ELEMENT AND USER MAINTENANCE REPORTS esses nennen 109 7 1 1 EIOnent REPON susti essed ROR 110 7 2 SECURITY MAINTENANCE REPORTS 55 iszsdst bun etn ue epa e Unde i pee doas au E 113 7 2 1 SECU YAS TRC ONL Her seca E E E EAT 114 7 3 DEPOSIT REPOR TS cm 118 A d DepnoOSADDIOTVOLRODOEI S ensssctusbeu donatae eas Ente drm Ee rae eT but uud EER 119 7 3 2 Deposit IREQUEST Report S cosi eR ta vt oH aa E stu TO A O 126 7 3 3 Duplicate Certificare LOK Report socii Oltre usata E OE 129 7 4 WEED RAW Alo REPORTS inre QUO eese Dueh ideis au qd axe Eos eoo ER DINERS 131 7 4 1 Withdrawal Approval Rejection Report eese nennen nennen eene nnne nnns 132 7 4 2 Withdrawal Request REPOT ice a e etie e nete eee as e ae e bead deed ees EN uae e OE SUR 136 7 5 PARTIAL CANCELLATION REPORTS 2 353 geirosucsteitro tal iee a a a NE 138 7 5 1 Partial Cancel ation Request REPOT criniera atria Eee vo E EEEE EARE 136 7 2 2 PISCOPO REPON iii E m tbe etes te trn ous tes tad mscr E EARE 140 7593 3 Final Upload IRCDONE RETI 141 7 5 4 Successful Partial Cancellation After First Upload Report essen 143 Y Successful Partial Cancellation After Final Upload Report sssseeeessseeeeeeeel 145 7 6 CORPORATE ACTION REPOR 92 2 2nd sace i aE Phe eod doa e iQ Due Vea adeant o aoa adde 148 7 6 1 TSSUCT ANC
35. tab of the Upload New Issue screen after the necessary verification In order to do this the user will need to enter the Security Symbol in the relevant field on the Final Upload tab of the Upload New Issue screen As explained above the user may look up the desired security symbol in the look up table by clicking the Browse button Revised October 2010 92 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 As the user enters the desired Security Symbol the Transaction ID related to the new issue definition 1s automatically displayed in the Transaction ID field as shown below New Issue Upload First Upload Final Upload Security Symbol PTS Pakistan trading Security Transaction ID Once the user has entered the Security Symbol the user may click the Post button to post the new issue upload transaction Clicking the Cancel button closes the above screen without posting the new issue As the user clicks the Post button the system generates the following message Confirmation E x Are you sure you want to post Yes No Clicking the No button closes the above message screen while clicking the Yes button posts the new issue details However if the file still contained errors not rectified by the user the system will generate the following message Error Data contains error after successfull save into the save table o On successful post the system displays the following confirmati
36. the Issuance Add Request screen as shown below TransactionID 2057 16 RUTAID 24561 Security Symbol MUTUF3 Hemarks Issuance Request Detail Maximum 1000 Issuance Detail records allowed PARTICIPANT ID ACCOUNT NUMBER Total Records 2 Total Volume 300 om utate Dolo Sae Cancel The user may change the Remarks in the above screen insert more issuance request record delete or update existing issuance request records as discussed in the section Saving Units Issuance Requests above After making the required changes the user is required to click the Save button to save the changes Revised October 2010 100 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 If the Save button is clicked without making any changes the system displays the following message Ho Updations Made When the Save button is clicked after making the changes in the above screen the system displays the following message Information i Update Successfully 2005 53 o Revised October 2010 101 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 6 2 3 Deleting Mutual Fund Issuance Request The user can delete a saved Units Issuance Request In order to delete a record the user needs select the issuance request transaction to be deleted from the scrolling table of the Mutual Fund Issuance Request screen and click the Delete button Clicking the Delete button
37. the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 201 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 10 RIGHT SUBSCRIPTION REPORTS The user can access the reports related to right subscription as shown in the figure below e CDS Central Depository System File Directtransactions Corporate Actions Element Type RTA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 14 43 03 Security Maintenance Reports gt Deposit Reports Withdrawal Reports Partial Cancellation Request Reports Corporate Action Reports Activity Balance Reports List Reports gt b b b Mutual Fund Reports gt b gt Right Subscription Request List Reports Right Subscription Cancellation List Reports Right Offer Reconciliation Report 7 10 1 Right Subscription Request List Report The Right Subscription Request List Report option is displayed when the Right Subscription Reports menu item on the Reports menu is selected It enables the user to display or print a report showing a list of right subscription requests initiated by the Participants in the system The information displayed in the report includes Right Subscription Request No Subscription Date Participant ID A
38. the required options from the respective combo boxes Revised October 2010 157 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The Format of LOBO Download Data File 1s as follows Header Security ID Security Name R TA ID R TA Name User As on Date Date Time Detail Element ID Account No Account Type Account Title Father Husband Name Address NIC Passport Details Zakat Status Share Holder Category Residential Status Occupation Description Nationality Dividend Mandate Joint Holders Details and Share Holding Trailer Total Holders Total Holding When the report is displayed the user can get it printed as explained in the chapter Getting Started The print option is explained at the beginning of this chapter The contents of Download and Print option report are same as that of the Print Report only 5 1 1 First Upload List The First Upload List report shows details of records with and or without errors found by the system during the First Upload procedure explained in the chapter of New Issues The header portion of the report includes Security Symbol R TA ID Transaction ID Report Type User ID Date and Time whereas the body of the report includes Form No Participant ID Account No Account Type ID Security Id Volume Error Remarks The First Upload List option 1s available on the submenu displayed when the Corporate Action Reports menu item on the Reports menu is high
39. to each of them Selecting Report Type as Error will display all those records in which any sort of error exist Selecting Report Type as No Error will display all those records in which no error exist Selecting Report Type as ALL display all records irrespective of error exist or not Clicking OK button will display the report Cancel will exit without displaying the report Revised October 2010 142 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 5 4 Successful Partial Cancellation After First Upload Report The Successful Partial Cancellation After First Upload Report option is displayed when the Partial Cancellation Request Reports menu item on the Reports menu 1s selected This report enables the user to display or print the information related to those transactions that are successfully approved for cancellation after first upload The information displayed in the report includes Serial No Participant ID Account Number Account Type Account Details and Approved Volume Clicking this menu item displays the screen shown below List of Successful Partial Cancellations After First Upload Report Option With Detail O Without Detail Security Symbol Browse Transaction ID Print Options iv Print Report Only O Download Report Only File Separator User can generate report with detail or without detail by selecting the radio button given next to them Down
40. transfer requests are displayed in the scrolling table as shown below Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 16 36 2g email Save Filter Option Transaction Mode Pending Unit Transfer Request Y Record Selection Search Options Transaction ID From Participant ID To Particpant ID Security Symbol Transaction Date 23 04 2057 E Search Refresh TRANSACTION ID FROM PARTICIPANT ID FROM A C NO FROM A C CODE TO PARTICIPANT ID TO A C NO SECUR 2057 92 60608 517 C 50500 511 MUTUF3 VEU VEU o jp o M l jenen ee na a a nt aae aa a aat aaa a aa a a a a a a aa eg EES IS LEELA at LASALLE LEELA EELS eunt a atta at ua at aa a a A nt aat atat EEE EE EEE a at aat ELE ELLE EEL ELE EEE LEE LEE EEE LEE ELE EEE a a a t aa ua EES DOG OG OG GOOD The user may find the required record by entering the relevant Transaction ID From Participant ID to Participant ID Security Symbol and or Transaction Date in the Search Options section of the screen and clicking the Search button The user can use any specific field or multiple fields for searching of records Clicking the Refresh button clears the data in the Search Option fields After the user has selected the unit transfer request transaction to be marked as approved rejected or pending the user should click the App Rej Transaction Revised October 2010 73
41. ut uf at y LOL UL 20 SEPA PEPER EPAPER RARER UR UE IRAE I UU UE UE UE UE UE UE UE IE UE UE UE UR UE RRR RREK RRR RRR RRRA RRR UE UE ERASER ARERR ERASE REPEL RIERA PPR UE UE UE URGE UP UR E IR EUR ARRO RRR RE RRR IER ERR PR PRS ana UTE TUTTI EUTUUTUU TU TEUEUU TE TUUTTU DU TTUD DUI TUTEUE TTE TT UTEUT UOTE TETTE DU DE Laf af af af a af af af af a af af a al af af a al a af a a al al a a a a a a La a a a a a a a aL a a d a a a d a a Cat ata aa au a ad aaa dad aa aaa aa a aa aa aa aa aa aa aa a aa aaa a aa aaa da a aa aad aa ad ada aa aa aaa aaa a a aa a aa aa aa a aaa aa aaa a aaa fa a af af af a af af aa af a aa af uf a a af uf a af af uu a ut The R TA ID whose user has logged onto the system currently is hard coded in the field by the system and the user is not allowed to change it The above screen in the Saved Deposit App Rej status shows all the Saved deposit approve reject transactions in the scrolling table The columns are Transaction ID Participant ID Account No Security Symbol Approved Volume Rejected Volume Pending Volume Total Volume and Remarks Revised October 2010 39 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 In order to approve or reject certificates LORs in a deposit request transaction the user must select a record from the scrolling table shown when the Deposit Request option is selected in the Status field on the Filter Options section of the Deposit Approval Rejection Screen In o
42. 057 Last Accessed 23 04 2057 10 34 10 AF email v High v Normal Record Selection pe Options Subject Message From Date H v To Date i z Search Refresh SUBJECT RECEIVED PRIORITY 23042057 10 41 53 Normal View Cancel User can enter subject of the message from date to date priority in the search panel and press the search button to display the required messages in the scrolling table To view the complete message details user selects the desired message from the scrolling table and then clicks the View button Clicking the Cancel button will take the user to the Main Menu Screen If user wants to read any message at a later stage then user selects the relevant message and clicks the View Later button Clicking the View Later button will take the user to the Main Menu screen At the time of login if any message s exists which is not yet read or marked as View Later by user earlier during last login then after again login the user will be directed to the message board Unread browser screen as shown below Revised October 2010 32 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 User ld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 10 34 10 Message Board Unread Read Priority vi High v Normal
43. 2 3 2 LOGGING OUT OF THE APPLICATION In order to logout from CDS the user will have to click the Log out option on the File menu As the user clicks the Log out option the system generates the following confirmation message Clicking the No button will cause the message screen to disappear and the user will be taken back to the main menu screen of the system Clicking the Yes button logs the user out of the application and takes him back to the CDS login screen shown below CENTRAI DEPOSITOR COMPANY Central Depository System User Id Password Revised October 2010 28 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The log out option is useful 1f the user desires to log out from the application so that another user can login to the application without having to wait for the system to load once again 3 3 EXITING FROM THE SYSTEM The user can close the CDS application by clicking the Exit option on the File menu Clicking the Exit option will generate the following confirmation message Are you sure you want to exit _No Clicking the No button will cause the message screen to disappear and the user will be taken back to the main menu screen of the system Clicking the Yes button will close the application If a user wants to login to the system again the user will have to once again load the application via Internet Browser page or by clicking CDC Automati
44. 24551 Participant ID anang UMAR CAPITAL SECURITIES PT LTD Account Number 517 Muhammad muzzamil Security Symbol MUTUF 3 mututal fund test Transaction Amount 1000 Remarks Approved Status Approve Sow coa The user can update the Remarks and change the status by selecting the appropriate option from the Status combo box Clicking the Cancel button on the above screen will generate the following message Confirmation E i X Are you sure you want to cancel Tes Ho Revised October 2010 69 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Clicking the Yes button will close the above Redemption Approval Rejection screen without updating the data whereas clicking the No button will close the above message screen If the Save button is clicked without making any changes in the transaction details the system displays the following message Once the changes to the saved redemption Approval Rejection pending record have been successfully saved the system generates the following message Information g successfully Updated 2005 99 Revised October 2010 70 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 3 Deleting Saved Units Redemption Approval Rejection In order to delete a redemption Approval Rejection pending transaction the user will open the Redemption Approval Rejection Screen on the submenu which is dis
45. 408 1200672 4 UAT 01200 Joint Holder Three 32408 1200672 5 SHT 24561 SH Approved Rejacted 10 02 2050 Approved Rejacted Cart LOR Pending Cert LOR Total Cartificates LOR Voluma Rook Hoor Nc of Total Volume Certificataz lOR Nc of Units 000000000123 id 4 io gt bi Alternatively the report can be saved by clicking the Save option in the File menu as shown below Revised October 2010 17 CENTRAL DEPOSITORY COMPANY Save menu command File Edit GoTo Favorites Help O AAG Paw erm S SEU Address c http 10 1 210 6 7026 Reports posteddepositrequest128677322222010 1 199 11286773035746 pdF info C2456101 10 1 199 11286773035746 10 1 45 22 Report Celaction Transaction Id Transaction Date Participant Id Account Bo Principal Account Holdar CNIC Nc Pr Holder Nane Eecond Joint Boldar CNIC Mo Second Joint Holder Passport Nc Third Joint Holder Nama Third Joint Holder CNIC Bo CDS Users Manual Version1 2 m Eco we gt Cantral Depository Company of Pakistan Limited Approval Report Daposit Raquast Posted 2050 448 10 02 2050 06742 100208 3240512006727 JH Ona 3240 512006723 PET 030303777 Joint Holder Two 32405 1200672 4 UAT 01200 Joint Holder Thrae 32405 1200672 5 Third Joint Nolder Passport No Status Approval Rajection Date Approval Rajection Remarks Approved Cart LOR Rejacted Ca
46. 7 628 60608 20 ISHT 14 000 1 000 2050 400 46284 100119 SHT 1 D To post a saved Deposit Approval Rejection transaction the user will need to select the desired record from the scrolling table and click the Post button This will generate the following message Confirm changes E zj Do you want to Post the Deposit Approval Rejection Yes No Revised October 2010 50 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 If the No button is clicked the message window is closed and the user remains on the same Deposit Approval Rejection screen On clicking the Yes button the system checks if there are any certificates LORs with Pending status and if the system finds such certificates LORs it is unable to post the transaction and displays the following message Error Cannot post with Pending Certificates However if there are no pending certificates LORs in the Deposit Request the Deposit Approval Reject transaction is posted in the system the following confirmation message is displayed li Information so Successfully Posted 2003 401 1 Generate repart Revised October 2010 51 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 On clicking the Yes button the system generates the report on the deposit Approval Rejection transaction showing the From To_ Certificate LOR Numbers
47. Account No All 2 Specific Security Symbol amp All 2 Specific Transaction Type All Security Symbol The user can generate the report for All securities or a Specific security The Security Symbol is required in this field if Specific option is selected A textbox for entering the Security Symbol appears on the screen when the user selects the Specific radio button in the Security Symbol Field A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol Transaction Type The user can select a Transaction Type for generating the Unit Transfer Approval Rejection Report for only the specified type of transaction The user can also generate the report for all transaction types by selecting the All option from the Transaction Type combobox The available options are To be Approved To be Rejected Pending and All Clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started If the user wants to display or print a report related to posted Unit Transfer Approval Rejection transactions the user needs to go to the Post tab of the above screen Clicking the Post tab di
48. Account No is required in the textbox if Specific Revised October 2010 133 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 option is selected As the user selects the Specific radio button a textbox for entering the Account Number appears as shown below Withdrawal Approval Rejection Report RITA ID SH RTA Participant ID gt All Specific Browse Transaction ID All O Specific Account No All Specific Browse Security Symbol All O Specific A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Account Number Only those account number will be displayed in the browser for which any save transaction exist in the save browser Or in case of manually input only those account numbers will be accepted by the system for which any save transaction exist in the save browser Security Symbol The user can select the All or Specific option by clicking the relevant radio button to generate the report on withdrawal approvals rejections for all securities or a specific security This field disappears if the user selects the Specific option in the Transaction ID field The Security Symbol is required in the textbox if Specific option is selected This textbox appears when the user selects the Specific option as shown below Revised October 2010 134 CENTRAL DEPOSITORY COMPANY CDS Users Ma
49. Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Transaction Code On clicking the Specific radio button a textbox for entering the Operation Code appears The user can enter a particular Operation Code in this textbox if the user wants to restrict the report to activity in that transaction only or the user can enter All to compile the report for all the operations executed in the Participant s account A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Operation Code Since the Operation Code is related to Transaction Code the textbox for entering the Operation Code appears only when the Specific option is selected in the Transaction Code field The user is required to click the appropriate radio button for the required Contra Element Type The contra element type indicates the parties transactions with whom are to be included in the report To show transactions of the Participant with all parties the A radio button should be clicked Clicking any button other than 4 causes the Contra Element ID field to appear below the Contra Element Type field as shown below Revised October 2010 CDS Users Manual Version 1 2 195 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Account Activity Report Element ID
50. D Participant ID Account No Security Symbol Volume Number of Units and Remarks In order to approve or reject or pending a withdrawal request transaction the user must select a record from the scrolling table shown when the Withdrawal Request option is selected in the Status field on the Filter Options section of the above screen In order to find a record in the scrolling table the user is provided with Search Options in the Record Selection section of the above screen The user can search a record by entering the Transaction ID Participant ID Account Number and or Security Symbol and then click the Search button This will display the records matching the provided criteria in the scrolling table The user can use any specific field or multiple fields for searching of records Clicking the Refresh button refreshes the scrolling table and displays all the withdrawal requests To close the Withdrawal Approval Rejection screen without approving or rejecting a withdrawal request transaction the user can click the Cancel button In order to approve or reject or pending a transaction the user will click the Approve Reject Transaction button at the bottom of the screen once the user has selected the desired record from the scrolling table If the button is clicked without selecting a record from the scrolling table the system will generate the following message As the user clicks the Approve Reject Transaction butto
51. Detail includes Form No Participant Id Participant Name Account No Account Type Account Title NIC Passport Details and Volume Requested This option is available on the submenu displayed when the Corporate Action Reports menu item on the Reports menu is highlighted Clicking this option displays the following screen Revised October 2010 163 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 List of Successful Allotee After First Upload New Issue Without Detail Security Symbol Browse Transaction ID Print Options v Print Report Only Download Report Only pO File Separator Comma Colon C SemiColon i TabSpace The user has the option to generate the report With Detail or Without Detail by selecting the relevant radio button in the above screen The user is required to enter a Security Symbol in the above screen A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct symbol Security Lookup TRANSACTION ID DISTRIBUTION DATE SECURITY ID 2058117 PRT231231238 WANE S MANES Revised October 2010 164 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 When a valid Security Symbol has been entered the system automatically displays the Transaction ID for the New Issue transaction for which the report is being extracted as shown below List of Successful
52. Detail radio button the screen changes as follows List of Successful Allotee After Final Upload New Issue Report Option 2 With Detail Without Detail Security Symbol IMAM302 Browse MAM3U U Test SEcurity Transaction ID 7056 115 The print option is explained at the beginning of this chapter Revised October 2010 167 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The user is required to enter a Security Symbol in the above screen A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct symbol When a valid Security Symbol has been entered the system automatically displays the Transaction ID for the New Issue transaction for which the report is being extracted as shown below List of Successful Allatee After Final Upload New Issue Report Option With Detail gt Without Detail Security Symbol IMAM3D2 Browse MAIM3U Test SEcurity Transaction ID 7056 115 Print Options i Print Report Only 2 Download Report Only File Separator Clicking the Ok button displays the report on the screen while clicking the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started The print option is explained at the beginning of this chapter 7 6 7 Entitlement List Re
53. Final Upload The List of Successful Allotee After Final Upload shows details of the successful subscribers to a new issue of securities after the final Upload has been made The header portion of the report includes Security Symbol Transaction ID R TA ID User ID Date and Time The body of the report in case of report With Detail includes Form No Participant ID Account Type Account No Account Title Father Husband Name Address NIC Passport Details Zakat Status Shareholders category Residency Status Occupation code nationality Dividend Mandate Volume Requested The body of the report in case of Without Detail includes Form No Participant Id Participant Name Account No Account Type Account Title NIC Passport Details and Volume Requested Revised October 2010 166 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 This option is available on the submenu displayed when the Corporate Action Reports menu item on the Reports menu 1s highlighted Clicking this option displays the following screen List of Successful Allotee After Final Upload New Issue iw With Detail Without Detail Security Symbol Transaction ID Print Options amp Print Report Only 2 Download Report Only File Separator The user has the option to generate the report With Detail or Without Detail by selecting the relevant radio button in the above screen If the user selects on the Without
54. H option to generate the report for all account codes The Revised October 2010 171 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 other available options are All C Client Account CIA Client Investor Account H House Account IIA institutional Investor Account M Main Account CFSH CFSCI CFSC CFSH and G Group Account The print option 1s enabled only for following Corporate Action Types Bonus Merger Conversion RTA Cash Dividend Split Consolidation Redemption RTA Right Right for Suspended Participants The print option is explained at the beginning of this chapter Clicking the Ok button displays the report on the screen while clicking the Cancel button will quit the program without displaying the report When the report 1s displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 172 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 8 R TA Reconciliation Report The R TA Reconciliation report provides details of all transactions executed within a given period affecting a security or securities handled by a particular registrar transfer agent The objective of this report is to facilitate periodic reconciliation between the CDC records and the Members Security Holders Registers kept by R TAs For a selected security within a user specified date range this report is
55. HO ADI GI wide e N deus M D ML nei LED EM PESE 149 7 6 2 Share BooK DARIA ARa a 1252 Revised October 2010 4 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 7 6 3 List of Beneficial Owners Report xis oue deetee ete reae vates uet dex uet eue our Me EN ex E E qs 156 5 1 1 FOSCU PLOTE EISE us iit sec erste Palos EA pid ei eR dg c Ee MR RUE dtu O e stees dasa 156 7 6 4 IO OT EIE C 161 7 6 5 List of Successful Allotee After First Uplodd ex e o e e Ee EE aet 163 7 6 6 List of Successful Allotee After Final Upload iue ee a tea et ieis 166 7 6 7 Entulement EisPRODOP zres r s EEE eisque siia piu due Dae tup deti unease nena ptt et De tet 168 7 6 8 RIIA Reconciliation TROPOTE aasaesteeseetents tectae nin o vedert ide RE eeubder S c EUR abs 173 7 6 9 Pattern of Shareholduto RebOP ja eeeteidee testa eS ER OP de dne lae tp deo rua Co oe derit ou et rette 175 7 6 10 NewIssue Entmilement ReDOEL us WR ERE E A d oe ERI EUM 176 7 6 11 Book Clogure DeyvidiiOn RebOFYI i ee p T iem tee eHlis ae e Ee MERI EUM 177 7 7 MUTUALE EUND REPORTS eeun A E s sedia i Mes dU E MUUDIM Edi 179 ZU Redemption Approval Rejection Report eee eese eene nnne enses n nnns 180 Fle Unit Transfer Approval Kejecnion Report sass eee ee d Races edet 164 LA TSSHANCOIRCQUCSE REPOT iss RP ERE RU taunt a aes CON ceded asia Maun o AND dU ues 166 7 7 4 IssuanceXRequest EFFOF LASN REPOT GS ess o ERREUR S COR aU OU CO SOR CURAR EQ ERE OIEN
56. In the Status combo box that appears when the Date Range option is selected in the Search Options field only Approved Rejected option is available that specifies the status of the posted deposit Approval Rejection transactions for which the report is to be generated As the user clicks the Refresh button at the bottom of the screen after entering the above data the scrolling table on the screen returns the posted deposit Approval Rejection records matching the given criteria To find the required record from the scrolling table the user can enter the Transaction ID Account Number and or Security Symbol in the fields Revised October 2010 124 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 provided above the scrolling table and then click the Search button The record matching the given criteria will be highlighted 3 After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user after reviewing it can get it printed as explained in the chapter Getting Started The report format includes Date of Transfer From To Certificate No Volume Number of Certificates Total Volume Number of Units Status and Description Revised October 2010 125 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 79 2 Deposit Request Report
57. LE1033 Security Symbol MUTUFS mutufal fund test Volume 1000 Reason Code TROO Transfer Request due to Settlement Status Hemarks Rejection Code Browse Bon In the Rejection Code textbox the user is required to enter the appropriate rejection code or select a rejection code from the lookup table that opens when the Browse button next to the field is clicked If the user selects the Reject option in the Status combo box and clicks the save button but does not enter a Rejection Code the system generates the following message RE IECTION CODE field is empty Clicking the Cancel button on the above screen will generate the following message Revised October 2010 75 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Confirmation E E x Are you sure you want to cancel Clicking the Yes button closes the Transfer Approval Rejection screen without saving the transaction whereas clicking the No button will close the above message screen Clicking the Save button saves the transfer Approval Rejection pending transaction and generates the following confirmation message Revised October 2010 76 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 6 Updating saved Units Transfer Approval Rejection In order to update a saved unit transfer Approval Rejection pending transaction the user will open the Transfer Approval Rejection Screen
58. MPANY CDS Users Manual Version 1 2 43 MUTUAL FUNDS The transactions that R TA can carryout in the system with respect to the units of open ended mutual fund are issuance request redemption Approval Rejection and transfer Approval Rejection As the user clicks or otherwise selects the option Direct Transactions on the main menu the user is presented with a drop down menu containing the following options e CDS Central Depository System Corporate Actions Reports EN Deposit Approval Rejection d 24561 Withdrawal Approval Rejection Redemption ApprovalRejection I PS CARCHRSOMI gt Unit Transfer Approval Rejection User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 11 26 As shown in the above screen the Redemption Approval Rejection and Unit Transfer Approval Rejection options are part of the submenu that opens with the Mutual Funds menu item under the Direct Transactions menu Revised October 2010 64 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 Saving Units Redemption Approval Rejection In order to mark a redemption request as Approved Rejected or Pending the R TA user will open the Redemption Approval Rejection Screen on the submenu which 1s displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to Pending Redemption Request The pe
59. Nama Joint Holder Thrae Third Joint Holder CNIC Bo 32405 1200672 5 Third Joint Holder Passport No ENT SH CDS Testing Security 24562 cu RTA Status Approved Rejacted Approval Rajection Data 10 02 2050 Approval Rajection Remarks Approved Cart LOR Bejactai Cart LOR Pending Cert LOR Total Cartificates LOR 000000000123 1 Comments Attachments E i4 4 gt BIO O UJ H us Done Unknown Zone Alternatively the report can be printed by clicking the Print option in the File menu as shown below Revised October 2010 19 CENTRAL DEPOSITORY COMPANY Edit GoTo Favorites Ctrl o Print menu command Ctrl P Send Import and Export Properties Work OFFline Close Help Report Selaction Transaction Id Transaction Date Posted 72050 448 10 02 2050 Principal Account Holdar CNIC Nc Principal Account Holdar Passport Nc First Joint Holder Nasa First Joint Holder CHIC Ba First Joint Holder Passport No Second Joint Haldar Bane Second Joint Haldar CNIC No Second Joint Haldar Passport Nc Third Joint Holder Nama Third Joint Holder CHIC No Third Joint Holder Passport No Security Zymbol Remarks R TA Status Approval Rajection Data Approval Rajection Remarks Cart LOR Rejactai Cart LOR Pending Cert LOR Total Certificates LOR Volua Rejactad Voluna Voluna Total Volume Prom Cart LOR No 000000000121 CDS Users Manual Version1 2
60. October 2010 138 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Partial Cancellation Request Report Save Post Report Type RITA ID 2456 SH RTA From Date oao 2 2057 To Date 0302 2057 Status jal Transaction ID Account No Security Symbol Search Transaction ID Participant Id Security Symbol Status Remarks Volume By default Post Tab will be selected and disabled hence the user can only generate information related to all partial cancellation requests posted by the participants The R TA ID is hard coded of the login user and cannot be changed by the user User is provided with a search panel through which the records shall be displayed in the scrolling table In the search panel user enters desired criteria on the basis of Date Range Status of the transaction including approved rejected pending and cancelled Transaction ID Account No and Security Symbol When the desired criteria entered by the user clicking the Search button at the bottom of the screen return the records matching the provided criteria in the scrolling table After selecting the desired record from the scrolling table clicking the OK generates the report and clicking the Cancel button exits without generating the report Revised October 2010 139 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 132 First Upload Report The First Upload List Report option is displayed when the Partial Cancellati
61. Rejection screen contains two tabs First upload and Final upload By default the First upload tab is selected on the Partial Cancellation Approval Rejection screen In the First upload the R TA can approve or reject the partial cancellation requests by uploading a text file First user has to Download a text file which contains all the entry of cancellation request to allow the partial cancellation requests R TA will not remove them from the downloaded file and remove if they are to be rejected To download a file user has to enter the Security Symbol in the relevant field R TA will only be able to download if the definition of the apply date is already made by the admin If security symbol entered by the user whose apply date 1s not defined by the admin then following error message will be displayed Revised October 2010 82 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 User can also select Security Symbol from the look up table by pressing the browse button following screen will be displayed Security Symbol Lookup TRANSACTION ID SECURITY ID SECURITY SYMBOL SECURITY NAME 2058 13 PKAG5 4564656 SHT SH CDS Testing Security After selecting a particular security symbol user has to specify a file name To specify a file name user has to press Browse File button following screen will be displayed Look In My Documents Al Ed cal EH e EJ My Pictures File Hame luser manu
62. TA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 14 43 03 Security Maintenance Reports vw Deposit Reports Withdrawal Reports Partial Cancellation Request Reports Corporate Action Reports Mutual Fund Reports Account Activity Report List Reports Account Balance Report i gt Right Subscription Reports gt v v ww Each of The options in the sub menu above are dealt with in the paragraphs that follow Revised October 2010 192 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 8 1 Account Activity Report This report shows the account activities carried out by the R TA It shows details of all the transactions performed with respect to the security such as the transaction reference Transaction code Operation code Date Transaction ID Description Details Transaction Volume Available Volume Pledged Volume Pending in and Pending out volume The report header shows element ID Account No Security Symbol Transaction Code Operation Code Contra Element Type Contra Element ID and From To Dates In case the user specifies All Accounts the same process is carried out for each account To display and or print the Account Activity Report the user would select the Account Activity Report option on the sub menu which is displayed when the Activity Balance Reports menu item on the Reports menu is highlighted Click
63. Update button after selecting the required record opens up the following Deposit Approval Rejection screen DepositApprovalRejectton 3 7777 SS eee DA Transaction ID 2097 21 Participant ID 42887 Quality participant Account Number 106349 web ACCOUNT NUMBER 001 Security Symbol 123 PETRO C 123 Petro chamicalsecurity Deposit Approval Rejection Certificate LOR Detail Remarks Remarks for testing Registration Number L 01415 19890202 Save Cancel Revised October 2010 47 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The Remarks in the Deposit Approval Rejection tab can be changed by the user Similarly the certificates LORs can be marked as approved rejected or pending in the Certificate LOR Details tab of the above screen as shown below Deposit Approval Rejection E TransactionID 2105 70 Participant ID 58560 AZEEM IAS PARTICIPANT Account Number 100572 58560 Security Symbol DADEX DADEX Deposit Approval Rejection Certificate L OR Detail v Approved v Rejected v Pending Filter Certificates LORs DATE OF TRANSFER CERTIFICATE LOR NUM VOLUME REJECTION CODE STATUS 07 04 2005 000000000001 50 APPROVED 07 04 2005 000000000002 50 APPROVED 07 04 2005 000000000003 50 APPROVED 07 04 2005 oo00000000004 50 APPROVED 07 04 2005 000000000005 50 APPROVED 07 04 2005 ooooo0000006 50 APPROVED 07 04 2005 000000000007
64. Without Detail Security Symbol Browse Transaction ID User has to enter the security symbol in the relevant field to display the report user can also select the valid security symbol from the look up table When user enters the valid security symbol its Transaction ID will be displayed as shown below List of Successful Partial Cancellations After Final Upload Report Option amp With Detail 2 Without Detail Security Symbol SHT Browse SH CDS Testing Security Transaction ID 7056 13 Print Options Print Report Only 0 Download Report Only File Revised October 2010 146 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 User can either download the report or print it by default only print option is selected to download a report user has to click on the radio button provided next to Download Report Only Selecting download radio button will enable the field for File where user has to enter the file name as shown below List of Successful Partial Cancellations After Final Upload Report Option With Detail 2 Without Detail Security Symbol ISHT Browse SH COS Testing Security Transaction ID 2056 13 Print Options C3 Print Report Only i Download Report Only File TESTI File Separator Comma Colon C SemiColon TabSpace OK Cancel User can select any of the File Separator by clicking radio button pro
65. above screen closes and the file name is displayed in the File Name field of the Upload New Issue screen as shown below Hew Issue Upload First Upload Final Upload Security Symbol IPTE Pakistan trading Security Transaction ID File Hame ICADacuments and Settingsikykrma iMy D Once the user has specified the new issue data upload file the user may click the Save button to save the upload transaction to the system Clicking the Cancel button closes the Upload New Issue screen Revised October 2010 91 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 On clicking the Save button the following message is displayed if the upload is successful Information FS Successfully Added 2012 327 On the other hand if any errors were identified during uploading the system saves the file and generates the following error message to intimate the user if there are errors in the new issue data upload file S First Upload completed with some errors Ok Clicking the Ok button closes the above screen The user may get the details of the errors from the First Upload Error List as explained in the Reports section of this manual After rectifying the errors the user may again upload the file as explained above Once the new issue data file has been uploaded through the First Upload tab of the Upload New Issue screen and there are no errors remaining the user may post the new issue upload transaction through the Final Upload
66. ad 1s executed successfully R TA must execute final upload if until apply date final upload is not executed then first will be cancelled and partial cancellation request will be shown at the browser of participants To execute final upload user has to enter the security symbol on the final upload tab and press the Post button on the Partial Cancellation Approval Rejection screen as shown below Partial Cancellation Approval Rejection First Upload Final Upload Security Symbol SHT sid Browse Browse SH CDOS Testing Security Transaction ID 2 Post Cancel Revised October 2010 85 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 On successful execution of final upload process following confirmation message will be displayed Confirmation Are you sure you want to post Yes No Clicking No will exit without posting Yes will execute the final upload and following message will be displayed Information a Successfully Posted 2005 51 o Revised October 2010 86 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 6 CORPORATE ACTION 6 1 NEW ISSUE To set up a New Issue Upload transaction through data file upload the user needs to click the New ssue Upload option which is displayed when the New Issue menu item in the Corporate Actions menu is highlighted as shown below e CDS Central Depository System File Directtransactions Corporate Act
67. al Files of Type Partial Cancellation Upload Files txt w oa j ea Revised October 2010 83 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 User can enter any name for the file in the relevant field When user press Open button system will display the previous screen with file name entered by user in the relevant field as shown below First Upload Final Upload Security Symbol ISHT Browse SH CDOS Testing Security File Name C Documents and Settingsikyshadil Browse File Em pownicad cancel User has to press Download button to download the file If user presses the Download button with out specifying file name following error message will be displayed Successtulhy downloaded Revised October 2010 64 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 R TA can made changes in this downloaded file to approve or reject the partial cancellation request Note If the security volume in the downloaded file 1s equal to the requested volume then all of the requests will be approved To upload the finalized text file user has to specify the security symbol and file name in the first upload tab and press the Save button Following confirmation message will be displayed Information os S uccessfully Added 2056 13 I y Ok Once the first upload is done successfully without any errors then user can execute the process multiple times After the first uplo
68. al Report Paga 4 Usar Data Tima CDC INVESTOR ACCOUNT SERVICES WYDERABAD TIA Account SH CDR Testing Security GH RTA w wi Hoor o o 5 No 1 9 Total Volume Certificates LOR j 1 25 Appr Xo of Units Status z hh gt 1 cf C2456101 11 10 2010 10 00 29 Description wv 1 of 1 o GS Unknown Zone 1 2 3 10 1 Report Save In order to save the report on to a Personal Computer the users will need to press the short cut keys Ctri S on the keyboard or click the shortcut icon on the report screen as shown below Revised October 2010 16 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Favorites Help File Edit GoTo Q peck X M P se 5 Favorites e 2 P L rel Shortcut 1con for pam SS http 10 1 210 6 7026 Reports posteddepositrequest128677322222010_1_199_11286773035746 pdf info C2456101 10 1 199 11286773035746 10 1 45 22 saving report OFS Em OG P seron 4 T gt set im Cantral Depository Company of Pakistan Limited Daposit Raquast Approval Report Report felaction Posted Transaction I4 22050 448 sam Transaction Date 18 02 3058 10 00 29 Participant I4 06742 Account No 100208 Principal Account Holdar CNIC Nc 3240512006727 pr 1 Account Holdar Passport Nc First Joint Holder Nama JH Ona First Joint Holder CNIC Bo 3240 512006723 First Joint Holder Passport No DET 030303777 Joint Holder Two 32
69. and clicks the Save button while the Rejection Code field 1s empty the system displays the following message Revised October 2010 67 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 If the user clicks the Yes button on the above message screen the Redemption Approval Rejection screen closes without saving the transaction Clicking the No button closes the above message screen Once the redemption Approval Rejection pending transaction has been saved the system generates the following confirmation message Information op Successfully Added 2005 99 Au Ok Revised October 2010 68 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 2 Updating Saved Units Redemption Approval Rejection In order to update a redemption Approval Rejection pending transaction the user will open the Redemption Approval Rejection Screen on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Redemption Approval Saved Redemption Rejection or Saved Redemption Pending if the user wants to update redemption approval rejection or pending transaction respectively Clicking the record to be updated from the scrolling table and clicking the Update button opens the redemption Approval Rejection screen shown below Redemption Approval Rejection Transaction ID 2 57 RITA ID
70. and download the report Details related to print options is provided at the beginning of the chapter The download option is provided to the user with a view to download the subscription request and uploads the same for crediting into paid rights through New Issue upload functionality Output of the download file is following Right Subscription Request No Participant ID Account Number Security ID Subscription Volume 7 10 2 Right Subscription Cancellation Request List Report The Right Subscription Cancellation List Report option 1s displayed when the Right Subscription Reports menu item on the Reports menu is selected It enables the user to display or print a report showing the list of right subscription cancellation requests made by CDC Admin The information displayed in the report includes Right Subscription Request No Subscription Date Participant ID Account Number Account Type Revised October 2010 204 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Account Title Subscription Volume and Subscription Amount Rs Clicking this menu item displays the screen shown below Right Subscription Cancellation Request List Report Report Options Security Symbol Browse Subscription Date Type Date Range Y From Date 23 04 2057 E To Date 23 04 2057 Transaction ID All 2 Specific By default Save tab is selected However the user can generate report for the posted records also as s
71. appears CENTRAI DEPOSITORY COMPANY Central DepositorySystem Loading As the program loads the user is presented with the following Login Screen CENTRAI DEPOSITORY COMPANY Central DepositorySystem User Id Password Revised October 2010 12 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 In order to gain access to CDS the unique user ID and password assigned to each user by the system administrator are to be entered in their respective textboxes on the above screen Once the user logs on to CDS after entering the valid user ID and password the following Main Menu Screen is displayed e CDS Central Depository System File Direct transactions Corporate Actions Reports Element Type RTA Element Id 24561 User ld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 59 51 Revised October 2010 13 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 2 2 CHANGE PASSWORD When the user first logs into the CDS user identification number and respective password is identical However the CDS does not allow the user to access the system functionalities unless the user changes the password In case a user does not change his password for the mentioned number of days setup by the CDS administrator CDS requires the user to immediately change the password upon next login In order to maintain security it is strongly recommended that the user change the password from time
72. as the Security Symbol Security Name Corporate Action Date Corporate Action Status Action Apply Date Transaction ID and Corporate Action Details Clicking this option brings up the screen shown below Issuer Action Diary Sawen Issuer Actions Issuer Action Diary Report Options Security Symbol All _ Specific B Pending Corporate Actions From Date 14 01 2012 To Date 1470172012 The ssuer Action Diary screen is displayed when the Issuer Action Diary option is clicked in the Corporate Action Reports submenu under the Reports menu By default Issuer Action Diary Screen is displayed The Saved Issuer Action screen is disabled The user can generate the report containing information on the completed and pending issuer actions using the ssuer Action Diary tab shown above The following data has to be entered in this screen Security The Security Symbol for which the report is needed to be printed The user needs to specify whether the report is Revised October 2010 149 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Symbol required for all securities or for a specific security by clicking the All or Specific radio buttons respectively When the user selects the Specific option a textbox appears next to the field for entering the Security Symbol as shown below Security Symbol Al amp Specific
73. c Deployment shortcut created on the Desktop during the deployment Revised October 2010 29 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 MESSAGE VIEWING FACILITY Notices and Circulars sent by CDC from time to time to their Elements can be viewed from the Central Depository System The Message Viewing Facility is provided to the recipients to view the messages at the time of login or during other activities in CDS The message can be viewed by clicking the email icon visible on the upper right corner of the screen as shown in the below screen e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 Last Accessed 23 04 2057 10 23 50 Userld C2456101 System Date 23 04 2057 N Gre J V LZ M n i When the user clicks the Email option the following screen 1s displayed Revised October 2010 30 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 23 04 2057 Fail 23 04 2057 2 The Massage Board screen contains two tabs Unread and Read by default the Unread tab is selected on the Message Board screen which displays all the unread messages Read displays all the read messages as shown below Revised October 2010 31 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 e CDS Central Depository System User Id C2456101 System Date 23 04 2
74. ccount Number Account Type Account Title Subscription Volume and Subscription Amount Rs Clicking this menu item displays the screen shown below Revised October 2010 202 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Right Subscription Request List Report Report Options Security Symbol Browse Subscription Date Type Date Range Y From Date 23 04 2057 EH Ta Date 23 04 2057 EH Print Options Print Report C Download Report EF File Separator amp Comma Colon C SemiColon i Tab Space The user can only generate the posted records for right subscription request initiated by the Participants The user have to provide valid Security Symbol or select the symbol by browsing through the security symbol lookup The user can provide any of the following two subscription data types Date Range or As of Date If the user selects the Date Range then the user will have to select the From Date and To Date Else 1f the user selects the As of Date option then the user will have to provide the As of Date as shown in the figures below Revised October 2010 203 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Right Subscription Request List Report Baye Post Report Options Security Symbol Browse Subscription Date Type las f Date As Of Date 23 m4 057 Ed Print Options Print Report C Download Report File Separator The user have the options to print
75. cified security as on date given is the sum of available securities pending out and pledged securities Details of Joint holders are also shown if specified in the account When the User clicks the List of Beneficial Owners option in the Corporate Action Reports submenu under the Reports menu the following screen is displayed Revised October 2010 156 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 List of Benificial Owner Report Type List of Benificial Owners Report Y Security Symbol Browse Resident Status All Account Code All Y Share Holder Category All Print Options i Print Report Only C Download and Print File Separator The user can select among the two Report Types namely List of Beneficial Owners Report or Registration Detail of Beneficial Owners Report Selecting the List of Beneficial Owners option from the combo box enables the user to generate a report including the account balances as well as the registration details Selecting the Registration Detail of Beneficial Owners Report option from the combo box enables a user to generate a report of the registration details only The User may either directly type the Security Symbol or the user may select the required security from the lookup table by clicking the Browse button The User can also specify the selection criteria for Residential Status Account Code and Share Holder Category by selecting
76. cted This textbox appears when the user selects the Specific option in this field as shown below 1 Deposit Approval Rejection Report Save Post Report Options RTA ID 24561 SH RTA A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user after reviewing it can get it printed as explained in the chapter Getting Started The report format includes Date of Transfer From To Certificate No Volume Number of Certificates Total Volume Number of Units Status and Description If the user wants to generate the deposit Approval Rejection report for posted transaction the user needs to go to the Post tab of the screen shown below Revised October 2010 122 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Deposit Approval Rejection Report Save Post Search Option Date Range m FromDate 2304 2057 ToDate 23 04 2057 Status Approved Rejected x Transaction ID Account Number Security Symbol Search TRANSACTION ID PARTICIPANT ID ACCOUNT NO SECURITY SYMBOL VOLUME REMARKS STATUS pa Options The use
77. ctions relating to corporate actions 1 2 OPERATING DAY Execution of all CDS transactions as explained in this manual are subject to availability of the Central Depository System in accordance with the time frame defined in the Operating Day Schedule approved and revised from time to time by the management of Central Depository Company of Pakistan Ltd 1 3 UPDATING In cases of revisions and updates of the functionalities contained herein or introduction of new functionalities the Central Depository Company of Pakistan Limited CDC shall revise this Manual from time to time and provide a copy to all authorised holders This manual will be revised and kept up to date by the CDC management on a continuous basis as and when required Copies of the revisions or the revised versions of the manual as the case may be are sent to each authorised holder of the manual The following standards are adhered to for the incorporation of revisions in the manual i The effective date of the revision should be indicated on all the new pages to be inserted in the manual as well as on the old pages ii Where two or more pages replace a single page alphabetical suffixes e g a b and so on should be used in order to maintain the Revised October 2010 7 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 numerical sequence of the manual and to avoid renumbering and therefore reprinting all the pages of the entire manual i W
78. d Deposit Request transactions As shown below the available options in the Status combo box are Pending Cancelled and All 23 04 2057 3 23 04 2057 5 Revised October 2010 127 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 When the desired criteria has been entered clicking the Refresh button at the bottom of the screen returns the records matching the provided criteria in the scrolling table This is shown below Deposit Request Report EEY Post Transaction ID Account Number Security Symbol pin Options TRANSACTION ID 2057 527 2057 626 2050 400 2050 392 PARTICIPANT ID 60608 46284 76679 Print Options Print Report Only O Download Report Only File Separator RTA ID 24581 Date Range Md 23 04 2041 53 Status All buf Search Option From Date To Date ACCOUNT NO SECURITY SYMBOL 517 SHT 100119 SHT 504 SHT SH RTA 23 04 2057 REMARKS STATUS 75 000 Deposit Request by Cor Pending 100 000 Deposit Request Pending 1 report test Pending 350 Test 1 Cancelled VOLUME The user also has Search Options for displaying posted Deposit Request transactions matching the given Transaction ID Account Number and or Security Symbol Clicking the Search button after entering this data in the fields provided above the scrolling table returns the records matching the criteria in scrolling table After selecting the
79. d as explained in the chapter Getting Started Revised October 2010 160 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 4 Final Upload List The Final Upload List report shows details of records with and or without errors found by the system during the Final Upload procedure explained in the chapter of New Issues The header portion of the report includes Security Symbol R TA ID Transaction ID Report Type User ID Date and Time whereas the body of the report includes Form No Participant ID Account No Account Type ID Security Id Volume Error Remarks The Final Upload List option 1s available on the submenu displayed when the Corporate Action Reports menu item on the Reports menu is highlighted When the user clicks this option the following screen is displayed Final Upload List Report Options Security Symbol Browse Transaction ld 0 Report Type amp Error No Error Co AN The data to be entered in this screen 1s as follows Security The Security Symbol is required in this field A Symbol Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct symbol Report Type The user is required to click on the appropriate radio button Error No Error or All to generate the report Revised October 2010 161 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 show
80. d to the scrolling table of the Withdrawal Request screen which can be displayed by selecting the Withdrawal Request option from the Status combo box of the Withdrawal Approval Rejection screen as explained above Revised October 2010 61 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 2 4 Posting Saved Withdrawal Approval Rejection Transactions Once a withdrawal Approval Rejection transaction has been saved the same can be viewed in the scrolling table on the Withdrawal Approval Rejection screen when the Transaction Mode is chosen as Saved Withdrawal Approval Rejection as shown below e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 11 26 ag email Withdrawal Approval Rejection Save Filter Option Transaction Mode Saved Withdrawal Approval Rejection Y Status ALL E Record Selection m Options Transaction ID RTAID 24561 ParticpantID Account Number Security Symbol Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL VOLUME NO OF UNITS STATUS REMARKS 2050 229 06742 100208 SHT 5 Approved Approved arate oe EET 7 7 PERE EERE EERE EDENDI SRS RES RSS RS SS ILL ES RSE SRE SESE SERIE ANAL ANAL ILLAS ILLAE SSS RSE SENSES SERGE SERS SERIES SOIREE SERIES SRST RISE SSSR SEEDS ANE LII SESRIE SDE SESS SSRIS
81. desired record from the scrolling table clicking the OK 3 button generates the report and clicking the Cancel button exits without generating the report For description related to Print Options please refer to the section 7 mentioned above The report format includes Date of Transfer From To Certificate No Volume Number of Certificates Total Volume No Of Units Status and Description Revised October 2010 128 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 3 3 Duplicate Certificate LOR Report The Duplicate Certificate LOR Report shows the Certificate LOR No Volume No of Units Referred in Transaction ID Participant ID Account No and Transaction Date The object of this report is to enable the R TA to identify the duplicate certificates LOR numbers When the user clicks the Duplicate Certificate Report option in the submenu which is displayed when the Deposit Reports menu item in the Reports menu is highlighted the system displays the screen shown below Duplicate Certificate OR Report Report Options Transactionld Certificate LOR Number Transaction ID 2057 Browse OK Cancel The user is required to enter the Transaction ID for which the Duplicate Certificate LOR Report is required A Browse button is provided by the side of the field to give the user access to a lookup table in case t
82. e transfer is made The From Account field allows the user to generate the report for A accounts or for a Specific account A textbox is displayed for entering the account number if the Specific radio button is selected To Participant ID refers to the participant to which the transfer 1s made The To Participant field allows the user to generate the report for A participants or for a Specific participant A textbox is displayed for entering the Participant ID if the Specific radio button is selected A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Participant ID This field 1s visible if Specific option 1s selected in the To Participant ID field To Account refers to the account to which the transfer is made The To Account field allows the user to generate the report for All accounts or for a Specific account A textbox is displayed for entering the account number if the Specific radio button is selected Revised October 2010 186 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Unit Transfer Approval Rejection Report Save Post RTA ID Transaction ID All 2 Specific From Participant ID Browse From Account Mo All 3 Specific To Participant ID gt All Specific Browse To
83. e following message Information a successfully Deleted 2005 53 I On clicking the Ok button the transaction will be removed from the scrolling table indicating that it has been successfully deleted and moved to Pending Unit Transfer Request Revised October 2010 79 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 8 Posting Saved Units Transfer Approval Rejection In order to post a saved transfer Approval Rejection transaction the user will open the Unit Transfer Approval Rejection Screen on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Unit Transfer Approval or Saved Transfer Reject if the user wants to post transfer approval or rejection respectively Note that a transfer request transaction saved as Pending does not require to be posted The user should now select the saved unit transfer Approval Rejection transaction from the scrolling table and click the Post button at the bottom of the Transfer Approval Rejection screen Clicking the Post button generates the following message Confirm changes 3t x Do you want to Post the Transfer Approval Rejection Tes Ho Clicking the No button closes the above message screen without posting the transaction while clicking the Yes button posts the transaction and generates the following message
84. ection transactions the user needs to go to the Save tab of the above screen and enter the following data Transaction ID The user has the option to generate a Unit Transfer Approval Rejection report for all saved transactions or for a specific transaction by clicking the All or Specific radio buttons respectively The transaction ID is required if Specific radio button is clicked in the Transaction ID field The textbox for entering the Transaction ID does not appear unless the user selects the Specific option as shown below Unit Transfer Approval Rejection Report Save Post RTAID 24551 SH RTA Transaction ID All Specific 2057 Browse As the user selects the Specific option all other fields disappear as shown in the screen above From Participant From Participant refers to the participant from whose account the transfer is made The From Participant Revised October 2010 185 CENTRAL DEPOSITORY COMPANY ID From Account NO To Participant ID To Account No CDS Users Manual Version 1 2 ID field allows the user to generate the report for a particular transferring participant A textbox is displayed for entering the Participant ID and a Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct participant ID From Account refers to the account from which th
85. ent categories of users according to their needs Certain sections of an introductory or general nature however will be included in the copies of the Manual distributed to all types of users Some sections of the manual contain material which is of relevance to more than one category of user Such sections will be issued to all the users to whom they apply The manual covers the following broad areas of operations of CDS e The maintenance of the referential files is contained in the system These files contain data such as different types of codes used in the system Examples are discussed in detail in later sections of the manual country code participant type account type etc e Guideline for setting up various entities in the system e g elements securities amp accounts etc Guideline for execution of direct transactions in the system Such transactions cover all the core operations of the depository including Revised October 2010 6 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 deposits withdrawals inter and intra account delivery of securities and transactions relating to pledges e Guideline for execution of administrative transactions which would normally be carried out by the staff of the depository Transactions included would cover billing for services rendered to elements of the CDS and other such transactions Guideline to users of the system to generate the reports from the system e Transa
86. eports curity Mai i b SES ee I b ivi b b ipti b Mutual Fund Reports Activity Balance Reports List Reports Right Subscription Reports The options in the above sub menu are dealt with in the paragraphs that follow Revised October 2010 131 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 4 1 Withdrawal Approval Rejection Report The Withdrawal Approval Rejection Report menu item which is displayed when the Withdrawal Reports option on the Reports menu is highlighted enables the user to display or print a report showing the Withdrawal Approval Rejection transactions saved in the system Clicking on this menu item displays the screen shown below Withdrawal Approval Rejection Report Save AETA ID SH RTA Participant ID All C Specific Transaction ID amp All 2 Specific Account No All Security Symbol All 2 Specific The R TA ID in the above screen is hard coded and cannot be changed by the user The data to be entered in the above screen is as follows Participant ID The user can select the A or Specific option by clicking the relevant radio button to generate the report on withdrawal Approvals Rejections saved against withdrawal requests submitted by all participants or a specific participant The Participant ID is required in the textbox if Specific option is selected This textbox does not appear unless the user selects the Specific option A
87. er to the message board Print Clicking the Print button enables the user to print the message via internet explorer Revised October 2010 35 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 5 DIRECT TRANSACTIONS When the user clicks the option Direct Transactions on the main menu the user is presented with a drop down menu containing the following options E Deposit Approval Rejection Withdrawal Approval Rejection d 24561 Userld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 10 50 04 H l i Partial Cancellation Deposit Approval Rejection e Withdrawal Approval Rejection Mutual Funds e Redemption Approval Rejection e Unit Transfer Approval Rejection Partial Cancellation e Partial Cancellation Approval Rejection Revised October 2010 36 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The following paragraphs in this chapter contain detailed explanation for the above menu options 41 DEPOSIT APPROVAL REJECTION All companies whose shares stocks have been declared eligible for inclusion in the Central Depository will be brought into the system by this functionality The deposit transaction will be initiated by an account holder participant either on behalf of his client or on his own behalf and will result in the cancellation of the physical shares certificates in the name of the current owner and an increase in the CDC s nominee holding in the Member
88. eting certain symbols printed in the report columns is provided with the report After the user has entered the above parameters the user should click the OK button to display the report on screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 151 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 2 Share Book Detail R TA This report shows the balances of all participants relevant to the book closure of a particular security The report shows the Element ID Account Number and Type Account Title Address Father Husband Name NIC Passport Details in case of foreigners or non resident Pakistanis Zakat Status Share Holder Category Residency Status Nationality Occupation Code Dividend Mandate if it is shown in the account details Share Holding relevant to the book closure which is the sum of Available Pledge and Pending Out balances Joint holders are also shown if these are mentioned in the account During book closure the pending in and pending out securities Approved Rejected by the relevant R TA results in changes the available holding of Share Book Detail The Issuers R TA requested CDC to develop a functionality whereby they would be able to get the softcopy of the details of SBD so as to upload the same in their respective Share Accounting Systems The
89. from the scrolling table of saved transactions Clicking the No button closes the message screen without deleting the transaction As a transaction is successfully deleted the following confirmation message 1s displayed Information a Successfully Deleted 2003 40214 I Once a transaction has been successfully deleted it is moved to the scrolling table of the Deposit Request screen which can be displayed by selecting the Deposit Request option from the Status combo box of the Deposit Approval Rejection screen as explained above Revised October 2010 49 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 1 4 Posting Deposit Approval Rejection Transactions Once a deposit Approval Rejection transaction has been saved the same can be viewed in the scrolling table on the Deposit Approval Rejection screen when the status is chosen as Saved Deposit App Rej as shown below e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 11 26 Deposit Approval Rejection Save Filter Options Status Saved Deposit AppRej v Record Selection pis Options Transaction ID NEM Participant ID NEM Account Number Security Symbol RIAID 24561 Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL APPROVED VOLUME REJECTED VOLUME PENDING VOLU 205
90. hat list It may also be used to refresh a scrolling table once a search option has been used 2 3 2 Add Button The Add Button is used to add a record to the system 2 3 3 Update Button The Update Button is used to update an already existing record in the system 2 3 4 Delete Button The Delete button is used to delete an existing saved or posted record from the system The system automatically checks for referential integrity violations before any deletions are made 2 3 5 Cancel Button The Cancel button will take the user out of the current screen and put him back on the screen or menu from where that application was invoked 2 3 6 Double click In all lookup tables or wherever the user is expected to select a record from a list the user can either select by placing the cursor on the desired record and double clicking the left mouse button The cursor can be moved by means of the mouse or by using the enter key from the keyboard 2 3 7 Save button On all Add or Update screens the system does a temporary save of the current data if the user clicks the Save button Revised October 2010 15 CENTRAL DEPOSITORY COMPANY 2 3 8 Post button CDS Users Manual Version1 2 On all Add or Update screens the system posts the entered data if the user clicks the Post button 2 3 9 Search button The Search button is used to find a record from a table matching the criteria provided in the Search
91. he screen shown below 24561 SH RTA Transaction ID All 2 Specific Participant ID All 2 Specific Security Symbol All 2 Specific Transaction Type All T When the above screen appears the user is on the Save tab by default This tab is used to generate report related to saved redeemed units Approval Rejection transactions In order to generate report related posted redeemed units Approval Rejection transactions the user should click the Post tab Clicking the Post tab displays the following screen Revised October 2010 180 CENTRAL DEPOSITORY COMPANY 24561 Transaction ID amp All Participant ID All Security Symbol All CDS Users Manual Version 1 2 SH RTA 2 Specific i Specific 32 Specific From Date 23 04 2057 To Date 23 04 2057 Status All b ud The R TA ID displayed on both Save and Post tabs of the above screen is hard coded and cannot be changed If the user wants to display or print a report related to saved Approval Rejection transactions the user needs to go to the Save tab of the above screen and enter the following data Transaction ID The user has the option to generate a Redemption Approval Rejection report for all saved transactions or for a specific transaction by clicking the A or Specific radio buttons respectively The transaction ID 1s required if Specific radio button is clicked in the Tran
92. he user does not remember the correct Transaction ID After entering the desired Transaction ID the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user after reviewing it can get it printed as explained in the chapter Getting Started Alternatively the user can also select Certificate LOR Number radio button in order to search the records on the basis of the certificate LOR number When the user selects the Certificate LOR Number radio button following screen is displayed Revised October 2010 129 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Duplicate Certificate OR Report Report Options 2 Transactionld Certificate LOR Number Security Symbol Browse Certificate OR Humber The user has to enter the security symbol and the certificate LOR number The user also has the option of browsing the Security Symbols by pressing the Browse button Revised October 2010 130 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 4 WITHDRAWAL REPORTS As shown below when the Withdrawal Reports menu item is highlighted a sub menu is displayed File Directtransactions Corporate Actions Element Type RTA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 11 51 35 Security Maintenance Reports Deposit R
93. he user to display or print a report showing the complete details of the Rights offered Subscribed Deposited Withdrawal Cancelled and the Remaining Balance The information displayed in the report includes Rights Credited Deposit Approval Withdrawal Approvals Total Rights Subscription Request Initiated Cancelled Subscription and Balance Clicking this menu item displays the screen shown below Revised October 2010 206 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Right Offer Reconciliation Report Right Security Symbol Browse RTAID 24561 SH RTA As of Date 23 04 2057 The user have to provide the Right Security Symbol either by typing the security symbol or by browsing the symbol through the lookup The R TA ID of the logged in R TA will be shown disabled The user can generate the report for the As of Date OOOO Revised October 2010 207
94. here a page number becomes redundant a fresh blank page should be inserted to indicate this fact and to preserve the numerical sequence of the manual Such blank pages should all carry the legend This page has been intentionally left blank 1 4 DISTRIBUTION Copy of the full manual will be issued only to CDC staff and such other users of the CDS as may require them In all other cases users will be issued only with such sections of the manual as dealt with the transactions which they will be involved with The CDS User Manual or relevant sections of 1t can be distributed to Chief Executive Officer e Company Secretary All Department Heads e All users of the CDS including participants eligible pledgees registrar transfer agents and trustees Revised October 2010 8 2 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 GETTING STARTED 2 1 CDS CLIENT DOWNLOAD The following steps should be followed in order to download the CDS client program on the user s computer 2 1 1 Prerequisites Before downloading the CDS Client Software please make sure that a directory by the name of CDS is present at the root of C drive of your PC and contains the library file that is essential to download and run CDS In case the above folder and the required file are not available please inform the CDC Help Desk for the same Please also make sure that Acrobat Reader version 7 0 or above is also installed on your PC
95. hown below Right Subscription Cancellation Request List Report Post Report Options Security Symbol Browse Subscription Date Type Date Range Y From Date 23 04 2057 Ta Date 23 04 2057 The user have to provide valid Security Symbol or selects the symbol by browsing through the security symbol lookup The user can generate the report for a specific Transaction ID or for all the Transaction Ids as shown below Revised October 2010 205 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Right Subscription Cancellation Request List Report Save Post Report Options Security Symbol Browse Subscription Date Type Date Range Y From Date 23 04 2057 To Date 23 04 2057 Transaction ID All Specific Browse The user can select any of the following two subscription data types Date Range or As of Date If the user selects the Date Range then the user will have to provide the From Date and To Date Else if the user selects the As of Date then the user will have to provide the As of Date Details related to the fields available on Post Tab shall remain same as described for Save Tab Clicking OK button will generates the Right Subscription Cancellation Request List Report 7 10 3 Right Offer Reconciliation Report The Right Offer Reconciliation Report option is displayed when the Right Subscription Reports menu item on the Reports menu is selected It enables t
96. ing Saved Units Redemption Approval Rejection cesses eese esee 69 4 3 3 Deleting Saved Units Redemption Approval Rejection esee eene 71 4 3 4 Posting saved Units Redemption Approval Rejection ccccccccccseeccccccceeenessseeceeeecaasessseeseeeuaaaees I2 4 3 5 Saving Units Transfer Approval Rejection ee a EEEE REE 73 4 3 6 Updating saved Units Transfer Approval Rejection eee eene 77 4 3 7 Deleting saved Units Transfer Approval Rejection eeeesssssseeeeeeeeeeeeeeee nennen 79 4 3 8 Posting Saved Units Transfer APproval Re jection cccccccccccsveessccccceecnssesseeceeeeeaaesseeesesenaaaess SO 4 4 PARTIAL CANCE LIGATION nie tasont save cen a a E O te nitens deudas edu b ud aos uio ouod 81 4I PARTIAL CANCELLATION APPROVAL REJECTION capirai asarana OE OA 81 G CORPORATE ACTION 5iiidiiduiecc uidentur a E E S E EEEE e 87 6 1 NEWISS UE caoi nn a T N O 87 Revised October 2010 3 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 6 1 1 IN CVT SSC LO cas PETER 87 6 2 ISSUANGE RE ON ES Dror E E E adn oat atouts eodeni ea duae ete 94 6 2 1 Saving Mutual Funds ISSUGNCE Regus oriire nesrin i rtt ven o ett eer RR Dr VOR RM 95 6 2 2 Updatme Mutual Fund Issuance Request et t rer re e xU e ve x Head io ucER E 100 6 2 3 Deleting Mutual Fund Issuance Request i3 ec eet e E o vt e E EE ER Ea e oes 102 6 2 4 Posting Mutual Fund Issuance Request
97. ing on this menu option brings up the screen shown below Revised October 2010 193 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Account Activity Report Element ID Security Symbol 2 Specific Transaction Code 2 Specific Operation Code Contra Element Type O Participant RITA 3 Pledgee Contra Element ID Hil Activity Reason Code From Date 23 4057 Ed Ta Date 23 4057 E Print Options Print Report Only 2 Download and Print File Separator The data to be entered in this screen 1s as follows Security The user can enter the Security Symbol for a particular Symbol security to restrict the report to activity in that security only User can also click the A radio button to compile the report for all the securities of that particular R TA A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol Revised October 2010 194 CENTRAL DEPOSITORY COMPANY x Transaction Code Operation Code Contra Element Type On clicking the Specific radio button a textbox for entering the Transaction Code appears The user can enter a particular Transaction Code in this textbox if the user wants to restrict the report to activity in that transaction only or the user can enter A to compile the report for all the transactions executed for securities under that R TA A
98. ing records with errors records with no errors or all records respectively As shown below when the user enters the Security Symbol in the relevant field the screen automatically shows the Transaction ID of the upload Final Upload List Report Options Security Symbol IPTE Pakistan trading Security Transaction ld 2012 32 Report Type amp Error C No Error CO All After the user has entered the above parameters the user may click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 162 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 5 List of Successful Allotee After First Upload The List of Successful Allotee After First Upload shows details of the successful subscribers to a new issue of securities after the first upload has been made The header portion of the report includes Security Symbol Transaction ID R TA ID User ID Date and Time The body of the report in case of report With Detail includes Form No Participant ID Account Type Account No Account Title Father Husband Name Address NIC Passport Details Zakat Status Shareholders category Residency Status Occupation code nationality Dividend Mandate Volume Requested The body of the report in case of Without
99. inted as explained in the chapter Getting Started 7 8 2 Account Balance Report The Account Balance Report shows the balances of all securities contained in one account or all accounts relating to a Participant on a specified date The details shown separately for each security are the Security Symbol Security Name Position Owned Available Pending In and Pending Out volume Revised October 2010 197 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The Account Balance option 1s displayed on the Activity Balance Reports submenu under the Reports menu Clicking the Account Balance Option displays the following screen Account Balance Report Report Options Flement Type Element ID 2 1561 As On Date 3 04 2057 Print Zero The Element Type and Element ID fields are disabled and cannot be changed by the user The data to be entered in this screen is as follows Ason date The date as of which the Account Balance report is required has to be entered here Print Zero This check box is used to print zeros if the balance is Nil After the user has entered the above parameters clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 198 CENTRAL DEPOSITORY COMPANY CDS Users Manua
100. ion on the Reports menu is highlighted enables the user to display or print a report showing the Deposit Approval Rejection transactions Clicking on this menu item displays the screen shown below Deposit Approval Rejection Report Save Past Report Options RTA ID 24561 SH RTA Participant ID All gt Specific TransactionID All gt Specific Account No All Security Symbol All gt Specific By default the Save tab of the above screen appears This is used to generate the report for the saved Deposit Approval Rejection transactions The R TA ID in the above screens is hard coded and cannot be changed by the user The data to be entered in the Save tab of the above screen is as follows Participant ID The user can select the A or Specific option by clicking the relevant radio button to generate the report on deposit approvals rejections saved against deposit requests submitted by all participants or a specific participant The Participant ID is required in the textbox if Specific option is selected This textbox does not appear unless the user selects the Specific option A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct ID Revised October 2010 119 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 RTA ID 24561 SH RIA Participant ID Transaction ID Tra
101. ions Element Type RTA Newissue gt NewlssueUpload System Date 23 04 2057 Last Accessed 23 04 2057 11 46 36 54 email Issuance Request The New Issue Upload transaction through the above menu option is explained in the paragraphs that follow 6 1 1 New Issue Upload The Registrar Transfer Agent R TA upon receipt of the relevant documents related to successful allottees of shares units shall scrutinise the same and for Revised October 2010 87 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 validity and completeness and upon verification setup the new issue data transaction in the system This function allows the R TA to specify an ASCII file for upload with comma as the delimiter Only files with all valid records will be uploaded and displayed Clicking the New Issue Upload option shown above brings up the following screen Upload New Issue First Upload Final Upload Security Symbol Browse Transaction ID File Name Browse File se j uen The above screen has two tabs First Upload and Final Upload The First Upload tab which is displayed by default allows the user to initially upload new issue files Subsequent to the first upload the user can generate the First Upload Error List and make the necessary changes in the new issue data file for rectifying the errors Once the user has rectified the errors listed in the First Upload Erro
102. ised October 2010 170 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Selection entitlement details regarding historic completed book closures and present current book closures respectively Transaction Ihe Transaction ID of the relevant book closure has to ID be entered in the textbox provided Entitlement List Report Entitlement List Selection History amp Present Transaction ID 2012 3 Corporate Actions Resident Status Account Code Print Options v Print Report Only 2 Download Report Only File Separator Comme Corporate The desired corporate action for which the report is to be Actions generated has to be selected from the combo box provided The available options are Bonus Merger Conversion RTA De merger RTA Cash Dividend Split Consolidation R TA Right Right for Suspended Participants Resident The desired resident status for which the report is to be Status generated has to be selected from the combo box provided The available options are All Resident Pakistani Non Resident Pakistani Repatrtiable Non Resident Pakistani Non Repatriable Foreigner Resident Repatrtiable Foreigner Resident Non Repatrtiable Foreigner Non Resident Repatrtiable and Foreigner Non Resident Non Repatrtiable Account The desired account code for which the report is to be Code generated has to be selected from the combo box provided The user has the option to select the A
103. ithout displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 174 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 9 Pattern of Shareholding Report The Pattern of Shareholding report generates a report depicting the pattern of share holdings against any security handled by a particular R TA When the user clicks on the Pattern of Share Holding Report option on the Corporate Action Reports submenu under the Reports menu the system displays the screen shown below Pattern of Shareholding Report Security Symbol Browse Financial fear End Information As On 23 ey 08 OR Cancel The data to be entered in this screen 1s as follows Security Symbol The Symbol of the security for which the report is required A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started The report includes Number of Shareholders Shareholding From To Total number of Shares Held Share Holder Category Number of Shares He
104. l Version 1 2 7 9 LIST REPORTS When the user highlights the List reports menu under the Reports menu a submenu opens up as shown below e CDS Central Depository System File Directtransactions Corporate Actions R Element Type RTA Elementid 2 Element and User Maintenance Reports Date 23 04 2057 Last Accessed 23 04 2057 14 43 03 TID e List Report e Transaction List Report 7 9 1 Transaction List Report This report shows the details of the transaction of a particular Participant The report contains details of Transaction references Description Details Transaction Volume Transaction Fees and Audit Information When the user selects Transaction List Report from the List report Submenu the following screen pops up Revised October 2010 199 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Transaction List Report Report Options Element Type Element ID Security Symbol All c Specific Transaction Code All Specific Operation Code amp All Fram Date 23 04 2057 EH To Date 23 04 2057 EH om emen The Element Type and Element ID are hard coded and cannot be changed by the user However the required fields are as follows Account No This field 1s disabled to the user Security The user can enter the Security Symbol for a particular security to Symbol restrict the report to activity in that security only User
105. layed in the report using the Status combobox The status could be Approved Rejected or All The report is of the form Transaction ID Transaction Date Account No Account Title Security Symbol Security Name Volume Remarks Rejection Code Description and Status TA Unit Transfer Approval Rejection Report The Unit Transfer Approval Rejection Report option is displayed when the Mutual Fund Induction System menu item on the Reports menu is highlighted It enables the user to display or print a report showing the saved and posted Unit Transfer Approvals Rejections relating to a particular participant Clicking this menu item displays the screen shown below Unit Transfer Approval Rejection Report Save Post RITAID 2456 SH RTA Transaction ID All O Specific From Participant ID Browse From Account Mo 9 All 3 Specific To Participant ID All 2 Specific Security Symbol All 3 Specific Transaction Type an T When the above screen appears the user is on the Save tab by default This tab is used to generate report related to saved Unit Transfer Approval Rejection transactions Revised October 2010 184 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The R TA ID displayed on both Save and Post tabs of the above screen is hard coded and cannot be changed If the user wants to display or print a report related to saved Unit Transfer Approval Rej
106. ld and Percentage Revised October 2010 175 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 10 New Issue Entitlement Report When the user selects New Issue Entitlement Report from the Corporate Action List the following screen is displayed List of Entitlement New Issue Report Options Security Symbol Browse Transaction ld The user is required to enter the Security symbol in the input field a browser button is provided in case user doesn t remember the Security Symbol A lookup screen is displayed whenever the user clicks on the browse button Security Lookup Search Options Security Name Search Refresh TRANSACTION YEAR SECURITYID SECURITY SYMBOL SECURITY MAME FACE VALUE RTAID ae Dr gggag A PK1321545547 MAMTUT M AM 101 RE M RR updating Sec Mame PK7B8B87T8787TB85 MAM401 MAM Test Security 401 ggggg PK7B8B87T8787TB85 MAM401 MAM Test Security 401 gg9gg PK5B83797877 MAM302 MAM302 Test SEcurity ic jeans PK1231231238 MAMES5 MAMEBS MAMBS Security far Mew Issue Test TT 99999 mE After making the selection the transaction ID 1s displayed automatically as shown below Revised October 2010 176 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 List of Entitlement New Issue Report Options Security Symbol IMAM4D1 Browse MAM Test Security 101 Transaction ld 7056 114 The report generated includes Form No Par
107. licking the respective option from the Status combobox the user should click the Save button to save the Withdrawal Approval Rejection transaction in the system As the user clicks the Save button the system generates the following message confirming that the transaction has been saved successfully 4 2 2 Updating saved Withdrawal Approval Rejection Transactions The user can update a saved Withdrawal Approval Rejection Pending transaction In order to update a transaction the user needs to select the Saved Withdrawal Approval Rejection option from the Transaction Mode combo box and select the saved record to be updated Clicking the Update button after selecting the required record opens up the following Withdrawal Approval screen Revised October 2010 59 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Withdrawal Approval Transaction ID 050 RTAID 24561 Participant ID D6742 CDC INVESTOR ACCOUNT SERVICES HYDERABAD Account Number 100208 l lA Account Security Symbol SHT SH CDS Testing Security Volume 5 Status Remarks Approved Save Cancel The user can change the option in the Status combo box to reflect that the withdrawal request is to be approved rejected or marked as pending Similarly the remarks can be changed by the user if needed The user should click the Save button once the data has been
108. lighted Revised October 2010 158 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 When the user clicks this option the following screen is displayed First Upload List Report Options Security Symbol Browse Transaction ld Report Type Error 3 Nn Error CO MI The data to be entered in this screen is as follows Security The Security Symbol is required in this field A Symbol Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct symbol Report Type The user is required to click on the appropriate radio button Error No Error or All to generate the report showing records with errors records with no errors or all records respectively As shown below when the user enters the Security Symbol in the relevant field the screen automatically shows the Transaction ID of the upload Revised October 2010 159 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 First Upload List Report Options Security Symbol PTS Pakistan trading Security Transaction ld 2012 34 Report Type amp Error NoError C2 All After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printe
109. load provision only available for With Detail option whereas if user selects Without Detail option then the download option shall be disappeared as shown below Revised October 2010 143 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 List of Successful Partial Cancellations After First Upload x Report Option lt With Detail s Without Detail Security Symbol Browse Transaction ID User has to enter the security symbol in the relevant field to display the report user can also select the valid security symbol from the look up table User is provided with the download facility to download a report user has to click on the radio button provided next to Download Report Only Selecting download radio button will enable the field for File where user has to specify the file name as shown below List of Successful Partial Cancellations After First Upload Report Option amp With Detail O Without Detail Security Symbol Browse Transaction ID Print Options C3 Print Report Only Download Report Only File user File Separator Comma lt Colon O Semi Colon gt Tab space OK Cancel Revised October 2010 144 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 5 5 User can select any of the File Separator by clicking radio button provided next to them On clicking OK report will be downloaded in the specified file as ente
110. ly the specified type of transaction The user can also generate the report for all transaction types by selecting the All option from the Transaction Type combo box The available options are To be Approved To be Rejected Pending and All Clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started If the user wants to display or print a report related to post redeemed Approval Rejection transactions the user needs to go to the Post tab of the above screen Clicking the Post tab displays the following screen Redemption Approval Rejection Report Save Post Report Filter RITAID 24551 Transaction ID All 2 Specific Participant ID All 2 Specific Security Symbol 9 All 2 Specific From Date 23 04 2057 To Date 23 04 2057 Status All dud on wea In addition to the fields explained above the Post tab also has the Transaction Date From and Transaction Date To fields to allow the user to define a date range within which the Approval Rejection transactions lie Revised October 2010 183 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The user has the option to specify a status for the Redeemed Approval Rejection transaction to be disp
111. n after selecting a record from the scrolling table the following screen opens Revised October 2010 56 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Withdrawal Approval Transaction ID 2050 224 RTAID 24561 Participant ID 15742 CDC INVESTOR ACCOUNT SERVICES HYDERABAD Account Humber 100208 lA Account Security symbol SHT SH CDS Testing Security Volume Status Remarks As shown above the Transaction ID R TA ID Participant ID Account Number and Security Symbol and volume fields are hard coded and cannot be changed by the user The Status field 1s a combo box that provides the user with the option to mark the withdrawal approval request as Approve Reject or Pending The user may also enter appropriate remarks in the textbox provided If the user selects the Reject option from the Status combo box the Reason Code field appears in the above screen as shown below Withdrawal Approval Transaction ID 2050 22H RITAID 24551 Participant ID 15747 CDC INVESTOR ACCOUNT SERVICES HYDERABAD Account Number 100208 IA Account Security Symbol SHT SH CDS Testing Security Volume Status Remarks Rejection Code Browse see cancel Revised October 2010 57 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 A Browse button is provided next to the Reason Code field to enable the user to select a reason code for the withdrawal rejection As
112. nding redemption requests are displayed in the scrolling table as shown below e CDS Central Depository System File Direct transaction Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 17 16 Sg email Save Filter Options Status Pending Redemption Request w Record Selection Es Options Transaction ID Participant ID Security Symbol Transaction Date 23 04 2057 EN Ej Search Refresh TRANSACTION ID PARTICIPANTID ACCOUNT CODE ACCOUNT NUMBER SECURITY SYMBOL VOLUME REMARKS TRANSACTION DATE 2057 28 60608 C 517 MUTUF3 1 000 Redemption Request 23 04 2057 The user may find the required record by entering the relevant Transaction ID Participant ID Security Symbol and or Transaction Date in the Search Options section of the screen and clicking the Search button The user can use any specific field or multiple fields for searching of records Clicking the Refresh button clears the data in the Search Option fields Revised October 2010 65 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 After the user has selected the unit redemption request transaction to be marked as approved rejected or pending the user should click the App Rej Transaction button If this button is clicked without selecting a record from the scrolling table the system displays the following message Ho Record Selected On clicking the App
113. nds Issuance Request Save Record Selection pin Options Transaction ID Security Symbol Transaction Date 23 04 2057 ES i Search Refresh TRANSACTION ID TRANSACTION DATE SECURITY SYMBOL REMARKS Asa update Deete post cancer The Add button is used to add a new unit s issuance transaction in the system Clicking the Add button opens the following screen Revised October 2010 95 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Issuance Request Add RTAID 24561 SH RTA Security Symbol Browse Remarks PO Maximum 1000 Issuance Detail records allowed PARTICIPANT ID ACCOUNT MUMBER UMIT VOLUME Total Records Total Volume aul In the above screen the user is required to enter the Security Symbol or click the Browse button to access a lookup table containing all valid symbols of units of open ended mutual funds relevant to the R TA Double clicking the required row inputs the security symbol in the Security Symbol field in the above screen The user may want to enter any appropriate remarks related to the request for issuance of units A Remarks field is provided for this purpose Clicking the Insert button in the above screen opens the following screen for entering the Participant ID Account Number and the Unit Volume Revised October 2010 96 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Issuance Request Details Participant ID
114. nsaction ID The user can generate the report for A deposit Approval Rejection transactions or for a specific transaction by selecting the relevant radio button As the user selects this radio button a textbox for entering the Transaction ID appears as shown below on ENNN Report Options RTA ID 24551 SH RTA Participant ID All Specific Transaction ID All Specific 2057 Browse Account No Security Symbol OK Cancel A Browse button is provided by the side of the field to give the user access to a lookup table containing transaction records pertaining to the Participant ID entered in the Participant ID field If the Browse button is clicked without entering a Participant ID in the Participant ID field deposit Approval Rejection transactions for all participants are shown in the Transaction ID Lookup Table Account No The user can select the A or Specific options by clicking the relevant radio button to generate the Revised October 2010 120 CENTRAL DEPOSITORY COMPANY Security Symbol CDS Users Manual Version 1 2 report on deposit Approvals Rejections for all accounts of a participant or a specific account The Specific option in this field 1s enabled if the Specific option is selected in the Participant ID field since accounts are related to participants On the other hand if the user selected the A option in the Participant ID field the Specific option in the Acc
115. nt R TA scrutinises each Withdrawal Request and then either approves or rejects the withdrawal transaction A Withdrawal Request can only be approved or rejected by the R TA after it has been Posted by the Participant To perform this action the R TA will need to use the Withdrawal Approval Rejection transaction option provided in the system Selecting the Withdrawal Approval Rejection option in the Direct Transactions menu will bring up the following screen User ld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 11 26 Save Filter Option Transaction Mode Saved Withdrawal ApprovaliRejection Status ALL v Record Selection Options Transaction ID RATAID 24561 Particpant ID Account Number Security Symbol Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL VOLUME NO OF UNITS STATUS REMARKE 2050 229 06742 100208 SHT 5 Approved test The columns in the above table are Transaction ID Participant ID A C No Security Symbol Volume No of Units Status Remarks and Rejected Code Revised October 2010 54 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The Status field on the above screen enables the user to display Rejected Approved Pending or All transactions in the scrolling table of the screen by selecting the relevant option from the combo bo
116. nual Version 1 2 Withdrawal Approval Rejection Report Save IESE RTA ID Participant ID O Specific Transaction ID Specific Account No Security Symbol Specific Browse A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user after reviewing it can get it printed as explained in the chapter Getting Started The report generated includes Transaction ID Participant Account Number Account Title Security Symbol Volume remarks Status and Rejection Description Revised October 2010 135 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 4 2 Withdrawal Request Report The Withdrawal Request Report option which is displayed when the Withdrawal Reports menu item in the Reports menu is highlighted enables the user to display or print a report showing the Approved Rejected Pending and Cancelled Withdrawal Requests Clicking on this menu item displays the screen shown below Withdrawal Request Report Report Type RTAID 24551 SH RTA From Date 23 04 2057 To Date 23 04 2057 Status all T Transactian ID Account No Securi
117. o generate the report for posted security records the user needs to enter the relevant data in the following fields Right Security A provision is provided to the login user to fetch Only specifically Right Security Details Clicking Right Security Only checkbox all the parameters available on the screen shall become disabled as following Revised October 2010 114 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 23 04 2057 m o froo The user have to input the valid security symbol or can search the required security symbol via Browse option Security The report can be generated for A securities Selection Specific security or R TA wise As shown in the screens below when the radio button for Specific or R TA wise securities is selected a textbox for entering the required Security Symbol or R TA ID and a Browse button for lookup table appear Security Report 2304 2057 E a Revised October 2010 115 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Security Report SwE Post Report Options Right Security Only Security Selection gt All 2 Specific RITA wise Browse Security Status Listed Book Closed Delisted To be Delisted To be Listed With all Status Sortby Sector Financial Year Registered In As On Date 23 04 2057 w Range From In Ta 100 When the radio button for Specific security 1
118. olumns are Transaction ID Participant ID Account No Security Symbol Volume No of Units and Remarks A Deposit Request can only be approved or rejected by the R TA after it has been Posted by the Participant Revised October 2010 36 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The Status combo box in the Filter Options section is provided to enable the user to specify whether the user wants to view the deposit requests posted by the Participant and that are pending for Approval Rejection or the deposit request Approval Rejection transactions that have already been saved by the R TA but not posted as yet Accordingly this combo box provides the user with Deposit Request and Saved Deposit App Rej options When the user selects the Saved Deposit App Rej option the above screen changes to following e CDS Central Depository System ile Directtransactions Corporate Actions Repo Element Type RTA Element Id 24561 User id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 10 50 04 2 email Deposit Approval Rejection Save Filter Options Status Saved Deposit AppiRej_ Record Selection pa Options Transaction ID Participant ID Account Number Security Symbol RTAID lt Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL APPROVED VOLUME REJECTED VOLUME PENDING VOLU 2050 400 46284 100119 SHT 1 0 SEIT af ut ug uf ug ut wf uf uh uf
119. on Request Reports menu item on the Reports menu is selected This report enables the user to display or print the information related to First Upload The information displayed in the report includes Serial No Participant ID Account Number Account Type Volume Status and Remarks Clicking this menu item displays the screen shown below First Upload List Security Symbol Browse Transaction ld Report Type Error C3 No Error Co AN User has to enter the Security Symbol of which the first upload information 1s required User can also select the security symbol from the look up table by clicking on the Browse button When user enter the valid security symbol its Transaction ID will be displayed as shown below First Upload List Report Options Security Symbol SHT Browse SH CDS Testing Security Transaction ld Z 56 13 Report Type J No Error AI Revised October 2010 140 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 5 3 User can select any of the three Report Types 1 e Error No Error and or All to print the report accordingly User has to select the Radio button given next to each of them Selecting Report Type as Error will display all those records in which any sort of error exist Selecting Report Type as No Error will display all those records in which no error exist Selecting Repor
120. on message Revised October 2010 93 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Information Successfully Posted 2004 3 o The user may generate the Final Upload Error List to view the list of errors contained in the final upload if any 6 2 ISSUANCE REQUEST The ssuance Request option is available in the Corporate Action menu as shown below e CDS Central Depository System File Direct transactions Corporate Actions 1 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 46 36 Revised October 2010 94 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The following paragraphs in this chapter of the manual contain detailed explanations for each of the above menu options 6 2 1 Saving Mutual Funds Issuance Request The Registrar Transfer Agent R TA upon receipt of the application forms for issuance of units of open ended mutual fund shall scrutinise the forms for validity and completeness and upon verification setup the issuance request transaction in the system In order to save an issuance request the user should click the ssuance Request menu item in the Corporate Action menu On clicking this menu item the following screen will open e CDS Central Depository System File Directtransactions Corporate A Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 16 36 24 email Mutual Fu
121. or Saved Redemption Rejection if the user wants to post redemption approval or rejection respectively Note that saving a redemption request transaction as Pending does not require a post operation The user should now select the saved redemption Approval Rejection transaction from the scrolling table and click the Post button at the bottom of the Redemption Approval Rejection screen generates the following message Confirmation E X Are you sure you want to post this record Yes No Clicking the No button closes the above confirmation message while clicking the Yes button posts the Redemption Approval Rejection transaction and generates the following message Information Successfully Posted 2005 101 I On clicking the Ok button on the above message screen removes the saved redemption Approval Rejection transaction from the scrolling table indicating that the units have been redeemed out of the system Revised October 2010 72 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 5 Saving Units Transfer Approval Rejection In order to mark a transfer request as Approved Rejected or Pending the R TA user will open the Unit Transfer Approval Rejection Screen on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to Pending Unit Transfer Request The pending
122. ort When the user selects this option the following screen is displayed Element Repart Report Options Element Type _ Participant Pledgee RTA O issuer Trustee C Admin Super Element ID All O Specific Location ALL Status Active r Suspended r Closed From Date 23 04 2057 To Date 23 04 2057 E Print Options Print Report Only Download Report Only Po File Separator Comma Colon Semi Colon gt Tab Space The following data is required by the user Element Type The report can be generated for any of the element type Participant Pledgee R TA Issuer Trustee Admin and Super When Element Type Participant is selected Element Selection and Clearing Member option appear Revised October 2010 110 CENTRAL DEPOSITORY COMPANY Element ID Location CDS Users Manual Version 1 2 7 ieeneni Repini emer Post Print Opio Print Report Only D Donar Report Only File Separator Two additional fields namely Clearing Member and Element Selection are displayed Element Selection has All Participant and Account holder options Clearing Member has All Yes and No options The report can be viewed for all or specific element IDs To enter a specific Element ID the user clicks the Specific radio button in the Element ID field a textbox for entering the required Element ID appears User is also presented with a browse option which enable
123. ount No field 1s disabled Further both Specific and All options are disabled if the user selected the Specific option in the Transaction ID field The Account No is required in the textbox 1f Specific option 1s selected This textbox appears when the user selects the Specific option in this field as shown below Ej Deposit Approval Rejection Report Save Post Report Options RTA ID 24561 SH RTA Participant ID OAI Specific Browse TransactionID All Specific Account No AM Specific Browse Security Symbol All Specific OK Cancel A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Account Number Only those account number will be displayed in the browser for which any save transaction exist in the save browser Or in case of manually input only those account numbers will be accepted by the system for which any save transaction exist in the save browser The user can select the A or Specific options by clicking the relevant radio button to generate the report on deposit Approvals Rejections for all Revised October 2010 121 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 securities or a specific security This field 1s disabled if the user selects the Specific option in the Transaction ID field The Security Symbol is required in the textbox if Specific option is sele
124. owing options ALL Charitable Trusts Cooperative Societies Financial Institutions Individuals Insurance Companies Investment Companies Joint Stock Companies Leasing Companies Modarabas Modaraba Management Companies Others The User may either directly type the Book Closure Id or the user may use the Browse button to select the required Book Closure The book closure records displayed in the look up table pertain to the historic or present book closures as per the option selected in the Share Book Selection field Alternatively book closure id can also be ascertained from Issuer Action Diary under Reports menu of CDS Following is a snapshot of a typical lookup for selection of a book closure id Book Closure Id Lookup BOOK CLOSURE ID SECURITY SYMBOL BOOK CLOSURE DATE SECURI MAMOS TEREC RANE Pea 2 gens Revised October 2010 154 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The user has to select the relevant Share Book Selection type History or Present amongst the two The User can also specify the selection criteria for Residential Status Account Code and Share Holder Category ID After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started The
125. ows Father Husband Name Address Zakat Status Shareholder Category Residency Status Occupation Code Nationality and Dividend Mandate if provided apart from the above Transaction ID The user needs to enter the transaction ID in this field A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not remember the Transaction ID As the user selects the Report Option and enters the Transaction ID in the above screen the security symbol is shown at the bottom of the screen as shown below Issuance Request Report Save Post Report Options amp With Detail gt Without Detail Transaction ID 2057 B Browse Security Symbol MUTUFS mutufal fund test Clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started If the user wants to display or print a report related to posted Issuance Request transactions the user needs to go to the Post tab of the above screen and enter the same data as above Revised October 2010 190 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 7 4 Issuance Request Error List Report The Issuance Request Error List Report option is displayed when the Mutual Fund Reports menu item on the Reports menu is selected I
126. played when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Redemption Approval Saved Redemption Rejection or Saved Redemption Pending if the user wants to delete redemption approval rejection or pending transaction respectively Clicking the record to be deleted from the scrolling table and clicking the Delete button generates the following confirmation message Confirmation dH X Are you sure you want to delete Tes Ho Clicking the No button will close the above message screen without deleting the redemption Approval Rejection pending transaction while clicking the yes button will delete the transaction and generate the following message Information a successfully Deleted 2005 99 On clicking the Ok button the transaction will be removed from the scrolling table indicating that it has been successfully deleted and moved to Pending Redemption Approval Rejection Revised October 2010 71 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 3 4 Posting saved Units Redemption Approval Rejection In order to post a redemption Approval Rejection transaction the user will open the Redemption Approval Rejection Screen on the submenu which is displayed when the Mutual Funds menu item in the Direct Transactions menu is highlighted and set the status field to either Saved Redemption Approval
127. playing the report When the report is displayed the user can get it printed as explained in the chapter Getting Started In the report the securities are grouped according to market sectors or financial year and the report shows the Security ID Status Security Name Financial Year End Security Symbol Market Code Live Date Role Code Security Code Paid up Capital Total Volume Issuer ID Issuer Name Book Entry Face Value Currency Code R TA ID and R TA Name Revised October 2010 117 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 3 DEPOSIT REPORTS As shown below when the Deposit Reports menu item is highlighted a sub menu is displayed File Directtransactions Corporate Actions Element Type RTA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 11 51 35 Security Maintenance Reports gt Deposit Approval Report Withdrawal Reports gt Deposit Request Report Partial Cancellation Request Reports gt Corporate Action Reports gt Mutual Fund Reports gt Activity Balance Reports ivi gt List Reports gt ic ipti gt Right Subscription Reports The options in the sub menu above are dealt with in the paragraphs that follow Revised October 2010 118 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 3 1 Deposit Approval Report The Deposit Approval Reports menu item which is displayed when the Deposit Reports opt
128. port The Entitlement List shows the entitlements to bonus shares cash dividends splits consolidation merger or de merger for a particular security in respect of a particular book closure The report can also be filtered to show the entitlements for all or specific residential status and for all or specific account code Revised October 2010 168 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 CDC will provide Entitlement List reports which will enable the R TA to execute the following types of corporate actions for their respective securities e Bonus e Merger Conversion RTA e De Merger RTA e Cash Dividend e Split Consolidation Redemption RTA e Right e Right for Suspended Participant If in Corporate Action bonus is selected then the report shows the Participant ID Participant Name Account Number Account Types Account Title Shareholding Entitlement To be distributed and Fraction If in Corporate Action Merger RTA is selected then the report shows the Participant ID Description A c No Type and A c Title Share Holding Total Ent To be Distributed and Fraction If in Corporate Action De Merger RTA is selected then the report shows the Participant ID Description A c No Type and A c Title Share Holding Total Ent To be Distributed and Fraction If in Corporate Action Cash Dividend is selected then the report shows the Participant ID and Description A c No A C Code and A c Title Share
129. print option is explained at the beginning of this chapter The contents of Download and Print option report are same as that of the Print Report only Revised October 2010 155 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 3 List of Beneficial Owners Report The List of Beneficial Owners LOBO Report provides information about the beneficial owners of any given security held in the Central Depository System In other words it gives the number of securities units of the security in question held in all accounts under the control of various participants CDC will provide lists of beneficial owners from time to time in accordance with the provisions of the Central Depositories Act 1997 and the CDC Regulations in order to enable the R TA to execute the corporate and secretarial actions formalities for their respective security ies such as communication of notices distribution of dividends inspection of Members Security Holders Register management of General Meetings attendance etc Details shown in the report include the Element ID Account number Account type Account title Address Father Husband Name NIC Passport Details in case of foreigners or non resident Pakistanis Zakat status Shareholder category Residential status Occupation description Nationality Dividend mandate if it is specified in a particular account and Share Holding The Share holding shown in the participant s account for spe
130. prove Remarks e Total Volume No of units e Transaction Status Revised October 2010 137 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 5 Partial Cancellation Reports The Partial cancellation request reports enable the user to display and print the information related to partial cancellation When the partial cancellation reports is highlighted a submenu is displayed as shown below o CDS ContalDopus uy Sum m File Directtransactions Corporate Actions R Element Type RTA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 11 51 35 Security Maintenance Reports gt Deposit Reports gt Withdrawal Reports gt gt Partial Cancellation Request Report Corporate Action Reports gt REL Mutual Fund Reports Successful Partial Cancellations After First Upload Activity Balance Reports Successful Partial Cancellations After Final Upload List Reports gt Right Subscription Reports L nns 7 5 1 Partial Cancellation Request Report The Partial Cancellation Request Report option is displayed when the Partial Cancellation Request Reports menu item on the Reports menu is selected It enables the user to display or print a report showing the list of right cancellation requests made by the Participants Clicking this menu item displays the screen shown below Revised
131. ptions section of the screen and clicking the Search button Clicking the Refresh button clears the data in the Search Option fields After the user has selected the unit issuance record to be posted the user should click the Post button to post the transaction On clicking the Post button the following confirmation message is displayed Revised October 2010 103 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Confirmation E x Are you sure you want to post this record Clicking the No button closes the message window and returns to the Mutual Fund Issuance Request screen without posting the record Clicking the Yes button in the above confirmation message screen posts the record and generates the following message Information 2g Post Successfully 2005 50 The posted record is no longer displayed in the scrolling table of the Mutual Fund Issuance Request screen and becomes available to the Trustee for further action Revised October 2010 104 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 REPORTS The Reports option on the Main Menu allows the user to generate any of the reports provided in the system All reports can first be viewed on the screen and then printed out if the user so desires As soon as the user clicks on or otherwise selects the Reports option on the Main Menu the user is presented with a pull down menu containing the following options File Directtran
132. r List the user may again upload the new issue data file using the First Upload functionality and recheck the error list After running this process as many times as required to eliminate the errors the user can finally post new issue details through the Final Upload tab shown below Revised October 2010 88 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Upload Hew Issue First Upload Final Upload Security Symbol Browse Transaction ID Fe emca The system also provides the users with the Final Upload Error List so as to confirm successful posting of the new issue details A new issue upload data file must be an ASCII text data file having following format and txt extension Serial Number This indicates the sequence of records in the data file Participant ID The relevant Participant ID representing the Participant who controls the account where the shares units are to be credited Account The Account Number where the shares units are to be Number credited Security ID This represents the ID of the security unit to which the new issue relates Volume The number of securities units of new issue A sample deposit request upload file is as follows 01 00067 525 PK0030901018 500 02 22335 120 PK0030901018 500 03 04705 5202 PK0030901018 500 04 22335 583 PK0030901018 20000 Revised October 2010 89 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version
133. r can select a Search Option using the combo box provided to specify whether the user wants to search posted deposit Approval Rejection transactions on the basis of Date Range or Transaction ID If the Date Range option is selected in the Search Option field the user needs to enter the desired From Date and To Date 1n the respective fields Otherwise by default the system date is shown in both fields The From Date must be less than or equal to the To Date If this is not the case the system generates the following message From Date must be less than or equal to To Date similarly the To Date cannot be greater than the System Date otherwise the system generates the following message Revised October 2010 123 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 To Date must be less than or equal to System Date When the user selects the Transaction ID option in the Search Option combo box the From Date To Date and Status fields disappear Further a textbox for entering the desired Transaction ID appears besides the Transaction ID field as shown below Deposit Approval Rejection Report Save Post 24561 SH RTA Search Option Transaction ID Transaction ID 2057 1 Browse Transaction ID Account Number Security Symbol Search Im Options TRANSACTION ID PARTICIPANT ID ACCOUNT NO SECURITY SYMBOL VOLUME REMARKS STATUS
134. rder to find a record in the scrolling table the user is provided with Search Options in the Record Selection section of the above screen The user can search a record by entering the Transaction ID Participant ID Account Number and or Security Symbol and then click the Search button This will display the records matching the provided criteria in the scrolling table The user can use any specific field or multiple fields for searching of records Clicking the Refresh button refreshes the scrolling table and displays all the deposit requests To close the Deposit Approval Rejection screen without approving or rejecting a deposit request transaction the user can click the Cancel button In order to approve and or reject certificates LOR the user will click the App Rej Transaction button at the bottom of the screen once the user has selected the desired record from the scrolling table If the button is clicked without selecting a record from the scrolling table the system will generate the following message As the user clicks the App Rej Transaction button after selecting a record from the scrolling table the following screen opens Revised October 2010 40 CENTRAL DEPOSITORY COMPANY Deposit Approval Rejection Transaction ID 2097 Participant ID 42887 Account Number 105348 Deposit Approval Rejection Quality participant web ACCOUNT NUMBER 001 Security Symbol 123 PETRO C 123 Petro chamicalsecurity
135. red by the user If user selects Print Report Only and click OK button then report will be displayed only Successful Partial Cancellation After Final Upload Report The Successful Partial Cancellation After Final Upload Report option is displayed when the Partial Cancellation Request Reports menu item on the Reports menu is selected This report enables the user to display or print the information related to those transactions that are successfully approved for cancellation after first upload The information displayed in the report includes Serial No Participant ID Account Number Account Type Account Details and Approved Volume Clicking this menu item displays the screen shown below List of Successful Partial Cancellations After Final Upload Report Option With Detail O Without Detail Security Symbol Browse Transaction ID Print Options iv Print Report Only O Download Report Only File Separator User can generate report with detail or without detail by selecting the radio button given next to them Download provision only available for With Detail option Revised October 2010 145 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 whereas if user selects Without Detail option then the download option shall be disappeared as shown below List of Successful Partial Cancellations After Final Upload Report Option lt With Detail i
136. rt LOR Pending Cert LOR Total Cartificates LOR 000000000123 Done 2 3 10 2 Report Print ENT SH CDS Testing Security 24562 Gu RTA Approved Aejacted 10 02 2050 Bood Hoor 10f 1 C2456101 11 10 2010 10 00 29 No of al Vc Certificatas LOR Nc of Units 1 id 4 10 P b In order to print the report the users will need to press the short cut keys Ctrl P on the keyboard or click the shortcut icon on the report screen as shown below Revised October 2010 18 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Shortcut 1con for Edit GoTo File Favorites Help O AAG Dro dem 0 3 LR Address g http 10 1 210 6 7026 Reports posteddepositrequest128677322222010 1 199 11286773035746 pdF info C2456101 10 1 199 11286773035746 10 1 45 22 printing report gis yo dise 4 Dese jm Q 1D 4 mee qm Cantral Depository Company of Pakistan Limited Daposit Raquast Approval Report Report Celection Posted Transaction Id 2050 4438 Usar C2456101 11 10 2010 Transaction Date 10 02 2050 10 00 29 Participant I4 06742 CDC INVESTOR ACCOUNT SERVICES Account Bo 100208 11A Account Principal Account Holdar CNIC Nc 3240512006 727 PI JH Ona 3240 512006723 PET 030303777 Holdar Nane Joint Holder Two Eecond Joint Holder CNIC No 3240 1200 72 4 Eecond Joint Holder Passport Nc UAT 01200 Third Joint Holder
137. s Security Holders Register All types of account holders participants 1 e stock brokers custodial banks financial institutions and qualified private investors will be able to deposit security certificates Note During the Book Closure period of a Security the System will not allow account holders participants to initiate saving and posting of Deposit Request transactions for that particular Security Revised October 2010 37 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 1 1 Saving Deposit Approvals Rejections The registrar transfer agent R TA scrutinizes each Deposit Request and then either approves or rejects the deposit transaction To perform this action the R TA will need to use the Deposit Approval Rejection transaction provided in the system Selecting the Deposit Approval Rejection option on the Direct Transactions menu will bring up the following screen e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 User ld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 10 50 04 2d email Deposit Approval Rejection Save Filter Options Status Deposit Request Record Selection pa Options Transaction ID MEN Participant ID Oo Account Number Security Symbol RTAID 24561 Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL VOLUME NO OF UNITS REMARKS The c
138. s selected all fields are disabled as shown above Security Status The user can generate the report for a specific security status These can be Listed Book Closed Delisted To be Delisted To be Listed With all Status Security Status filed is enabled only when AIl or RTA Wise options are selected from Security Selection field Sort by Securities can be sorted either by Sector or Financial Year or Registered In using the appropriate radio button This field is enabled only when Listed radio button is clicked in the Security Status Sort by field is enabled only when All or RTA Wise options are selected from Security Selection field As on date The date as of which the report is required has to be entered here This field 1s enabled when the Listed and Sector radio buttons are selected in the Security Status and Sort By fields respectively Range This refers to the percentage of the shares comprising Revised October 2010 116 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 From To the paid up capital that has been inducted in CDS The user has the option to specify a percentage range between which the securities should fall 3 After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without dis
139. s the Approve or Approve All button is clicked the certificates LORs are marked as Approved in the status column of the above screen Similarly in order to mark a certificate LOR as Rejected the user will need to select the desired certificates LORs and click the Reject button Alternatively to mark all certificates LORs as Rejected the user can click the Reject All button without needing to select each certificate LOR separately If however the Reject button is clicked without selecting a record from the table the following message is displayed Revised October 2010 44 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Approval Rejection E X Please select a record first to Reject it The selected certificates LORs or all certificates LORs can be marked as rejected by clicking the Reject or Reject All button respectively As the user clicks the Reject or Reject All button a reason code lookup table opens to select the reason for rejecting the certificates LORs Rejection Code lookup REJECTION CODE DESCRIPTION A001 SDF is not properly eoormpletely filled in ADO Details of printout and SDF not matching AUU3 Incomplete details in cDS printaut A004 Incomplete attachments with SDF AUOS SOF Printouts contents not clearflegible AUUE T Stamp not affixedisufficient qgenuine ADU Fake Share Cartificate AUS iFake TD o AQDS a Certificate amp TD details da na
140. s the user to select from a lookup table if in case the user does not remember the specific Element ID The combo box provides the user with the option to generate the report for all locations or for a specific location When the user selects Admin or Super Option the location field disappear from the screen Revised October 2010 111 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 SmE Post Report Options Element Type Participant Pledgee ORTA Issuer Trustee Admin Super Element ID All O Specific Status vj Active v Suspended v Closed From Date 17 01 2011 ToDate 17 01 2001 Print Options e Print Report Only Download Report Only File Separator Status User can generate report for the any status Active Suspended and or Closed From Date amp The dates to be covered by the report should be entered To Date in these fields The print option is explained at the beginning of this chapter The report shows the Element ID Element Code Main A c Element Name Address Phone Fax Email Contact Name Designation CDC location Client A c Role Code CM Maximum User Option No Status Date 3 After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report 1s displayed the user can ge
141. saction ID field The textbox for entering the Transaction ID does not appear unless the user selects the Specific option as shown below Revised October 2010 181 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 ATAID 24561 SH RIA Transaction ID All Specific 2057 Browse As the user selects the Specific option all other fields disappear as shown in the screen above Participant ID Participant ID refers to the participant from whose account the transfer 1s made The user can select ALL participants or a specific one In order to select a specific participant ID enter the ID in the textbox If user does not remember the Participant ID the user can press the Browse button to open a lookup window Security Symbol The user can generate the report for All securities or a Specific security The Security Symbol is required in this field if Specific option is selected A textbox for entering the Security Symbol appears on the screen when the user selects the Specific radio button in the Security Symbol Field A Browse button 1s provided by the side of the field to give the user access to a lookup table in case the user does not remember the correct Security Symbol Revised October 2010 182 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Transaction Type The user can select a Transaction Type for generating the Unit Transfer Approval Rejection Report for on
142. sactions Corporate Actions Reports Element Type RTA Elementid 2 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 23 04 2057 11 46 36 Security Maintenance Reports gt Deposit Reports Withdrawal Reports gt Partial Cancellation Request Reports gt Corporate Action Reports gt Mutual Fund Reports gt Activity Balance Reports gt List Reports gt Right Subscription Reports gt um e Element and User Maintenance Reports e Element Report e Security Maintenance Reports e Security List Report Deposit Reports Deposit Approval Report e Deposit Request Report Revised October 2010 105 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 e Duplicate Certificate LOR Report e Withdrawal Reports Withdrawal Request e Withdrawal App Rej Corporate Action Reports e Issuer Action Diary e Share Book Detail RTA e List of Beneficial Owner RTA First Upload List e Final Upload List e List of Successful Allotee After First Upload e List of Successful Allotee After Final Upload e Entitlement List Report e RTA Reconciliation Report RTA end e Pattern of Shareholdings Report e New Issue Entitlement report e Book Closure Deviation Report e Mutual Fund System e Redemption App Rej Report Unit Transfer App Rej report e Issuance Request Report Issuance Request Error List Report e Activity Balance Report e Account Activity Report e Account Balance Report
143. splays the following screen Revised October 2010 187 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Unit Transfer Approval Rejection Report Save Post ATAID 2456 SH RTA Transaction ID amp All C Specific From Participant ID Browse From Account Ho All 2 Specific To Participant ID 9 All C2 Specific Security Symbol S All O Specific From Date 23 04 2057 Ta Date 23 04 2057 Status All on meet In addition to the fields explained above the Post tab also has the Transaction Date From and Transaction Date To fields to allow the user to define a date range within which the Unit Transfer Approval Rejection transactions lie The To Account Number field appears only when the user selects the Specific option in the To Participant ID field The user has the option to specify a status for the Unit Transfer Approval Rejection transaction to be displayed in the report using the Status combo box The status could be Approved Rejected or All The report includes Trn ID Trn Date From A c No From A c Title To A c no To A c Title Sec Symbol Sec Name Volume Remarks Rej Code Rej Desc and Status fields 7 7 3 Issuance Request Report The Issuance Request Report option is displayed when the Mutual Fund Induction Reports menu item on the Reports menu 1s selected It enables the user to display or print a report sho
144. step by step progress for the software being downloaded Revised October 2010 10 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Java Web Start 1 4 2 02 amp CDC Automatic Deployment Central Depository Company Loading COsGulas jar from 143 147 160 171 Read 4 9M of 47 384 11 Estimated time left 00 01 45 Po Caneel Following screen shall ask for the permission to download the software on your PC Click Start to allow the downloading Security Warning x amp This application is requesting unrestricted access ta your local machine and network Do you want to install and run COC Automatic Deployment Signed and distributed by CBC Warning Failed to verify the authenticity af this certificate Mo assertions can be made of the origin or validity of the code tis highly recommended notto install and run this code su oetans Eat The following screen asks for creating the shortcut on the desktop for the CDS application Click Yes to create the shortcut Desktop Integration provides a quick and easy A f way ta access your application Would vou like ta have COC Automatic Deployment integrated into your desktop enviornment Yes Ho Ask Later Configure Revised October 2010 11 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 When the program is being loaded and before the login screen 1s shown the following screen
145. t e Final Upload Report e Successful Partial Cancellations after first upload e Successful Partial Cancellations after final upload Revised October 2010 23 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Corporate Action Reports e Issuer Action Diary e Share Book Detail RTA e List of Beneficial Owner RTA First Upload List Final Upload List List of Successful Allotee After First Upload e List of Successful Allotee After Final Upload e Entitlement List Report e RTA Reconciliation Report RTA end Pattern of Shareholdings Report e New Issue Entitlement report e Book Closure Deviation Report Mutual Fund Reports e Redemption App Rej Report Unit Transfer App Rej Report e Issuance Request Report e Issuance Request Error List Report Activity Balance Report Account Activity Report e Account Balance Report List Reports e Transaction List Report Right Subscription Reports e Right Subscription Request List Reports Right Subscription Cancellation List Reports e Right Offer Reconciliation Report Revised October 2010 24 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 The horizontal bar below the menus shows the user s authorisation level user ID the system date and the date time when the system was last accessed by the user The subsequent chapters of this manual explain in detail each of the options available on the main menus and their respective submenus In order to
146. t Type as ALL display all records irrespective of error exist or not Clicking OK button will display the report Cancel will exit without displaying the report Final Upload Report The Final Upload List Report option 1s displayed when the Partial Cancellation Request Reports menu item on the Reports menu is selected This report enables the user to display or print the information related to First Upload The information displayed in the report includes Serial No Participant ID Account Number Account Type Volume Status and Remarks Clicking this menu item displays the screen shown below Final Upload List Report Options Security Symbol Browse Transaction ld Report Type Error No Error C AN Revised October 2010 141 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 User has to enter the Security Symbol of which the final upload information is required User can also select the security symbol from the look up table by clicking on the Browse button When user enter the valid security symbol its Transaction ID will be displayed as shown below Final Upload List Report Options Security Symbol ISHT Browse SH COS Testing Security Transaction ld Z 56 13 Report Type Error NoEror All User can select any of the three Report Types 1 e Error No Error and or All to print the report accordingly User has to select the Radio button given next
147. t enables the user to display or print a report showing a list of all errors encountered at the time of uploading issuance details in the system The information displayed in the report includes Participant ID Participant Name Account Number Account Code Volume and Error Remarks Clicking this menu item displays the screen shown below Issuance Request Error List Report Transaction ID 2010 Browse Security Symbol The user only needs to enter the Transaction ID and the corresponding Security Symbol is automatically displayed on the screen above A Browse button 1s provided by the side of the Transaction ID field to give the user access to a lookup table in case the user does not remember the correct ID Clicking the OK button will display the report on the screen and the Cancel button will quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 191 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 8 ACTIVITY BALANCE REPORTS The Activity Balance Reports option on the Reports Menu enables the user to display and or print reports relating to account activity and balances As shown below when the Activity Balance Reports menu item is highlighted a sub menu is displayed e CDS Central Depository System File Directtransactions Corporate Actions Element Type R
148. t it printed as explained in the chapter Getting Started Revised October 2010 112 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 2 SECURITY MAINTENANCE REPORTS As shown below when the Security Maintenance Reports menu item is highlighted a sub menu 1s displayed e CDS Central Depository System File Directtransactions Corporate Action Element Type RTA Elementid 2 Element and User Maintenance Reports gt Date 23 04 2057 Last Accessed 23 04 2057 11 51 35 Y The option in the sub menu above is dealt with in the paragraphs that follow Revised October 2010 113 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 2 1 Security List Report The Security List Report 1s available in the submenu under the menu item Security Maintenance Reports in the Reports menu This report gives a list of all the Securities set up in the system When the user clicks on the Security List Report option the system displays the screen shown below Security Report eae Post Report Options Right Security Only Security selection amp All 2 Specific 2 RTA wise Security Status Listed Book Closed Delisted To be Delisted To be Listed With all Status Sot by Sector Financial Year Registered In As On Date 23 04 2057 w Range From lo Ta 100 By default the Post tab of the above screen is displayed while the Save tab 1s disabled In order t
149. t match Double clicking a row from the above lookup table provides the system with the rejection code corresponding to the reason for rejection selected by the user As the user selects the relevant reason code the scrolling table in the Certificate LOR Detail tab of the Deposit Approval Rejection screen shows the status for the certificate LOR as Rejected In order to mark a certificate LOR as Pending the user will need to select the desired certificates LORs and click the Pending button Alternatively to mark all certificates LORs as Pending the user can click the Pending All button without needing to select each certificate LOR separately If however the Pending button is clicked without selecting a record from the table the following message is displayed Revised October 2010 45 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Approval Rejection LE E X Please select a record first to Pending it Marking the certificate LORs as Pending will disallow the respective Participant to make changes in or cancel the deposit request The bottom section on the Certificate LOR Detail tab of the Deposit Approval Rejection screen shows the summary of the certificates LORs and volume marked as approved rejected or pending This includes Total certificates LORs Total volume Approved certificates LORs Approved volume Rejected certificates LORs Rejected volume Pending certificates
150. tc will be shown in the disabled mode Clicking the Certificate Detail tab opens the following screen Revised October 2010 42 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Deposit Approval Rejection TransactionID 2105 70 Participant ID 58550 AZEEM IAS PARTICIPANT Account Number 100572 58560 Security Symbol DADEX DADEX Deposit ApprovalRejection Certificate L OR Detail v Approved v Rejected 7 Pending DATE OF TRANSFER CERTIFICATE LOR NUM VOLUME REJECTION CODE STATUS 07 04 2005 000000000001 50 APPROVED 07 04 2005 000000000002 50 APPROVED 07 04 2005 000000000003 50 APPROVED 07 04 2005 000000000004 50 JAPPROVED 07 04 2005 000000000005 50 APPROVED 07 04 2005 000000000006 50 APPROVED 07 04 2005 ooooo0000007 50 APPROVED 07 04 2005 ooooo0000008 50 APPROVED 07 04 2005 000000000009 50 APPROVED 07 04 2005 ooo000000010 50 APPROVED Total 10 Approved 10 Rejected 0 Pending 0 Total Volume 500 Approved Volume 500 Rejected Volume 0 Pending Volume 0 Approve Approve All Reject Reject All Pending Pending All The table in the above screen provides details of the certificates LORs that are included in the given deposit request In order to search for a particular certificate LOR the user can enter the Certificate LOR Number in the textbox provided above the table and press the Enter key This will highlight the
151. the user clicks the Browse button a rejection code lookup table opens Rejection code REJECTION CODE woot WDO2 woga woga w gs WODE 999 DESCRIPTION SWF is not praperlvicampletelv filled in Details of printout and SWF nat matching Incomplete details in CD Sprintaut Incomplete attachments with SF ewWFiPrintauts contents nat clearledible T Stamp not affixedisufficient qgenuine Any other reason nat mentioned herein Double clicking a row from the above lookup table provides the system with the rejection code corresponding to the reason for rejection selected by the user If the Rejection Code field remains empty the system intimates the user through the following message Clicking the Cancel button on the Withdrawal Approval screen above displays the following message Revised October 2010 58 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Confirmation Are you sure you want to cancel Tes Ho If the user clicks the Yes button in the above message screen all changes are discarded and the withdrawal Approval Rejection transaction is not saved The user is taken back to the main Withdrawal Approval Rejection screen If the user clicks the No button the message window is closed and the user remains on the same Withdrawal Approval screen After the user has marked the certificates as approved rejected or pending as desired by c
152. ticipant ID Account No Account Description and Volume After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started 7 6 11 Book Closure Deviation Report When the user clicks on Book Closure Deviation Report the following screen is displayed Book Closure Deviation Report Report Options From Date 14012012 To Date 140112012 ES User 1s required to enter the From Date and To Date The report generated is of the form Security Symbol Security Name Transaction ID Corporate Action Date and Corporate Action Status After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit Revised October 2010 177 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 the program without displaying the report When the report is displayed the user can get it printed as explained in the chapter Getting Started Revised October 2010 178 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 1 MUTUAL FUND REPORTS All reports related to the units of open ended mutual funds for which the user is the R TA are generated using this menu Highlighting the Mutual Funds Induc
153. tion System menu item in the Reports menu opens a submenu containing the following options e CDS Central Depository System File Directtransactions Corporate Actions Report Element Type RTA Element Id 9 Element and User Maintenance Reports M Date 23 04 2057 Last Accessed 13 04 2057 10 56 04 Security Maintenance Reports gt Deposit Reports Withdrawal Reports gt Partial Cancellation Request Reports gt Corporate Action Reports gt Redemption App Rej Report utual Fund Reports Activity Balance Reports Unit Transfer Apr Rej Report Issuance Request Report List Reports gt Issuance Request Error List Report Right Subscription Reports gt Mutual Eund Renarts e Mutual Fund reports e Redemption Approval Rejection Report e Unit Transfer Approval Rejection Report e Issuance Request Report e Issuance Request Error List Report The following paragraphs in this chapter contain detailed explanations for each of the above menu options Revised October 2010 179 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 7 1 Redemption Approval Rejection Report The Redemption Transfer Approval Rejection Report option is displayed when the Mutual Fund reports menu item on the Reports menu is highlighted It enables the user to display or print a report showing the saved and posted redeemed units Approvals Rejections relating to a particular participant Clicking this menu item displays t
154. to time so as to have independent and absolute control over his CDS access authorities The Change Password option on the File Menu allows the user to change an existing password and replace it with a new one When the user clicks this option the user is presented with the following screen Change Password User Id Old Password Hew Password Contirm Password Submit Cancel To change his password the user has to follow the procedure given below l Type the old previous password 25 Press Tab to move into the New Password field and type the new password as per the current password policy set by the CDS administrator 3 Press Tab to move into confirm password field and re enter the new password 4 Click Submit to save the changes Revised October 2010 14 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 2 3 COMMONLY USED COMMAND BUTTONS Certain command buttons are provided in the screens contained in the system In order to avoid excessive repetition before going into detailed explanations of CDS operations the functions of these buttons are explained below 2 3 1 Refresh Button The Refresh button 1s used to update a screen to the most current state This function will only be useful after using the 4dd Update Button to Save any changes that have been made The Refresh button may also be used to update a list of records after any additions or changes have been made to the contents of t
155. transfer the control to the previous screen Revised October 2010 21 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 2 4 MAIN MENU SCREEN As the user logs on to the system the user is presented with the Main Menu Screen This screen displays the dropdown menus containing various options and submenus discussed later in this manual As shown below this screen contains the following menus e CDS Central Depository System File Directtransactions Corporate Actions Reports Element Type RTA Element Id 24561 Userld C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 09 57 35 File e Change Password e Logout Exit Direct Transactions e Deposit Approval Rejection e Withdrawal Approval Rejection Revised October 2010 22 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version1 2 Mutual Funds Redemption Approval Rejection e Unit Transfer Approval Rejection Partial Cancellation Partial Cancellation Approval Rejection Corporate Actions e New Issue e New Issue Upload e Issuance Request e Reports e Element and User Maintenance Reports e Element Report e Security Maintenance Reports Security List Report e Deposit Reports e Deposit Approval Report Deposit Request Report Duplicate Certificate LOR Report e Withdrawal Reports e Withdrawal Request e Withdrawal AppRej e Partial Cancellation Request Reports Partial Cancellation Request Report First Upload Repor
156. ty Symbol Search Transaction ID Participant Id Security Symbol Remarks The data to be entered in this screen 1s as follows From To The dates to be covered by the report should be entered Dates in these fields Status The user has the option to select whether he wants to display the report for Approved Rejected Pending Cancelled or All withdrawal requests The appropriate option can be selected from the Status combo box As the user clicks the Refresh button at the bottom of the screen after entering the above data the scrolling table on the screen returns the posted withdrawal Approval Rejection records matching the given criteria Revised October 2010 136 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 To find the required record from the scrolling table the user can enter the Transaction ID Account Number and or Security Symbol in the fields provided above the scrolling table and then click the Search button The record matching the given criteria will be highlighted 3 After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program without displaying the report When the report is displayed the user after reviewing it can get it printed as explained in the chapter Getting Started The report has the following fields e Approval Rejection Date e Request Remarks e Ap
157. updated If the Save button is clicked without updating the data the system displays the following message Ho Updations Made Clicking the OK button takes the user back to the update mode On successful update of the transaction the following message is displayed Information Successfully Updated 2003 268 Ok Revised October 2010 60 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 4 23 3 Deleting Saved Withdrawal Approval Rejection Transactions The user can delete a saved Withdrawal Approval Rejection Pending transaction In order to delete a transaction the user needs to select the Saved Withdrawal Approval Rejection option from the Transaction Mode combo box and select the saved record to be deleted Clicking the Delete button after selecting the required record displays the following message Confirm changes E x Do you want to Delete the Withdrawal Approval Rejection Tes No Clicking the Yes button deletes the saved withdrawal Approval Rejection transaction and it disappears from the scrolling table of saved transactions Clicking the No button closes the message screen without deleting the transaction As a transaction is successfully deleted the following confirmation message 1s displayed Information Successfully Deleted 2003 268 I Once a transaction has been successfully deleted it is move
158. used by the R TA in order to compare the data in his books with that of the CDS The report shows the opening balance of the security Date of the transaction Details Transaction Volume Available Volume Pending in and Pending out It also shows the total balances of Volume Pending in and Pending out with respect to the specified security To display and or print the R TA Reconciliation Report the user would select the RTA Reconciliation Report option on Corporate Action Reports submenu under the Reports menu Clicking on this menu option brings up the screen shown below RTA Reconciliation Report Report Options Security Symbol Browse From Date In1 08 2005 To Date lovos2005 The data to be entered in this screen 1s as follows Security Symbol The Security Symbol representing the security for which the report is required A Browse button is provided by the side of the field to give the user access to a lookup table in case the user does not Revised October 2010 173 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 remember the correct symbol The user can see only the securities in the lookup table for which the user is the R TA From To Dates The dates to be covered by the report should be entered in these fields After the user has entered the above parameters the user should click the OK button to display the report on the screen or the Cancel button to quit the program w
159. vided next to them On clicking OK report will be downloaded in the specified file as entered by the user If user selects Print Report Only and click OK button then report will be displayed only Revised October 2010 147 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 CORPORATE ACTION REPORTS When the user highlights the Corporate Action Reports menu item in the Reports menu a submenu is displayed as shown below File Directtransactions Corporate Actions Date 23 04 2057 Last Accessed 23 04 2057 11 51 35 i i gt Partial Cancellation Request Reports Issuer Action Diary Mutual Fund Reports gt Share Book Detail RTA EM Ej List of Benificial Owner RTA Activity Balance Reports gt First Upload List List Reports gt Final Upload List List of Successful Allotee After First Upload Right Subscription Reports gt c ECL List of Successful Allotee After Final Upload Entitlement List Report RTA Reconcilation Report RTA end Pattern of Shareholdings Report New Issue Entitlement Report Book Closure Deviation Report The option in the above sub menu is dealt with in the paragraphs that follow Revised October 2010 148 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 7 6 1 Issuer Action Diary The status of all corporate actions taken by issuers during a given period is shown in this report For a specified date range this report shows details of corporate actions such
160. wing the saved and posted Issuance Revised October 2010 188 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Requests relating to a particular security unit of open ended mutual fund Clicking this menu item displays the screen shown below Issuance Request Report a if 8 a Onet LIS NN a LETRA Report Options With Detail Without Detail Transaction ID 2005 Browse Security Symbol When the above screen appears the user is on the Save tab by default This tab is used to generate report related to saved Issuance Request transactions In order to generate report related to posted Issuance Request transactions the user should click the Post tab Clicking the Post tab displays the following screen Issuance Request Report Report Options With Detail Without Detail Transaction ID 2005 Browse Security symbol If the user wants to display or print a report related to saved Issuance Request transactions the user needs to go to the Save tab of the above screen and enter the following data Report Option If Without Detail option is selected the report shows Participant ID Participant Name A c No A c Code A c Revised October 2010 189 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 Title NIC Passport Details and Volume Requested If the user selects the With Detail option in the Report Option field the report also sh
161. x The Transaction Mode combo box in the Filter Options section 1s provided to enable the user to specify whether the user wants to view the withdrawal requests posted by the account holder Participant IAS and that are pending for Approval Rejection or the withdrawal request Approval Rejection transactions that have already been saved by the R TA but not posted as yet Accordingly this combo box provides the user with Saved Withdrawal App Rej and Withdrawal Request options When the user selects the Withdrawal Request option the above screen changes to following e CDS Central Depository System Element Type RTA Element Id 24561 User Id C2456101 System Date 23 04 2057 Last Accessed 23 04 2057 11 11 26 T email Save Filter Option Transaction Mode Withdrawal Request m Record Selection pin Options TransactionID RITAID 24561 ParticpantID Account Number Security Symbol Search Refresh TRANSACTION ID PARTICIPANT ID AIC NO SECURITY SYMBOL VOLUME NO OF UNITS REMARKS 2050 229 06742 100208 SHT 5 The R TA ID whose user has logged onto the system currently 1s hard coded in the field by the system and the user is not allowed to change it Revised October 2010 55 CENTRAL DEPOSITORY COMPANY CDS Users Manual Version 1 2 The above screen in the Withdrawal Request status shows all the withdrawal requests in the scrolling table The columns are Transaction I

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