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1. amp Reject Clearing Status Drawee Bank Name 2 7 1 Fields in Payment Clearing Screen The following are the fields in the Payment Clearing Screen Level AMC Distributor Fund ID ISIN Code Payment Mode Specific Number Date Range From To 2 7 1 1 Payment Clearing The following are the fields under Payment clearing section Transaction Number Txn Dtl Payment Mode Description Payment Details Clearing Date Clearing Status 2 14 ISIN Code Fund Name To Pledgee Branch Txn Base Currency amp Show Details instrument Car ORACLE e Drawee Bank Name e Pledgee Branch e Txn Base Currency e Instrument Status e Remarks e Sys Reference Number e Check Status e Clearing Level e Auth Status e Maker ID e Maker DT Stamp e Checker ID e Checker DT Stamp 2 8 Payment Clearing Summary Screen You can invoke the Payment Clearing Summary screen by typing UTSPYCLR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Payment Clearing Summary Transaction Number E Transaction Date Clearing Date Clearing Status Clearer ID Authorized Record Status Advanced Search Records per page BEER Status Transaction Numbe
2. 5 30 5 7 1 Fields in Accounting System Component Setup screen eese enne eene 5 31 5 8 ASSET MANAGEMENT IMPORT NAV SETUP eene nenne nnne 5 31 5 8 1 Fields in Asset Management Import NAV Setup 5 32 5 8 2 Asset Management NAV Summary Screen eese eene neen rene ener tene 5 35 9 9 GENERAL LEDGER SETUP SERE RI RU ERU Rr RE A E I 5 34 5 9 1 Setting up General Ledger Template eese eene teen rennen nennen 5 34 5 9 2 Fields in General Ledger Template screen eese nennen trennen rennen 5 35 5 9 5 GL Template Summary screen esee eee eee esee eene eene nennen teen tnen tette eterne nennen enne 5 42 5 9 4 Mapping GL template to fund investment account type combination esee 5 46 5 9 5 Fields in GL Interface set Screen essen enne nennen trennen rennen 5 47 5 9 6 Extraction and Generation of Event based Accounting Entries essere 5 49 5 9 7 Regeneration of EXtT cl ii euet tree bie teet 5 49 5 10 ACCOUNTING SYSTEM GENERAL LEDGER SETUP eene enne 5 49 5 10 1 Fields in Accounting System General Ledger Setup Screen sse 5 50 SAI SECIS FINWARE INTERFACE itte rer RETIRER UR RE TAM ree HER PRIME 5 51 GLSetupfor FCIS Finware Interface ti aee reri 5 52 DALD Data Flow Diagram aeta OH are RU re rie 5 53
3. Trigger Event Theoretical Entries Q Search Advanced Search Records per page Authorized Status Template ID Template Description Business Event Trigger Event Theoretical Entries Setup Enabled 125 Exit You can perform the following operations in the GL Template Summary screen 5 9 3 1 Retrieving Record in GL Template Summary screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the summary screen and specify any or all of the following details in the corresponding fields e status of the record in the Authorizaed field If you choose the Blank Space option then all the records are retrieved e status of the record in the Open field If you choose the Blank Space option then all records are retrieved e Template ID e Business Event e Trigger Event e Theoretical Entries is ORACLE Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen You also retrieve the individual record detail from the detail screen by querying in the following manner e Press F7 e Input the Template ID e Press F8 You can perform Edit Delete Amend Authorize operations by selecting the operation from the Action list You can also search a record by using a combination of 96 and alphanumeric value
4. eese 3 16 3 5 8 Authorizing Amended Records 3 16 3 5 9 Copying Attributes of Record ts e eire A rete tne eoa hee eaae rae a 3 16 3 6 GENERATING MESSAGE MANUALLY 3 17 3 6 1 Fields in Manual Message Screen ede cet 3 18 3 6 2 Validation of SWIFT Messages oae ere i be e RR HERES RR cR eb eren 3 22 3 6 3 Incoming Message Browser Summary Screen seen neen rennen 3 23 3 6 4 Outgoing Message Browser Summary Screen eese nennen eene rennen 3 26 3 6 5 Uploading Incoming Messdges cese itt t e e Hle e eb eire Po eei rre eden 3 28 3 6 6 Generation of Outgoing Messages iirinn KEE Ea Teata eren rennen entere 3 29 3 SUBSCRIPTION BULK ORDER petet ere te RUNE EEE IER quete e Nae EM RYE REPE A REP e 3 31 3 7 1 Tags AN MESS I os espe t ret PER EEE 3 31 3 8 SUBSCRIPTION BULK ORDER CONFIRMATION 3 39 3 8 1 Tags in MESSAGE ERST 3 40 3 9 SUBSCRIPTION BULK ORDER CANCELLATION INSTRUCTION eeeeeeeeeen eene en ene 3 44 3 9 1 lags ui MeSs ge cete imet eter REPE rere Ee ee e re rh EG RH HET tee HERR 3 44 3 10 SUBSCRIPTION MULTIPEE ORDER 5 ie reete riter te eerta eicere Pu ee eret 3 48 340 T Tags in Message a eden utei 3 48 3 11 SUBSCRIPTION MULTIPLE ORDER CONFIRMATION eene en
5. T9 ORACLE RedOrdr setr 004 001 03 New RMO RedemptionMultipleOrderV03 Redemption Order SbcptOrdr setr 010 001 03 New SMO SubscriptionMultipleOrderV03 Subscription Order SwtchOrdr setr 013 001 03 SwitchOrderVO3 New Switch SWC Order 4 3 2 Cancellation of Existing Orders The following messages are used by the Ols for to request cancellation of orders previously issued These are sent to Vestima and in turn Vestima forwards these to the appropriate OHAs through SWIFT Message Message Name Purpose FCIS Code RedOrdrOxIReq Setr 005 001 03 Cancellation RMC RedemptionMultipleOrderCancellationInstructionVO3 of a Redemption Order SbcptOrdrCxlReq Setr 011 001 03 Cancellation SMC SubscriptionMultipleOrderCancellationInstructionVO3 of Subscription Order SwtchOrdrCxIlReq setr 014 001 03 Cancellation SCA SwitchOrderCancellationRequestV03 of Switch Order 4 3 3 Confirmation of Executed Orders The following messages are sent by OHAs to Vestima to confirm the orders received These are forwarded by Vestima to the Ols Message Message Name Purpose FCIS Code RedOrdrConf setr 006 001 03 Confirmation of RCO RedemptionMultipleOrderConfirmationVO3 Redemption Order SbcptOrdrConf setr 012 001 03 Confirmation of SCO SubscriptionMultipleOrderConfirmationVO3 Subscription Order SwtchOrdrConf setr 015 001 03 Confirmation of SCM Sw
6. 5 59 5 17 1 Batch Process for Global Order Generation eese eerte ente 5 60 DEAF 2 Message Fort aiii eor UP ERE e ENVOYER RU ERR GENERE ERE aeons 5 61 INTERFACE WITH ORACLE FLEXCUBE RET AA IL e eee eee ene enne tentat n etna tosta sensns statu seta snae 6 1 6 1 ORACLE FLEXCUBE RETAIL INTERFACE FOR CIF ACCOUNTS sees eee een eene 6 1 6 1 1 Interface PLOCESS oi eta tre EE qe SERERE SR TIEREN EXE HEE ODEO dg RSs ERNIE 6 1 6 1 2 Unitholder Accounts under CIF aue tet mte 6 2 6 1 3 Modifying CIF Account 4 acero tess a I YU ERU QU E i Y ere Cue ERR UE as ek stevens 6 2 6 1 4 Closure of Customer CIF Account ica o a ect tto e i 6 3 6 1 5 Details for CIF Account in e ee veni oet eene reete Ree e e ER 6 3 ORACLE FLEXCUBE INTERNET BANKING eeeeeeen sete eene tn sensns tatu stesso seta sse ta sens 7 1 7 1 INTRODUCTION tert tet OPERI Pr ROI RH E E I PV 7 1 7 1 1 Data Hand off from 3 eee m rin ee Hte rege 7 2 7 1 2 Logging in to Oracle FLEXCUBE INTERNET BANKING 0 csscssssesssesecesscesscesecusecuseeeeeaeeeaeees 7 2 7 1 3 Information from FC IS to Oracle FLEXCUBE INTERNET BANKING 7 3 7 1 4 Viewing Portfolio Details irisi eee date etf e RE e Per ar Ned Pane gaps 7 4 7 1 5 IPO Transactions and Subscription Transactions buys 7 5 7 1 6 Redemption Tr
7. TAXDEDUCTEDINTAXCCY Tax Base Currency PAYMENTNUMBER Payment Number for this dividend Refer to the sample XML for a full list of the elements of a request and its response 2 GETUHDIV Res xm 7 1 25 Viewing Dividend Details for Funds Dividend information for the various funds schemes available in the system can be viewed Search may be based on AMC Scheme Name From Date and To Date 7 1 25 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Unitholders QUERY FUND FCISFUND DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETFUNDDIV RECORDID Fund ID if Selected al ORACLE AMCID AMC ID of the AMC Selected FROMDATE From Date of Dividend Info TODATE To Date of Dividend Info Refer to the sample XML for a full list of the elements of a request and its response 2 GETFUNDDIV Req x m 7 1 25 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Unitholders REPLY FUND FCISFUND DTD ERRCODE Error Code ERRDESC Error Description Unitholders HANDOFF DIV FCISFUND DTD FUNDID FUNDDIV DIVIDENDNUMBER DIVIDENDT
8. Double click the record that you want to delete in the list of displayed records The Interface Maintenance Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 2 7 5 Authorizing Interface Maintenance An unauthorized Interface Maintenance record must be authorized in the system for it to be processed To authorize a record Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The Interface Maintenance Detail screen is displayed Select Authorize operation from the Action List i ORACLE When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 5 2 7 6 Amending Interface Maintenance After a Interface Maintenance record is authorized it can be modified using the Unlock operation from the Action List To
9. ISIN Code The ISIN Code of the fund that you choose will be updated in this field TM ORACLE You could alternatively select the ISIN Code of the fund and the Fund Id will be updated Template Id Select the template that you desire to map to the fund investment account combination to When you choose the Template Id the following sections are displayed in the screen e Template Details Section e Component Details Section e Restricted Reference Type Section These have been explained in detail in the section Setting Up a General Ledger Template in this chapter Please refer to the same for more information Template Description The description of the template is displayed when you select the Template Id Account Type Select the investment account type for which the template is being mapped GL Currency Select the GL Currency from the option list provided Note the following e As mentioned above the field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund ld Template Id Component and Account Type You can distinguish between them by entering a unique GL Reference Number for each e You maintain a GL Setup for more than one account type This is done by choosing the option All Account Types against the field Account Type Example If you want to define a GL setup for a fund FUND1 for two account types CPFOA and Cash Direct you can choose the option
10. An interface definition that will capture all the information that is needed for processing and effecting the data exchange You can designate all the procedures that need to be called the internal tables that will be inserted into or read from the database objects that will be used the file formats and so on The interface processing module that will actually process the interface effect the data exchange and create a log of these activities The file access services that will be utilized by the interface processing module for the purpose of effecting the data exchange You can process an interface in one of the following ways As part of the End of Day Procedures you can trigger the processes specified for the interface through a simple dialog screen The system performs the data exchange and flashes a message upon successful completion of the activities You can schedule the interface through the Scheduler Services in FCIS by specifying the Interface ID as a parameter for a task and then schedule the task to be executed as desired as a job as follows Define an interface definition from FCIS to the external system or vice versa The interface definition will be associated with a unique Interface ID Define a task through the Task Maintenance screen and indicate the Interface ID as a parameter to the task Schedule the task by associating it with a time based or event based frequency and define it as a job through
11. Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag aie ORACLE BeneficiaryDetails Optional UnitsNumber Mandatory Unit Mandatory Outgoing The allocated units for the transaction NetAmount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing This would be settlement amount of redemption transaction available in transaction currency GrossAmount Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store TransactionDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandatory This is the price at which order was executed Extended
12. Example You can search the record for Template ID by using the combination of and alphanumeric value as follows e Search by G System will fetch all the records whose Template ID starts from Alphabet G For example GLTEMP etc e Search by 1 System will fetch all the records whose Template ID ends with the by numeric value 1 For example GL 1 etc 5 9 3 2 Editing GL Template You can modify the details of a GL Template that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the GL Template Summary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified e Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The GL Template Detail screen is displayed e Select Unlock Operation from the Action list to modify the record Modify the necessary information e Click Save to save your changes The GL Template Detail screen is closed and the changes made are reflected in the GL Templat
13. FCIS will use this tag to provide the Fund Price components if applicable for the fund and Fund Price details at a transaction type level Type Mandatory e Structured Mandatory FCIS will pass NAVL OTHR as the structured codes While passing the Declared NAV for fund FCIS will use the code as NAVL For other details such as transaction type level or component level price details OTHR will be used ae ORACLE e Additional Information Optional If the structured code is OTHR this information is mandatory FCIS will pass the respective Transaction Type Code and Component ID as additional information ValuelninvestmentCurrency Mandatory Repetitive This tag will be used to pass the Declared NAV Component Value for Component ID and Transaction Base Price for Transaction Type ForExecutionlIndicator Mandatory This indicates whether the price information can be used for the execution of a transaction This indicator would be Yes for fund price details and No for component details CorrectedPriceDetails Original Repetitive These are the corrected price details The information provided here is the latest corrected NAV details 3 27 Price Report Cancellation The PriceReportCancellation message is sent by a report provider to a report user This message is used to cancel an entire PriceReport message that was previously sent by the fund accountant If only a part of the information has to be cancelled
14. However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units Percentage based transactions will be passed under the tag HoldingsRedemptionRate GrossAmount Optional This is the gross amount invested in the fund Outgoing This will map to transaction gross amount in the fund base currency if available mm ORACLE 3 16 ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Redemption Multiple Order This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The RedemptionMultipleOrde
15. a comprehensive mutual funds automation software from Oracle Financial Servicing Software Ltd This Oracle FLEXCUBE Investor Servicing User Manual helps you use the system to achieve optimum automation of all your mutual fund investor servicing processes It contains guidelines for specific tasks descriptions of various features and processes in the system and general information Related Documents The User Manual is organized in to various parts each discussing a component of the Oracle FLEXCUBE Investor Servicing system Audience This Fund Manager User Manual is intended for the Fund Administrator users and system operators in the AMC Organization This volume of the Fund Manager User manual is organized under the following chapter sequence Chapter 1 About This Manual explains the structure audience organization and related documents of this manual Chapter 2 Interface Creating Electronic Fund Transfer explains the processes involved in using the FC IS system to create transfer instructions EFT files and transmit them to an external clearing bureau or clearing house Chapter 3 Interface Processing SWIFT Messages explains the processes involved in uploading and processing SWIFT messages is explained Chapter 4 Interface Interfaces with External Systems explains setting up maintenance online execution of various interfaces Conventions Used in this Manual Before you begin us
16. e Invoke the SWIFT ELEMENT UDF Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The SWIFT ELEMENT UDF screen is opened in view mode E ORACLE e Select Authorize operation from Action list When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 3 5 6 Amending Record After a record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the SWIFT ELEMENT UDF Summary screen from the Browser You can invoke this screen by typing UTDSWUDF in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button e Select the status of the record that you wish to retrieve for amendment You can only amend records of records that are auth
17. Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory Unit Currency This will be the transaction currency Quoted Currency This will be the fund base currency Exchange Rate This will be the exchange rate for the transactions E ORACLE PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered e Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDetails Optional Payment Instrument Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT PaymentCardDetails Mandatory Choice Type Mandatory This indicates the type of card e CRDT Credit Card e D
18. Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time 3 14 1 3 RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be generated against each Messageldentification message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message dios ORACLE 3 14 1 4 BulkExecutionDetails Mandatory This is general information related to the execution of investment orders FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN IndividualExecutionDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to
19. Not Required when fetching for all Funds else FCIS Fund ID Refer to the sample XML for a full list of the elements of a request and its response lt gt GETFUNDIDR Req x m 7 1 26 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Element Value Unitholders REPLY FUND FCISFUND DTD ERRCODE Error Code ERRDESC Error Description Fund HANDOFF FUND FCISFUND FUNDID FUNDIDR DIVDECLAREFREQ Could be any of the following values D Daily M Monthly H Half Yearly Y Yearly Q Quarterly DIVPYMTFREQ Could be any of the vales in the following list D Daily M Monthly H Half Yearly Y Yearly Q Quarterly LASTDIVNO Last Dividend Number 7 34 ORACLE LASTPYMTNO Last Payment Number DEFAULTDISTMODE Distribution Mode Could be any of the following P Payout R Reinvestment RESTRICTIDS CORPORATEACTIONTYPE Could be either C Cash Dividend or S Stock Dividend Refer to the sample XML for a full list of the elements of a request and its response 9 GETFUNDIDR Res x m 7 1 27 Viewing Online Balance Total Unit Balance minus the under process units is referred as Online Balance This Balance is displayed on the Redemption and Switch Screens 7 1 27 1 Request Element The table below describes the impor
20. You can a search for a scheduled job by specifying any of the following Job Name Alphanumeric Optional Select the name of the job that you want to search for from the option list provided State Alphanumeric Optional Select the state of the job you want to search for from the option list provided The following options are possible for Quartz schedulers e Acquired e Waiting e Blocked 8 ORACLE 5 6 e Paused Scheduler Alphanumeric Optional Select the scheduler to which the job you want to search for has been assigned Job Group Alphanumeric Optional Select the group to which the job you want to search for belongs from the option list provided Next Fire Time Alphanumeric Optional Select the time when the job is scheduled to be run next Click Search button to view the details related to the job You can pause a job by selecting it and clicking the Pause button You can resume a paused job by clicking Resume button and the job is scheduled for its next fire time A job can take any of the following states e COMPLETE This indicates that the trigger does not have remaining fire times in its schedule e NORMAL This indicates that the trigger is in the normal state e BLOCKED A job trigger arrives at the blocked state when the job that it is associated with is a Stateful job and it is currently executing e PAUSED This indicates that the job is manually paused fr
21. through the Unit Holder New Account menu item in the Maintenance menu category of the Agency Branch main menu When you create a new unit holder account for a CIF account the details for the account are defaulted by the system from the CIF account profile These details are the personal details broker details identification details tax details and bank details You can edit or perform an information change on any unit holders in a CIF account using the Unit Holder New Account Summary screen for edit and the Unit Holder Information Change Detail screen for information change You can access both these screens from the corresponding menu items in the Maintenance menu category of the Agency Branch main menu Modifying CIF Account Whenever a CIF account is amended i e altered after authorization in FCR the changes could be made e Inthe basic CIF account details e Inthe mutual fund or FC IS profile details If the basic CIF account details are amended the changes will be propagated to FC IS by the interface process upon authorization of the same in FCR If the mutual fund profile is amended the changes are automatically authorized in FCR and the interface process is triggered propagating the changes to FC IS Applying a change to all unit holder accounts under a CIF account in FC IS A change made to a CIF account in FCR can be reflected in all unit holder accounts under the CIF in FC IS when it is propagated to
22. transactions for which the payment details or the exchange rate details are not available a message is displayed indicating that the information is incomplete as there are transactions pending processing If the query is unsuccessful for some reasons FC IS also relays the description of the error with its associated error code 7 1 12 Transaction Activity After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the activity of any transaction requests that were previously entered between a given time period In addition to this the unit holder can view fund wise opening balance of all funds applicable to the request criteria The unit holder must specify any or all of the following information as inquiry parameters to view the transaction activity The unit holder number if the unit holder number is not specified the details for all unit holders under the CIF are displayed The range of dates between which the status of orders placed is required If not specified the date range is taken by default to be the period between the beginning of the current month up to the current date ie ORACLE e Alternatively the unit holder can also specify the transaction number e Funds pertaining to a particular AMC On selecting the AMC information related to all the funds offered by the AMC is displayed If the AMC is not specified funds of all AMCs are displayed e I AMC is specified b
23. All Account Types instead defining two different GL templates for each of the account types You can maintain a GL Setup for more than one currency This is done by choosing the option All Currency against the field GL Currency This allows you to maintain one GL for transactions carried out by the customer in different currencies There will be a currency wise posting in the GL ics ORACLE 5 9 6 5 9 7 5 10 Extraction and Generation of Event based Accounting Entries A batch process extracts the relevant accounting entries according to the GL setup for the fund and generates the accounting entries that would be passed automatically at EOD For cash nominee accounts no theoretical entries are generated at the AMC when the GL extract is generated since these accounts are of the Distributor The System checks whether the transaction date is a holiday in any of the calendars The settlement date Contractual Settlement Date is derived based on the mode of payment payment lag maintained for the fund As of the unitization or allocation date the theoretical cash flow indicator entries if indicated in the GL maintenance are generated At the Distributor the accounting entries generated for the underlying transaction reflect the movement of funds to Distributor unit holder and fund accounts At the AMC the accounting entries generated for the underlying transaction reflect the credit or debit to fund investment fund mana
24. Instruction Medium H Instruction Medium Description Entity ID Description Bank Sub Payment Effective Date Description Agent Code E Unit Holder ID Process Date Net Amount Broker Code Hold Back Payment Held From Mark For Re Export Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized 2 4 4 Generating EFT Batch in this Screen To create a batch that can be used for generating and exporting an EFT file you must e Specify the following mandatory information in the applicable fields in the header or main portion of this screen gt The Instruction Type that will determine the records that must be extracted for this batch The Effective Date for which the records must be extracted for this batch The Batch Description e Click the Extract button The job is submitted and the corresponding procedure is run The Asynchronous Process screen is opened where the current status of the job is indicated e Allthe relevant transaction records pertaining to the specified Instruction Type and Effective Date are extracted and the amounts involved are summed across all the transaction and displayed in the Instruction Information section in the lower portion of the screen This displayed row will also contain the number of records that are tagged w
25. LastPagelndicator Mandatory This tag indicates the last page of the report This will be true for the last unit holder report and false for the others StatementGeneralDetails Mandatory This tag provides general information related to the custody statement of holdings ORACLE Reference Mandatory This is the Reference Number generated by the system StatementDateTime Mandatory This indicator is the effective date as of which the report is generated ActivityIndicator Mandatory This indicator would be Yes is there is any activity reported in the statement Else it will be No AccountDetails Mandatory Identification gt Simpleldentification gt Proprietary gt Identification Mandatory This tag is to identify the investor s CIF ID in FCIS FungiblelIndicator Mandatory This tag would be set to Yes IntermediaryInformation gt Identification gt Proprietary Mandatory This tag provides the intermediary details attached with the Unitholder account BalanceForAccount details This contains the CIF level account balance details as on date requested SubAccountDetails Optional Identification gt Simpleldentification gt Proprietary gt Identification di ORACLE Mandatory This would map to the Identification Number of the Unit holder Fungiblelndicator Mandatory This tag would be set to Yes ActivityIndicator Mandatory This indicator would be set to Y
26. Outgoing FCIS sends out the fund ISIN UnitsNumber Mandatory UnitsNumber Mandatory Outgoing The allocated units for the transaction Amount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing This is be settlement amount of the redemption transaction available in the transaction currency GrossAmountindicator Optional Outgoing This will be true is the amount is Net else false me ORACLE TransactionDateTime Mandatory This tag provides the transaction date Outgoing Depending on the UDF mapping the Transaction Date will be passed Value gt Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurren
27. You can also report the net value of the Initial admin and Broker Fee to the AMC UT along with the UT initial fee return value using Global Order Placement Hence the exported files will contain both the net amount Policy amount Fees and UT fee return value You can group the transactions based on the following vem ORACLE e Fund e Transaction Date e Transaction Type e Subscription includes Pseudo Switch in e Redemption includes Pseudo Switch out True Switches and Transfers e Product e UT Fee Return value System will consider Internal Switches switch in and switch out as separate transaction types 5 17 1 Batch Process for Global Order Generation The Global Order or Manco Instructions is generated using the batch process The system will check for all the transactions in this batch process i e if there are fees attached to the policy transaction the system will forecast the Initial Admin fees and Initial Broker fees using the Project Allocation procedure Project Allocation projects the allocation which contains the allotted units based on the price available from the global order The forecasted fee values are received through the project allocation package You can calculate the investment amount using the following formula Investment Amount Policy Transaction Amount Initial Admin Fee Initial Broker Fee Investments and Disinvestment Adjustments Reversals i e Buying and reversal of Sel
28. account Interface Process The interface between FC IS and FCR is triggered as follows e When a CIF is created for a customer of the bank by a user in the FCR system all mandatory details needed for the creation of the CIF are specified and the record is saved It is subsequently authorized The CIF account now resides in the FCR system database e f a mutual fund CIF or unit holder account needs to be created for the CIF customer in the FC IS database a mutual fund profile must be created for the CIF customer account This profile must be created by a user in the FCR system e mutual fund profile is automatically authorized upon creation in FCR When this happens the interface process is triggered and the details of the CIF customer account as well as the mutual fund profile are propagated from the FCR database to the FC IS system database Refer the sections The basic profile for the CIF customer and The mutual fund or FC IS profile for the CIF customer later on in this chapter for details propagated into the FC IS database e A CIF account is created for the CIF customer in the FC IS database along with an initial single unit holder account for the CIF account This account is created either as an unauthorized or authorized account depending upon the specification maintained for the FCR bulk client in the Bulk Clients Defaults Maintenance You can alter any details for the initial unit holder account as follows
29. are accepted on holidays In such an event the start date is changed to the next working day 7 1 20 Dividend Information Inquiry After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter enquiries regarding the dividend information for the account The account number must be specified as the inquiry parameter On receiving the dividend information request from Oracle FLEXCUBE INTERNET BANKING FC IS relays the following information for all unit holder accounts under the CIF Unit Holder ID Fund ID and ISIN Code Dividend start date Dividend end date EPU Units held Unit Price Dividend currency Dividend amount Tax deducted Net Dividend Paid Reinvestment amount To Fund ID ORACLE e Mode of payment Check Transfer Details based on payment mode are same as for transactions e Payment Amount in transfer currency If the request is for dividend information for a single unit holder ID the above information is provided for the specified unit holder ID 7 1 21 Processing Requests Received during End of Day Process Any requests for information or relaying of information from Oracle FLEXCUBE INTERNET BANKING are accepted in the Oracle FLEXCUBE INTERNET BANKING system even if they are entered during the End of Day cycle in FC IS In such an event if the End of Day cycle is in progress Oracle FLEXCUBE INTERNET BANKING notifies the investor that the requests will be proces
30. for the customer Tax ID The tax ID if any for the customer Allow ROA at CIF level Whether the Rights of Accumulation facility is to be made available for all unit holders under the CIF account for the customer Fee category The fee category if any under which the customer is placed Fee sub category The fee sub category if any under which the customer is placed Module ID The default module in which the customer may operate in the FC IS system The following information is not mandatory but may also be specified if necessary Account Statement Frequency The frequency at which account statements are required to be given to the customer Corporation Type For corporate or bank customers the type of corporation Contact Person For corporate or bank customers the contact person Country Of Domicile The country in which the customer is domiciled Father Spouse Name For individual customers the name of the father or spouse as applicable Occupation The occupation of the customer dis ORACLE For a fuller discussion of each of the above details refer the chapter Managing Investor Accounts Defaulting information If any details are not found in the CIF information that is propagated by the FC IS FCR interface they are reckoned by default from the Bulk Clients Defaults Maintenance record maintained in the FC IS system for the FCR bulk client code ee ORACLE 7 1 7 Oracle
31. only Value gt Amount Mandatory Outgoing This will be the allocation price of the Switch From fund CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO oven ORACLE CommissionDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory This indicates the load corresponding to the commission that is being overridden The Load in the system can be identified using the Load Id or the Recipient information Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value Waiving Details Optional This tag represents the override percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override
32. Address Line 2 e Address Line 3 e Address Line 4 e Location e Exception e Message Authorize button Click on the authorize button to authorize the message Performing Operations on Message View Click this button to view the contents of a message The contents of the message will be displayed the Message section of the screen Authorize Click this button to authorize an unauthorized ungenerated message that has been edited or an unauthorized generated message that has been repaired Generate Click this button to generate the outgoing message in respect of an ungenerated message or a generated message that has been repaired and then authorized When you click this button the status of the message is marked as generated If any errors are encountered by the system during outgoing message generation the message is marked to the repair queue and must be repaired before being authorized and uploaded again for outgoing message generation 3 6 5 Uploading Incoming Messages To upload incoming messages you can use the Process Incoming Swift Messages screen You can invoke this screen by typing UTDPSWIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select the Operation as Start to trigger the upload process ORACLE Process Incoming Swift Messages Operation Start Cancel Tri
33. Marked Records button to complete the authorization When the checker authorizes a transaction details of validations if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction Amending Record After a record is authorized it can be modified using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the EFT Setup Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the record in the corresponding fields on the screen All record with the specified details are retrieved and displayed in the lower portion of the Screen e Double click the record that you want to amend The EFT Setup screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save your changes Authorizing Amended Record An amended record must be authorized for the amendment to be made effective in the system Authorization of amended records can only be done from Fund Manager Module and Agency branch Module The process of authorization is subsequently t
34. Marking a batch for re export ex ORACLE EFT Setup Summary x Authorized v Instruction Medium a Instruction Type LE Process Date amp Effective Date 2 a Sub Payment Mode 28 Batch Number Li Q Search Advanced Search Reset Records per page Authorized Open Instruction Medium Instruction Type Process Date Effective Date Bank Sub Payment Mode Batch Number 2 5 1 Retrieving Batch in EFT Setup Summary Screen You can retrieve a previously entered record in the EFT Setup Summary screen as follows In the browser select Transaction screen and click on Summary specify any or all of the following details in the corresponding fields The status of the transaction in the Authorized field If you choose the Blank Space option then all the records are retrieved The status of the Transaction in the Open field If you choose the Blank Space option then all the records are retrieved The medium of instruction in the Instruction Medium field The type of instruction in the Instruction Type field The date of process in the Process Date field The effective date in the Effective Date field The code of bank in the Bank field id ORACLE 2 5 2 e The mode of sub payment for the transaction in the Sub Payment Mode field e Batch Number After you have specified the requ
35. Number The Txn Dtl The Payment Mode Description The Payment Details Thetransfer account details the Bank Name Branch Name Account Type Account Number Account Currency and Account Name gt The clearing instrument number You must specify the clearing date for the settlement in the Clearing Date field In the case of link settlement numbers all the transactions must be cleared together or rejected together Individual transactions cannot be cleared or rejected in isolation Therefore you must specify the clearing dates for all the transactions together oe ORACLE After you have specified the clearing dates for all the transactions select the Clear All option to mark all the transactions for clearing or the Reject All option to mark all the transactions for rejection Click the Save button to actually effect the clearance of the settlement em ORACLE 3 Processing SWIFT Messages 3 1 Introduction The Oracle FLEXCUBE Investor Servicing FCIS system provides the facility of processing incoming and outgoing messages at an AMC Distributor installation over the SWIFT Society for Worldwide Inter bank Financial Telecommunication network 3 2 Transaction Workflow The diagrams given below illustrate the transaction workflow for SWIFT messages 3 2 1 Incoming SWIFT Bulk Multiple Orders 3 2 2 Incoming SWIFT Bulk Order Cancellation xd ORACLE 3 2 ORACLE 3 2 3 Outgoing
36. Reversal e Sum Net Amount in FBC of the original transaction Switch In Reversal e Sum Switched In Amount of the original transaction where fund passed is the Switch In fund Switch Out Reversal e Sum Net Amount in FBC of the original transaction where fund passed is the Switch Out fund 3 29 1 2 Dividends Dividend payout Criteria for dividend record consideration e Amendment Reversal not happened e Dividend is processed e Date passed is the Dividend Payment Date Dividend Sum Total Amount Paid to the investor for the fund and dividend payment date Dividend reversal Criteria for dividend record consideration e Dividend status is reversed and authorized e Date passed is the authorization date of reversal Dividend Sum original Total Amount Paid to investor Dividend Amendments Outflow Criteria for dividend record consideration e Dividend status is amended e Date passed is the Dividend Payment Date e Amended dividend is processed Dividend Sum Total Amount Paid for the amended dividend wee ORACLE Dividend Amendments Inflow Criteria for dividend record consideration e Dividend status is amended e Date passed is the Dividend Payment Date e Amended dividend is processed Dividend Sum Original Total Amount Paid Confirmed Cash In A C F H J4 L Confirmed Cash Out D E G I K 3 29 2 Tags in Message 3 29 2 1 PoolReference Optional This is a collective reference to identify set of messages Ou
37. UNISSUEDBAL Total Units for which Certificate has not been issued if Certificate Fund REDEEMBAL Total Approximate Amount that is Redeemable UHPREFERREDCCY Unit holder Base Currency PRODUCTID Product of Balance AMCID AMC of Fund AMCNAME Name of the AMC PRODUCTNAME Name of the Product CIDNAME Name of 7 37 ORACLE Customer ONLINEBAL The Total Balance In Process Balance ONLIBALINFBCCY The above Balance NAV in FBCCY ONLIBALINFBCCY The above Balance NAV in UHCCY Refer to the sample XML for a full list of the elements of a request and its response lt gt GETFUNDIDR Res x m 7 1 28 Viewing Multiple Funds in Transaction Activit During transaction activity if the customer requests for a particular AMC then activity will be shown for all funds in that AMC 7 1 28 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Fund QUERY TXN FCISTXN DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial Number QUERYTYPE TXN ACTIVITY REQUESTDATE System date CID CIF Number UNITHOLDERID Unit holder ID FUNDID Id of the fund 7 38 ORACLE NUMBEROFTXNS Number of Transactions t
38. and a customer s accounts for a given period ssp ORACLE 3 35 1 Tags in Message MessagePagination This tag indicates the pagination of the message PageNumber Mandatory This indicates the page number LastPagelndicator Mandatory This tag indicates the last page of the report This will be true for the last unit holder report and false for the others StatementGeneralDetails Mandatory This tag provides general information related to the investment reports Reference Mandatory This is the Reference Number generated by the system StatementPeriod gt FromDate Mandatory This indicator is the From date that marks the beginning of the period for which the statement is being generated StatementPeriod gt ToDate Mandatory This indicator is the To date that marks the end of the period for which the statement is being generated UpdateType Mandatory This tag will have the value COMP to indicate that the report is complete same ORACLE ActivityIndicator Mandatory This indicator would be Yes is there is any activity reported in the statement Else it will be No InvestmentAccountDetails Mandatory Identification gt Proprietary gt Identification Mandatory This tag is to identify the investor s CIF ID in FCIS IntermediaryInformation gt Identification gt Proprietary Mandatory This tag provides the intermediary details attached with the Unitholder
39. and replaced the PriceReportCorrection message must be used This report has to be generated manually FCIS communicates the original PoolReference of the price report 3 27 1 Tags in Message 3 27 1 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS 3 27 1 2 PreviousReference Mandatory This is the Reference Number to a linked message that was previously received a9 ORACLE Reference Mandatory Outgoing This will be the PoolReference of the original price report that was communicated 3 28 Fund Estimated Cash Forecast Report The FundEstimatedCashForecastReport message is sent by a report provider to a report user This message is used to provide an estimate of the cash incomings and outgoings per investment fund This message can be used to report on several investment funds The cash incomings and outgoings result from for example redemption subscription switch transactions or dividends The recipient of this message is an AMC FCIS will generate an estimated inflow and outflow report of the funds belonging to the AMC selected for the message for a particular date which is user input if manual or the Application Date if the report is generated automatically 3 28 1 Contents of Report The following are the contents of this report 3 28 1 1 Transactions All unalloted transactions that are newly captured or re
40. be a set of other information fields applicable for entity type Bank Outgoing As FCIS is capable of supporting both the BICOrBEI and Proprietary Identification SWIFT UDF mapping will be used to determine the element that client would want to send IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party dum ORACLE Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN Choice for UnitsNumber Amount Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field Amt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmountindicator while processing the message If the same is available the transaction will be c
41. changes to any previously entered income distribution options of the unit holder profile The following information must be specified for a new income distribution option set up or the modification of an existing set up for a unit holder account for a fund e Distribution mode Full Payment Full reinvestment Both e Payment percentage e Reinvestment percentage e Payment details gt Payment mode Transfer Check gt Check all mandatory information as in transactions Transfer all mandatory information as in transactions e Reinvestment details gt Reinvestment Unit Holder ID gt Reinvestment Fund ID gt Percentage of investment into this fund Deletion of an existing income distribution set up for a unit holder account is not possible To inquire about the income distribution options for a fund and for a unit holder the inquiry parameters to be specified in Oracle FLEXCUBE INTERNET BANKING are CIF Number Unit Holder ID and Fund ID On receiving the income distribution request from Oracle FLEXCUBE INTERNET BANKING FC IS will save the set up details whether new or modified as unauthorized information for the account The changed record must be manually authorized On inquiry all income distribution details for the selected CIF account will be sent for viewing If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If
42. click the transaction that you wish to authorize The Payment Clearing screen is opened in view mode e Select Authorize operation from Action list When the checker authorizes a transaction details of validations if any that were overridden by the maker of the transaction during the Save operation are displayed If any of these overrides results in an error the checker must reject the transaction 2 8 0 Amending Transaction After a transaction is authorized it can be modified using the Unlock operation from Action list To make changes to a transaction after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the Payment Clearing Summary screen from the Browser e Select the status of the transaction that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the transaction in the corresponding fields on the screen All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the transaction that you want to amend The Transaction screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the transaction ete ORACLE Amend the necessary information Click the Save button to save your changes 2 8 7 Authorizing Amended Transactions An amended transaction must be authorized for the amendment to b
43. code description as ERROR CODE Consequently the file that will be sent to AWD by FLEXCUBE Investor Services will have the header AWD Refer to the section Maintaining Data Mapping in the chapter Maintaining System Parameters for further details Interface Attributes The FCIS AWD Interface has the following attributes Trigger EOD Activity Transport Type File System File Type Delimited Header Row No Record Separator New Line Character Field Separator Comma Process Workflow The FCIS AWD interface will fetch all the allocation errors that have occurred on transactions after all the validations The interface will then transfer a file with the details in the required format The interface will also provide the subscriptions redemptions and income distributions for which the bank details are unverified ORACLE 8 2 4 File Format for FCIS AWD Interface The file which contains the errors that have occurred on transactions will be in the following format Field Name Data Type Details Error Code Number The FCIS error code will be translated as per the data mapping maintenance Account Number Character The unit holder ID of the transaction Fund id Character The fund ID of the transaction Account Group No Character Product ID of the transaction The value will be UT if itis a unit trust transaction Account Group Character The
44. e Ifthe initial account is unauthorized edit the account through the Unit Holder New Account Summary screen You can access both these screens through the respective menu items in the Browser when FCR is not available at the installation CIF accounts are created in the FC IS system through the Customer Maintenance menu item in the Maintenance menu category of the Agency Branch Upon authorization of the CIF account in FC IS a single initial unit holder account is also created for the CIF account in FC IS 1 ORACLE For a fuller understanding of how CIF accounts are created and managed in the FC IS system refer the chapters Maintaining Customer Information and Managing Investor Accounts When both FC IS and FCR systems co exist at a FLEXCUBE installation the Customer Maintenance menu item in the Maintenance menu category of the Agency Branch is not available In such an event the CIF account is created in the FCR system When investment details are also captured for the CIF account in FCR and authorized the interface process is triggered as described above The CIF and investment details are propagated to FC IS by the interface and a single initial unit holder ID is created in FC IS for the CIF account Unitholder Accounts under CIF After the single initial unit holder account is created for a CIF account by the interface you can create as many different unit holder accounts under the same CIF account in the FC IS system
45. eight decimal places Numeric Optional Specify the applicable floor variation as a percentage for the imported NAV ue ORACLE Ceiling Variation 11 Characters Maximum including eight decimal places Numeric Optional Specify the applicable ceiling variation as a percentage for the imported NAV If you do not specify the applicable floor and ceiling variations in this screen these values are reckoned by the system from the specifications in the Fund Price screen record for the same fund 5 8 2 Asset Management NAV Summary Screen You can invoke Asset Management NAV Summary screen by typing UTSAMNAV in the field at the top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below Asset Management NAV Summary Authorized Open v Fund ID Advanced Search Records per 15 Authorized Import Authorized NAV Import NAV Floor variation Ceiling variation In this screen specify the search criteria and click Search button to retrieve the records uis ORACLE 5 9 General Ledger Setup Oracle FLEXCUBE Investor Servicing provides the facility to set up a General Ledger for the purpose of generating accounting entries that would be passed at each event in the life cycle of a transaction The events at which the accounting entries could be required for a transaction are as follows e Unitization
46. investor can also edit or delete any existing bank details e Initiate standing instructions for buy sell and switch transactions The investor can also edit or delete any previously initiated unauthorized standing instructions and request for information on the same e Make changes to any income distribution setup options for the unit holder account that are unauthorized e Again changes to an authorized IDS record are only possible through an amendment and the amended record is saved as an unauthorized record which must be authorized subsequently e Request for the generation of account statements In addition to specifying new information or editing existing information the investor can also request for information on the unit holder account pertaining to any of the following e The status of any previously initiated transactions e portfolio of investments dn ORACLE e The transaction activity of the unit holder account e NAV movements e Dividend information 7 1 1 Data Hand off from FC IS The FC IS system updates the Oracle FLEXCUBE INTERNET BANKING system online whenever the following are authorized in FC IS e New data created in FC IS in the course of day to day operations e Changes amendments made to data in FC IS in the course of day to day operations The creation or amendment of data could occur in any or all of the following cases e Fund rules e Reference information such as banks branch
47. more intermediary parties between the instructing party and the executing party The RequestForStatusReport message is used to request the status of SH ORACLE e One or several order messages e or several cancellation messages e or several individual orders within a order message If the RequestForOrderStatusReport message is used to request the status of several messages then the instructing party will receive several reply messages from the executing party i e several OrderlnstructionStatusReport messages and or OrderCancellationStatusReport messages The number of reply messages will match the number of references stated in the RequestForOrderStatusReport message The RequestForStatusReport message may not be used to request the status of an investment account a transfer or the status of a financial instrument FCIS allows a manual trigger for the RequestForOrderStatusReport The user has the flexibility to select the references to the previously sent messages of various types i e subscription redemption switch and cancellations and individual transactions within the same if required FCIS will generate the RequestForOrderStatusReport message for every reference number selected by the user A request for the status for the following is possible e Subscription Bulk Order Multiple Order Cancellation instructions e Redemption Bulk Order Multiple Order Cancellation instructions e Switch Order Cancellat
48. not i e in case of a successful addition or change an appropriate message is inserted along with original details 7 1 19 Standing INSTRUCTIONS ORACLE After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter standing instructions for the account or effect changes to any previously entered standing instructions for the unit holder profile Standing instructions may be set up for subscription redemption and switch transactions New standing instructions The following information must be specified for a new standing instruction in a fund for a unit holder ID e SI Type Transaction type e SI description e SI start date should not be past date e Slend date e Sl frequency e Sl escalation start date e Details specific to transaction types Details specific to transaction types are as follows Subscription e Transaction mode Units Amount e Transaction value Amount or Units e Transaction Currency for amount e Gross Net Net basis is applicable only for Units transaction mode Gross basis is applicable to both Amount and Units transaction modes e Certificate Required Applicable only for certificate option funds e Single Certificate Applicable only for certificate option funds in which the unit holder has requested for certificates e Escalation Type amount units percentage e Escalation Value e Escalation frequency e Escalation Date e Payment mode
49. not processed e Date passed is the Dividend Declare Date Dividend Amount Sum of Freeze Holdings Units EPU Dividend Amendments Outflow Criterion for dividend record consideration e Original dividend is processed and amendment is not processed Dividend Amount Sum of Freeze Holdings Units New EPU Dividend Amendments Inflow Criterion for dividend record consideration e Original dividend is processed and amendment is not processed Dividend Amount Sum of Freeze Holdings Units Old EPU does ORACLE Estimated Cash In Z C c F H K Estimated Cash Out B D E G ti4J This report will be generated for all funds in an AMC as maintained in the message maintenance The trigger could be based on an event or manual 3 28 2 Tags in the Message 3 28 2 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS 3 28 2 2 EstimatedFundCashForecastDetails Mandatory Optional TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowIndicator Mandatory FCIS will always the pass the value NO EstimatedCashInForecastDetails Original Repetitive SettlementDate Mandatory This is the date for whic
50. orders or clearing bank for redemption payments dividend payments or broker commission payments is designated within the system as an instruction type Therefore a single batch can contain records that pertain to a single instruction type for a given date Instruction Medium The instruction medium is the method using which the interfacing with the external entity is achieved Therefore the medium could be an automated clearing bureau an electronic funds transfer a SWIFT interface and so on Taking a typical example if the generated transfer instruction files are exported to an external clearing bank they may need to be exported through an electronic funds transfer In this case the instruction medium would be EFT or electronic funds transfer Settlements and Link Settlement Numbers Settlement of the records in a batch involves the debiting or crediting of the applicable bank accounts For each account that is impacted by the debit or credit entries due to the settlement the system generates a number known as the link settlement number This number is typically used for tracking the record in the different stages of the settlement If more than one of the records retrieved for a batch are to be settled by crediting or debiting the same unit holder account then the system internally deems the settlement to be a single one It also assesses the number of such settlements and displays the same For example in the case of redempti
51. record that you are looking for You can generate an outgoing message manually through the Manual Message Detail screen You can invoke this screen by typing UTDSWIFT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Manual Message screen TE ORACLE Manual Message Detail Manual Message Generation Message Code To Entity Type To Entity ID Effective Date Swift Message Code Message Reference Code From Date To Date CIF Number Go to Page Iu Message Reference Code x Message Name x To Entity Type To Entity ID 5 Swift Report Log Go to Page HREE Iu Original Reference Number From Entity Type FromEntity ID To Entity Type To Entity ID Select Report Details Swift Txn Log So to Page Iu Original Reference Number Message Description Date Generated From Entity Type From Entity ID To Entity Type lt Cancel 3 6 1 Fields in Manual Message Screen Message Code Mandatory Select the message code from the drop down list Message Reference Code Mandatory Enter a unique reference number for the message 3 18 ORACLE Effective Date Mandatory Enter the Effective Date for the message CIF Numbe
52. sample XML for a full list of the elements of a request and its response FinwareNewSubReq 2 xml lt gt FinwareNewSubRes xml The table below lists the various parameters to be maintained ParamCode ParamValue ParamText FINCONNECT URL FINCONNECT PROXY SERVER FINCONNECT NO PROXY DOMAINS FINCONNECT HTTP VERSION HTTP 1 0 5 54 ORACLE ParamCode ParamValue ParamText FINCONNECT CONTENT TYPE text xml FINCONNECT TIMEOUT FINCONNECT CONTENT REQ ParamCode ParamValue ParamText FINXML IDREQ NEWSUB RRFAA51 FINXML IDREQ SUBREV RRFAA51 ParamCode ParamValue ParamText FINXML EXTSYSTEM IS FINXML XSD PATH 5 11 3 Error Handling The flow chart illustrates the possible errors during a subscription The idrequest extsystem for the XML will be fetched from the following Parameter Setup Send Settlement Posting to FC Tm Validation Successful Finware has given Response Finware Debit actually done Finware Response Transaction Save in FCIS Successful success Log in FCIS 5 55 ORACLE The flow chart illustrates the possible errors during a subscription reversal Send Settlement Posting to FC Finware has given Response in time Validation Successful Finware Debit actually done Finware Resp
53. that will govern the import of NAV from FLEXCUBE Securities for any given fund e Edit the options that have been set up already for a fund e Delete the options Before you import the NAV for a fund you must specify these import options in this screen You can invoke Asset Management NAV Detail screen by typing UTDAMNAV in the field at the top right corner of the Application tool bar and click the adjoining arrow The screen is displayed below dio ORACLE Asset Management NAV Detail x Asset Management NAV Import Setup Fund ID 7 Floor variation Import Authorized NAV v Ceiling variation Import NAV No Input by DateTime Mod No Authorized by DateTime Open Ok Cancel Authorized 5 8 1 Fields in Asset Management Import NAV Setup Screen Fund ID Alphanumeric Mandatory Select the fund for which you are specifying the NAV import options in this record Import Authorized NAV Alphanumeric Mandatory Specify whether the NAV is to be imported as authorized information or not If you specify an import that that is unauthorized the same will have to be authorized normally as part of the authorization of fund prices in the system By default NAV is imported as authorized information Import NAV Alphanumeric Mandatory Specify whether the NAV must be imported or the NAV per unit Floor Variation 11 Characters Maximum including
54. the FC IS system by the interface process Atthe time when the system is installed the implementers set up a list of information fields in the CIF profile and the investment details profile which when changed in FCR will be reflected in all unit holder accounts under the CIF in FC IS when the change is propagated by the interface process is ORACLE 6 1 4 Closure of Customer CIF Account A Customer Profile cannot be closed in FCR However the CIF account for the profile can be closed If more than one unit holder account is associated with the Customer CIF account in the FC IS database each of these accounts must be closed individually or deleted if unauthorized in FC IS before the Customer CIF account can be closed in the FCR system A user in FCR can close a bank account provided the account is not being used by one or more unit holder accounts in FC IS If the bank account is in use a message is displayed indicating this If the closure is confirmed then the account is closed Details for CIF Account in FC IS The basic profile for the CIF customer When the interface propagates CIF account information from FCR into FC IS the FC IS system interprets and records the following basic profile details that were specified in FCR for the CIF account e First middle and last names for individual investors or company name for a corporate customer e The title to be used for the individual customer s name e The gender sex of
55. the Job Maintenance screen Activate the scheduler and it will call the Interface Processing module at the time specified and pass the Interface ID as a parameter to the module The Interface Processing module will then execute the defined interface and log any errors that will result You can access the interface processing screens from the following menu categories in the Fund Manager component The Interface Maintenance Detail screen from the Maintenance menu category The Interface Maintenance Summary Screen zl ORACLE 5 2 e The Online Execution of Interfaces screen from the Batch menu category Setting up and Maintaining Interfaces To set up an interface definition use the FCIS Interface Maintenance Detail screen You can invoke this screen by typing UTDIFAC in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the interface that you wish to maintain FCIS Interface Maintenance Detail x Interface ID Description Import Export Type Export Import Export Basis PROCEDURE Interface Code 28 SQL String Command Line v Number of Files Import Export Enabled Yes Process per File W Export Data
56. through the F7 F8 operation explained in the previous sections of this chapter Click on Copy Indicate the ID for the new Interface Maintenance You can however change the details of the new maintenance ORACLE 5 3 Online Execution of Interfaces To execute or process an interface maintenance definition use the Online Interface Execution screen You can invoke this screen by typing UTSONLIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Online Interface Execution interface ID Description LE Search Advanced Search Reset Records per 1 of 1 30 to Page Interface ID Auth Status Description Import Export Basis Interface Code ProciD Number Of Files Import Export All the interface definitions available for processing are displayed in the Available Interface Definitions box You can select any or all of these to be executed by highlighting them in the Available box and using the arrow buttons to move them to the Selected Interface Definitions box After you have made the desired selections click the Execute button You must indicate that you want to continue with the processing The selected interfaces are processed and the system displays a message to indicate successful completion of the processing If any errors result you can view the same using the View Interfa
57. transaction number that is assigned when the transaction is actually generated in the system Mark for Re Export Click Mark For Re Export buttonto mark the records for re export Reports Printed on Saving EFT Batch When you save an EFT batch in this screen the following reports are printed e Instruction Batch Report containing the following details gt Batch Number and Description gt Instruction Description gt Instruction Medium Net Amount gt Process Date and Effective Date Authorization Status and Batch Status Rejection Reason if any e The EFT Batch Details Report containing the following details gt Link Settlement Numbers if any gt transaction amounts at the settlement number level and a sum for the entire batch gt transfer bank account details at the link settlement number level EFT Batch Maintenance Summary Screen After you have extracted an EFT batch you must have another user authorize it to be effective in the system Before the EFT batch is authorized you can edit it as many times as necessary You can also delete it before it is authorized Invoke the EFT Setup Summary screen by typing UTSEFTSD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The EFT Setup Summary screen can be used for the following operations on EFT batches e Retrieval for viewing e Authorizing batches e
58. transfer credit card The information required for the payment mode are same as required for subscription transactions Redemption e Transaction mode Units Amount percentage e Transaction value Amount or Units PU ORACLE e Transaction Currency for amount e Gross Net Net basis is applicable only for Units transaction mode Gross basis is applicable to both Amount and Units transaction modes e Payment mode Transfer Check The information required for the payment mode are same as required by redemption transactions Switch e Transaction mode Units Amount percentage e Transaction value Amount or Units e Transaction Currency for Amount e From Fund e ToFund Information required for the payment mode are same as required for switch transactions Modification of existing standing instructions The following information in an existing standing instruction can be modified for a unit holder account for a fund e SI description e SI start date Should not be a past date e Slend date e Sl frequency e Transaction specific details Deletion of existing standing instructions Any existing unauthorized standing instructions for a unit holder account can be deleted through a request from Oracle FLEXCUBE INTERNET BANKING by specifying the required Standing Instructions Number Authorized standing instructions cannot be deleted through this function but the status can be changed from ACTIVE to CANCELLED using the C
59. using the EFT Batch Maintenance Summary screen e The user that has generated the batch record in the EFT Batch Maintenance Detail Screen cannot authorize the batch Typically a user belonging to the Supervisor user group can authorize the batch in the EFT Batch Maintenance Summary screen e After authorization you can generate and export the actual transfer instruction interface file that contains the batch records using the interface processing functions in the system Refer to the Interfaces chapter of this User Manual for a detailed discussion of the interface processing functions Re exporting Batch EFT File Once a batch has been authorized it cannot be generated again for the same instruction type for the same date If the transmitted EFT batch file is misplaced due to any reason then you can re export the same batch again The saved batch data is exported You can use the Mark Batch for Re Export screen to do this The Interface processing function may be used again to re transmit the EFT batch file EFT Batch Generation Screen You can use the EFT Setup Detail screen to generate a batch for an EFT file You can invoke this screen by typing UTDEFTSD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button EY ORACLE EFT Setup Detail EFT Information Batch Number Batch Description Instruction Type H instruction Type Description
60. using the Unlock operation from Action list To make changes to a record after authorization you must invoke the Unlock operation which is termed as Amend Operation e Invoke the Swift Message Setup Summary screen from the Browser e Select the status of the record that you wish to retrieve for amendment You can only amend records of transactions that are authorized e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to amend The Record screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the transaction e Amend the necessary information Click the Save button to save your changes 3 4 7 Authorizing Amended Records An amended record must be authorized for the amendment to be made effective in the system Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module 3 4 8 Copying Attributes 3 5 If you want to create a new record having the same attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the Swift M
61. 17 GSD267 AGC77 and so forth e Search by 961796 System will fetch all the records whose Message Reference Code contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth 3 4 2 Editing SWIFT Records You can modify the details of a record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Swift Message Setup Summary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list e Specify any or all of the details of the recording the corresponding fields on the screen to retrieve the record that is to be modified Click Search button All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed transactions The Swift Message Setup Detail screen is displayed e Select Unlock Operation from Action list to modify the record Modify the necessary information e Click Save to save your changes The Swift Message Setup Detail screen is closed and the changes made are reflected in the Swift Message Setup Summary screen 3 4 3 Viewing SWIFT Records vM ORACLE To view a record that you have p
62. 22 Search Based on AMG rase e t ehe Ee re ee eese e 7 20 741 23 Viewing Joint Unit Holders sii oe ettet e EU e 7 23 7 1 24 Viewing Dividend Details for Customers eese eene tentent een eerte 7 26 7 1 25 Viewing Dividend Details for Funds eese eene nennen enne nne 7 31 74 260 Viewing Corpordte Actions scs da e e i eere a ER EH ERREUR e E E e Ub uae 7 33 74 27 Viewing Online Balance e tete ett e E ER ERE EE RU FE ER e RR uae Od 7 35 7 1 28 Viewing Multiple Funds in Transaction Activity eese nenne 7 38 7 1 29 CIF for Enabling Internet 7 41 INTERFACES WITH EXTERNAL SYS TEMSS eere eee eee 8 1 Scb INTRODUCTION otis tet etnies Du co euet senec tet tesi ice ets dte ue dens 8 1 8 2 JECTS S AWD INTERFACE Eoen r icon Ee ces tastes 8 2 6 2 1 Maintaining Interface Specific Details esee eerte enne nennt entren 6 2 6 2 2 Interface AttFibUtes uacua eire e t a E EY REUS EET UR NR UR snssdergtianeerastes 6 2 6 2 3 Process rte eee bct de E Ee Rr EE eS o ie ed Eee ple eye betreten 6 2 8 2 4 File Format for FCIS AWD eene nennen eene etre 6 3 1 1 1 2 1 3 1 4 1 5 1 5 1 1 About This Manual Introduction Welcome to Oracle FLEXCUBE Investor Servicing
63. ANCEL option Inquiry on existing standing instructions Any existing standing instructions for a CIF account can be viewed through a request from Oracle FLEXCUBE INTERNET BANKING by specifying the required CIF account On receiving the standing instructions request whether a new addition modification or inquiry FCIS will process the instruction ere ORACLE If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful addition or change the transaction is saved as an unauthorized transaction and the transaction number is inserted with an appropriate message along with original details Defaulting of information While processing the standing instructions transaction FC IS also inserts the following as default information along with the details from Oracle FLEXCUBE INTERNET BANKING that is necessary for saving the standing instructions transaction request Values for the information heads that are not specified by the logged in user in Oracle FLEXCUBE INTERNET BANKING All default information that is necessary for validating transactions of the specified type If the transaction details are successfully validated it is saved as an unauthorized transaction pending allocation A valid transaction number is generated Standing instruction requests whether additions changes or inquiry
64. ASH FORECAST REPORT CANCELLATION eee 3 132 3 33 1 TGS In Message iss ee are RU UR ROG EY Sie ee rU eroe sd elena tes 3 132 3 34 CUSTODY STATEMENT OF HOLDINGS 3 133 A4 Tags in Message zoo Re c EH e ru e tee Er i v ves etu oue RR eig 3 133 3 35 STATEMENT OF INVESTMENT FUND TRANSACTIONS entente enne 3 136 SIDE MEBSE PEU ATI 3 137 VESTIMA uS JL LC P 4 1 4 1 INTRODUGTION IRE OEE A E PER eS EYE XY 4 1 4 2 MAINTENANCE FOR VESTIMA PROCESSING cccsssceseeecsseceseeecsseceseeecsaececeecsaeeeeneecsaeceeceecaeceseeecsaeeseaeers 4 3 4 2 1 Fields in Entity Media Maintenance Screen esses eene nne rennen nenne 4 5 4 3 MESSAGES PROCESSED IN VESTIMA csscccessscesececssecesncecsacceeeecsaecesneecsaecesceecsacessneecsaeesneecsaeeeeneecaeeseneess 4 4 4 3 1 Creation OF NOW Orders essi ec cet qe ett EP coy caves e aee 4 4 4 3 2 Cancellation of Existing Orders eese eene teen een rennen netter tenerent reete 4 5 4 3 3 Confirmation of Executed Orders eese eene nennen rennen eerte trennen nenne 4 5 4 3 4 Status Updates HE 4 6 4 3 5 Securities anier 4 6 INTERFACES WITH EXTERNAL SYSTEMS e seeseccosseseosoesessossesoessesoesoesessoesesoossesoessesossoesessosseso
65. As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS InvestmentAccountDetails Mandatory Identification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag ResultingCashOut The value will be 0 since the system does not support difference in sub amount and red amount in switch Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch From fund Identification Mandatory Outgoing FCIS sends out the Switch From fund ISIN UnitsNumber gt Unit Mandatory Outgoing The allocated units for the switch out leg of the transaction Amount Mandatory This is the net amount of the switch out transaction in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed ae ORACLE TradeDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed PriceDetails Mandatory This is the price at which order was executed Value gt Amount Mandat
66. BIT Debit Card e Incoming FCIS will set the Payment Mode to R for payments by card and Sub Payment Mode depending on the value of the tag Type The Sub Payment Mode will be set to R for CRDT and DR for DBIT e Outgoing The indicator will be either CRDT or DBIT based on Payment Mode and Sub Payment mode Payment Mode Sub Payment Mode Type R R CRDT R DR DBIT Number inde ORACLE Mandatory Incoming Outgoing This will be the 16 digit Card Number Cardlssuerldentification Optional This is the party that issues the card FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification Incoming If BICOrBEI is provided the system will get the relevant bank information if available If Proprietaryldentification is provided the UDF mapping for the field would be used to determine the bank This will be a set of other information fields applicable for entity type Bank Outgoing As FCIS is capable of supporting both the BICOrBEI and Proprietary Identification SWIFT UDF mapping will be used to determine the element that client would want to send ChequeDetails Mandatory Choice Number Mandatory Incoming Outgoing This will be the Transaction Cheque Number Draweeldentification Optional This is to identify the bank details FCIS supports BIC and Proprietary Identification Incoming If BIC is provided system the will get the relevan
67. C IS profile for the CIF customer When a mutual fund profile or FC IS profile is created for a CIF customer in FCR the following details must be captured as mandatory information e Account Statement Currency The preferred currency for account statements desired by the customer es ORACLE Identification Type The type of identification documents furnished by the customer Identification Number The number of any such identification documents Identification Issue Date The date of issue of any such identification documents Identification Expiry Date The date of expiry of any such identification documents Introducer Broker Code The code in the FC IS system of designated intermediary that is to be deemed as the introducer broker for the customer Investor Type Whether the customer is an individual or a corporate or bank customer Nationality The nationality of the customer Preferred Currency The preferred currency in which the customer prefers to transact Preferred Language The default language that the customer prefers to use for the purpose of communication Redemption Payment Default The default mode by which the customer prefers to redeem any holdings in any of the funds of the AMC Resident Status Whether the customer is a resident or foreign customer Tax Circle The tax circle if any corresponding to the customer Tax deducted at source Whether tax is deemed as deducted at source
68. Character e Field separator is a comma 5 15 2 Message Format 5 16 Refer to the chapter Appendix B Upload file formats B of this User Manual for details on Message format Product Fund Asset Code Mapping Interface For every Product Fund ID combination the system creates an Asset Code For every valid Product and Fund ID available as part of Product Portfolio mapping combination the system will generate an Asset Code The system picks up the Asset Code for reporting purpose for the Global Order Placement Interface Report The Global Placement Interface has been explained in detail in the section Global Order Placement Interface of this chapter 5 16 1 Executing Product Fund Asset Code Mapping Interface 5 17 The Product Fund Asset Code Upload supports the Product Fund Asset Code Mapping and is a file based upload You can execute the Product Fund Asset Code Mapping through the Online Execution of Interfaces screen Refer the section Online Execution of Interfaces in this chapter for details on executing the interface maintenance definitions Global Order Placement Interface The Global Order Placement is an export interface This interface will extract policy transaction information like Investment amount minus Initial Admin and Initial Broker fees Disinvestment Amount etc from FCIS and creates a text file which will be handed over to the different AMC This interface is manually triggered
69. Code e Job Description e Job Group e Job Type e Trigger Type DES ORACLE Scheduler Type Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen 5 5 2 2 Editing Record in Job Maintenance Summary Screen You can modify the details of a record in Job Maintenance record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Unlock Operation from the Action list to modify the record Modify the necessary information Click Save to save your changes The Job Maintenance Detail screen is closed and the changes made are reflected in the Job Maintenance Summary screen 5 5 2 3 Viewing Job Maintenance Record To view a rec
70. D217 GSD172 AGC17 etc pus ORACLE FCIS Interface Maintenance Summary Authorized Open Mi Interface ID 8 Import Export Type v Interface Code Q Search Advanced Search Records per page Authorized Open Interface ID Import Export Type Interface Code Proc ID Number of Files Import Export Exit 5 2 7 2 Editing Interface Maintenance Record You can modify the details of Interface Maintenance record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the Interface Maintenance Summary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorized field You can only modify records that are unauthorized Accordingly choose the unauthorized option e Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified e Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The Interface Maintenance Detail screen is displayed e Select Unlock Operation from the Action list to modify the record Modify the necessary information e Click Save to save your changes The Interface Maintenance D
71. DALI ErrorHandlingzi ua OO RO bre RR it E tetera EORR 5 55 2 12 EPU UPEOAD etos cete ber pie UR Pp REEL Petite Rr IIR RR see pee SUE HEU Rer 5 56 DAZ LT Interface Workflow e dtt aH rte ORO E SUE ROT pee esse ER ERE SORT E 5 56 APA MEE Vi EE 5 56 2 12 3 Message Format vis oou p ttd a ORI OD ER E ERE e rite EORR 5 57 5 13 TAX AGGREGATION INTERFACE eeeeeeeeeeneneenen nennen ENE SpE enint innere enitn enne ene nitens nne 5 57 3 13 Interface Workflow ie dta Oa E eU OO qu EE REED EE UE E oust eee 5 57 ANE MEN V RD E 5 57 DABS Message et VO IRR DUNS ERU RT ERSTE E 5 58 5 14 AGENT REFERENCE 5 e eon ri e a Rote e dn ru Her 5 58 DIA IBIFOdUctiQni sien Bu e ehem eee n teh tH n deb pe det eee 5 58 514 2 Interface Attributes neun ee eed te eae Wie eh eels rp teet 5 58 24 3 Message Formats use oh eee tes eI ee prie ee een tre 5 58 5 15 s ORACLE FINANCIAL INTERFACE terrere ti eiei ai ere tn 5 58 JISE Interface Attribules s eeu net eee nte t Hp tee te etim eee 5 58 3 15 2 Message Format 5st Un etn Ie Ee HERE du ERES 5 59 5 16 PRODUCT FUND ASSET CODE MAPPING eee e een e een en eene 5 59 5 16 1 Executing Product Fund Asset Code Mapping Interface eene 5 59 5 17 GLOBAL ORDER PLACEMENT INTERFACE eerie eene then teeth trains sata taste
72. DF Summary screen from the Browser e Select the status of the record that you want to retrieve for modification in the Authorization Status field You can only modify records of records that are unauthorized Accordingly choose the Unauthorized option from the drop down list e Specify any or all of the details of the record in the corresponding fields on the screen to retrieve the record that is to be modified All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The SWIFT ELEMENT UDF Detail screen is displayed e Select Unlock Operation from Action list to modify the record Modify the necessary information e Click Save to save your changes The SWIFT ELEMENT UDF Detail screen is closed and the changes made are reflected in the SWIFT ELEMENT UDF Summary screen 3 5 3 Viewing Record ate ORACLE 3 5 4 3 5 5 To view a record that you have previously entered you must retrieve the same in the SWIFT ELEMENT UDF Summary screen as follows e Invoke the SWIFT ELEMENT UDF Summary Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in
73. Direct Debit Applicable Input by Authorized by Select One Unitholder ID Fund Base Currency Unitholder ID Fund Base Currency DateTime DateTime Template Description Trigger Event GL Currency Component Description GL Setup For Payment Account Number Transaction Currency GL Setup For Contra Account Number Contra Transaction Currency Mod No Open Authorized Cancel Template Id Mandatory 5 9 2 Fields in General Ledger Template screen 5 9 2 1 Details Section Enter a unique id for the template that you are setting up Template Description Mandatory Enter a description for the template Business Event Mandatory Select the type of transaction process for which the template is being defined Trigger Event Mandatory Select the event on which GL Extraction will be initiated The Trigger Event could be Unitization Authorization or Settlement ORACLE Theoretical Entries Mandatory Select one of the options from the drop down to indicate if there are entries that will be used for reporting only e Yes e No GL Currency Mandatory Select the GL Currency from the option list provided Product Level Apply Indicate if the template is applicable at the p
74. FCIS will pass NAVL OTHR as the structured codes While passing the Declared NAV for fund FCIS will use the code as NAVL For other details such as transaction type level or component level price details OTHR will be used e Additionallnformation Optional If the structured code is OTHR this information is mandatory FCIS will pass the respective Transaction Type Code and Component ID as additional information ValuelninvestmentCurrency Mandatory Repetitive This tag will be used to pass the Declared NAV Component Value for Component ID and Transaction Base Price for Transaction Type ForExecutionIndicator Mandatory This indicates whether the price information can be used for the execution of a transaction This indicator would be Yes for fund price details and No for component details CumbDividendlndicator Mandatory The value will always be NO Price Report Correction The PriceReportCorrection message is sent by a report provider to a report user The PriceReportCorrection message is used to correct information in a PriceReport message that was previously sent by the fund accountant If an entire PriceReport message must be corrected say for example for an incorrect trade date it is recommended that a PriceReportCancellation message be used to cancel the entire PriceReport message and a new PriceReport message be sent FCIS will check for if NAV correction is done for any of the funds on a part
75. FLEXCUBE Internet Banking Introduction Oracle FLEXCUBE Investor Servicing interfaces with the Oracle FLEXCUBE INTERNET BANKING application whenever both systems are installed at a FLEXCUBE installation location Oracle FLEXCUBE INTERNET BANKING is a web enabled application through which customers and investors of the bank or AMC may login at a remote web location and send requests for data or initiate transactions Through this interface an investor that has a unit holder account mapped to a CIF account in the FC IS system can perform the following operations by logging in to the Oracle FLEXCUBE INTERNET BANKING system at a remote web location The information interchange between the two systems is formatted in XML e Download information about the unit holder account fund rules processing rules for transactions bank account details and daily NAV e Initiate new transactions for the unit holder account The investor can therefore initiate buy transactions IPO and subscription sell transactions redemption as well as switch exchange transactions e Make changes to the unit holder account profile through an edit operation This is possible only if the account is unauthorized e Changes to an authorized unit holder account record are only possible through an amendment and the amended record is saved as an unauthorized record which must be authorized subsequently e Specify any bank details for the unit holder account The
76. FOA CPFSA ASPFOA ASPFSA or SRS the system will provide the structured account type information under this element Type gt Structured Mandatory The following are the SWIFT supported codes for structured types along with the FCIS mapping Structured codes FCIS Map CASH No mapping CPFO CPFOA CPFS CPFSA OTHR ASPFOA ASPFSA SRSA SRS 3 14 Redemption Bulk Order Confirmation This message is sent by an executing party to a intermediary party or to another intermediary party The RedemptionBulkOrderConfirmation message is sent after the price has been determined to confirm the execution of all individual orders There is usually one bulk confirmation message for one bulk order message For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For outgoing messages the system will be able to generate the confirmation message only after allocation FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually s ORACLE 3 14 1 Tags in Message 3 14 1 1 Messageldentification Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 14 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference
77. First No v Auto Number Split Column Segmentation No v File Specification Required Yes wv Auto Import Keystring No Subroutine Name 2 File Specification Parameters Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized In this screen you can e Define new interfaces e Enable or disable an interface definition Interface definitions for exporting the following information will be factory shipped e Holiday e CIF e Currency e Broker e Unit Holder e Fund ve ORACLE e Transactions e Allocation e Product e Policy e Policy Transactions e Dividend Corporate Actions e Periodic Load e System parameters e Entity Details 5 2 1 Fields in Interface Maintenance Screen Interface ID Display Only Every interface that you define is assigned a unique identification by the system known as the Interface ID This ID is generated by the system when you save a new definition after you have specified all the information that is mandatory for the interface in this screen When you retrieve an existing interface definition using the Find Screen the ID of the retrieved interface is displayed in this field Description 255 Characters Maximum Alphanumeric Mandatory Describe the interface in a few words in this field Import Export Type Alphanumeric Mandatory You can define an interface to either import or export data Choose the desired type from the drop down list Num
78. Information Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Choice for Units NetAmount Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field NetAmt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmount while processing the message If the same is available the transaction will be considered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field NetAmt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmount as well as the tag NetAmt as this is mandatory GrossAmount Optional Incoming If a value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute ForeignExchangeDetails Optional This is information related to currency exchange or conversion
79. Interface Oracle FLEXCUBE Investor Servicing Release 12 0 April 2012 Oracle Part Number E51528 01 ORACLE FINANCIAL SERVICES Interface 1 Table of Contents ABOUT THIS MANUAL 1 1 1 1 INTRODUCTION c eer Ho RO REED A ET 1 1 1 2 RBEATED DOCUMENTS erobert REPRE E R 1 1 L3 AUDIENCE ep orn ERN DERE HEP ORE RU RITE 1 1 L4 ORGANIZATION e eR D ORE PT ERE M DINER NER EH 1 1 1 5 CONVENTIONS USED IN THIS MANUAL 1 1 1 5 1 General C nventionS PH ER 1 1 1 5 2 Keyboard Conventions ie De re t Uere e Re 1 2 1 0 3GEOSSARY ORTCONS zione hak to EI ded eren M ES e ien teta 1 2 1 7 ABBREVIATIONS AND ACRONYMS 1 3 1 5 SGELIINGHEEB oon Pene eiTe breues rm 1 4 CREATING ELECTRONIC FUND TRANSFER 2 1 2 1 INTRODUCTION pe ESNE 2 1 2 2 CREATING TRANSFER INSTRUCTION FILES rrt de e ere ra reu ederet euren en 2 1 2 37 HEW BASIC TERMS coercere ER Hr ne hi E Hr ter tope tes 2 2 2 3 1 Generating te e nS iet ene oerte ed 2 3 2 3 2 Re exporting Batch EFT File e het tree sashes ret eie Beles eine tern teet eet 2 3 2 4 EFT BATCH GENERATION SCREEN o
80. Job Job Description Alphanumeric Optional Specify a brief description of what the job is supposed to do Job Group Alphanumeric Optional Specify the job group name to represent the same group of jobs for identification Job Type Alphanumeric Optional Select the type of job from the drop down list The following options are available for selection e ORACLE e PL SQL e JAVA Max Number Instances Numeric Mandatory Specify the maximum number of instances that needs to be queued up Example If a job runs for more than the duration defined the next instance of the same job will be ready for processing This parameter defines the job s behavior in such cases If you maintain the job as STATEFUL then the number of such missed instances will be queued up so that it would start executing once this long running job ends This field specifies the number of such job instances that needs to be queued up If you maintain the job as STATELESS it indicates the number of threads that can be executed in parallel If you maintain the max number instances as 0 no instances are queued or parallel processed till the current running instance is completed Scheduler Alphanumeric Optional Specify the name of the scheduler The system defaults the name to SchedulerFactory However you can modify this name This signifies the scheduler name which is configured as part of infra Trigger Type Alphanumeric Opt
81. LEXCUBE INTERNET BANKING The processing is done as follows Validations for transaction processing Payment mode details for all payment modes are validated The designated brokers for the transaction will be picked up by default from the Intermediary Details specified for the selected unit holder account FCIS validates the online units balance for redemption and switch transactions After the initial purchase transactions will be blocked until the folio number has been received for the unit holder at the AMC This number comes to the FC IS data store from RTA The FLEXCUBE system date is reckoned as the transaction date for net basis transactions If the date is a holiday in the fund or system calendar the transaction is processed as follows For pre priced funds FC IS displays a warning that the transaction will be processed the next working day and the price will also be deemed as the prevalent price on the next working day If this is not confirmed from the FLEXCUBE system the transaction is not saved If confirmed the transaction is saved For allocating transactions in pre priced funds the prevalent price during the Beginning of Day process on the day of the transaction is considered and the accruals until such time are included For post priced funds the transaction is accepted but the transaction date will be saved as the immediate next working day in the FC IS system The transaction is authorized and allocated on t
82. LY_TXN FCISTXN TXNNUMBER Reversed Transaction Number TXNREFNUMBER Running Serial Number SETTLEMENTDATE RRRRMMDD pe ORACLE ERRCODE The FCIS Error Code ERRDESC Error Description Refer to the sample XML for a full list of the elements of a request and its response lt gt Reverse Transaction Res xml 7 1 24 Viewing Dividend Details for Customers The following dividend details are displayed for a customer e Date of Dividend e Units as on dividend date e Dividend per unit e Amount of Dividend 7 1 24 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Unitholders QUERY UH FCISUH DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETDIV REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional AMCID If AMC ID is given then only records of funds in that AMC will be shown Refer to the sample XML for a full list of the elements of a request and its response ORACLE 2 GETUHDIV Req x m 7 1 24 2 Response Element The table below describes the important elements of the response XML Level Response Element DTD Field Value Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ER
83. MessageRejection semt 001 001 03 SctiesMsgRjctn ORACLE 4 2 Maintenance for Vestima Processing You are required to link entities eligible to send and receive messages to each other through Vestima You can do this in the Entity Media Maintenance screen To invoke this screen type UTDVEST in the field at the top right corner of the Application tool bar and click the adjoining arrow button Entity Media Maintenance From Entity ID E From Entity Description From Entity Type To Entity ID E To Entity Description To Entity Type IMA Enabled Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized You can perform the following operations in this screen e Create a new record e Modify an existing record e Delete an unauthorized record e Authorize an unauthorized record 4 2 1 Fields in Entity Media Maintenance Screen You can enter the following details in this screen From Entity Type Alphanumeric Mandatory Specify the entity type for the entity that will send fund orders for execution You can also select the entity type from the adjoining option list The list contains all the valid entity types maintained in the system ae ORACLE 4 3 4 3 1 From Entity Alphanumeric Mandatory Specify the entity ID You can also select the required ID from the adjoining option list Th
84. No QUERYTYPE REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional FUNDID Fund ID Optional CORPORATEACTIONTYPE Corp Action Type Optional AMCID ID of the selected AMC Optional JOINTORNOMINEE If N then Nominee only if J then Joint UH If NULL then both Transactions QUERY TXN FCISTXN DTD SCODE Identifies the external System that is sending the request For example HDFC XREF Running Serial No QUERYTYPE REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional FUNDID Fund ID Optional 7 21 ORACLE NUMBEROFTXNS Number of Transactions to be displayed STARTDATE Start Date of Search Optional ENDDATE End Date of Search Optional TXNNUMBER Transaction Number to Search Optional TXNTYPE Could be any of the following values 02 Buy 03 Sell 04 Switch 05 Transfer Optional AMCID ID of the selected AMC Optional Unitholders QUERY_FUND FCISFUND DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial No QUERYTYPE The Request Type RECORDID Fund ID if Selected AMCID ID of the selected AMC FROMDATE From Date of Filter 7 22 ORACLE TODATE To Date of Filter 7 1 23 Viewing Joint Unit Holders If more than one unit holder is as
85. OUNT Total Amount Transferred TRANSFEREXCHANGERATE Exchange Rate Used for Transfer CHEQUEEXCHANGERATE Exchange Rate Used for Cheque CORPORATEACTIONTYPE Type of Dividend C Cash S Stock SD PARENTRATIO Stock Dividend Parent Ratio SD RESULTANTRATIO Stock Dividend Resultant ratio REINVESTMENTUNITS Units Reinvested Unitholders HANDOFF_DIV gt CID CIF REINVESTMENT Number ds ORACLE Level Request DTD Field Value Element UNITHOLDERID Unit holder ID FUNDID Id of the fund PAYMENTNUMBER Payment Number for this dividend TOUNITHOLDERID Reinvestment Unit holder ID TOFUNDID Reinvestment Fund ID TOFUNDCURRENCY Reinvestment Fund ID Currency REINVESTMENTEXCHANGERATE Exchange rate used REINV AMT TO FUND Reinvested Amount in the Reinvestment Fund Level Request Element DTD Field Value UNITSALLOTED Units Allotted for Reinvestment Transaction UNITPRICE Unit Price for Reinvestment Allocation REINV AMT Amount of Reinvestment CORPORATEACTIONTYPE Type of Dividend could be either C Cash or S Stock Unitholders HANDOFF DIV CID CIF Number TAXCOMPONENT 7 30 ORACLE UNITHOLDERID Unit holder ID FUNDID Id of the fund DIVIDENDNUMBER Dividend Number TAXCOMPONENTTEXT Description TAXCURRENCY Currency of Tax TAXDEDUCTEDINFUNDCCY Tax in Fund Based Currency
86. Payment reference e Payment remarks The following information is optional for third party check payments e Third party address e Zip code e US State For payments through account transfer the following information must be specified as mandatory e The account number for the transfer payment This could be any of the accounts maintained in the system for the unit holder or it could be any other accounts e Bank name e Branch name e Account type e Account number e Account currency e Account holder name this information is required only if an account other than any that are maintained in the system is to be used e Delivery options as follows gt If physical delivery the delivery type physical address and certificate denominations lot sizes gt If delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable e For limit order transactions the limit order options The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO and subscription transactions except that all the validations are made as for a redemption transaction 7 1 7 Switch Transactions e ORACLE Transaction information The unit holder or CIF account holder can initiate a switch transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under th
87. RANSFERBRAN If paid by Transfer CHCODE Branch Code TRANSFERACCO If paid by Transfer UNTTYPE Account Type TRANSFERACCO If paid by Transfer UNTNUMBER Account Number TRANSFERACCO If paid by Transfer UNTCURRENCY Account Currency PAYMENTTYPE S Self T Third Party THIRDPARTYPAY Third Party Reference MENTREFERENC number E 7 40 ORACLE 7 1 29 THIRDPARTYADD RESS1 Third Party Address Line 1 THIRDPARTYADD RESS2 Third Party Address Line 2 THIRDPARTYADD RESS3 Third Party Address Line 3 THIRDPARTYSTA TE Third Party State THIRDPARTYZIPC ODE Third party Zipcode THIRDPARTYUSS TATE Third Party US state THIRDPARTYCOU NTRY Third party Country THIRDPARTYBICC ODE Third Party BIC Code for Swift TRANSFERREFER Reference Number ENCENUMBER TRANSFERACCO Account Holder Name UNTHOLDERNAM E REFTYPE Reftype HANDOFF TXN FCISTXN DTD CID Cif Number OPENINGBAL FUNDID Fund OPENINGBALANC E Opening Balance in this Fund for the criteria in Request Refer to the sample XML for a full list of the elements of a request and its response 2 Txn Activity Res xm CIF Handoff for Enablin Internet Bankin 7 41 ORACLE Customer numbers CIF are sent across as an offline Handoff so that FLEXCUBE shows Mutual Fund Menu only to those Customers who have an Account in FCIS 7 1 29 1 Request Element The
88. RDESC Error Description Unitholders HANDOFF_DIV gt DIVIDEND FCISUH DTD CID CIF Number UNITHOLDERID Unit holder ID UNITHOLDERNAME Customer Name FUNDID ID of the fund ISINCODE ISIN DIVIDENDNUMBER Dividend Number PAYMENTNUMBER Payment Number for this dividend FROMDATE The Start Period of this distribution TODATE The End Period of this distribution DIVIDENDDECLAREDATE The date of Dividend Declaration 7 27 ORACLE DIVIDENDPAYMENTDATE The date Dividend is Processed DIVIDENDVALUEDATE Value Date COUPONNUMBER Coupon number if any EPU Earning Per Unit UNITBALANCE Balance on which Dividend is given DIV CCY Dividend Currency DIV AMT Total Dividend Amount TAXDEDUCTED Total Tax Deducted NETPAID Net paid after Tax REINV AMT Total Amount Reinvested in Fund MOP Mode of Payment if Payout T Transfer Q Cheque BANKNAME Bank Name of Transfer BRANCHNAME Branch Name of Transfer BRANCHBICCODE BIC Code for SWIFT ACCOUNTNUMBER Account Number for ORACLE Transfer ACCOUNTCURRENCY Currency of Account CHEQUENUMBER Cheque number if mode of payment is cheque CHEQUEAMOUNT Cheque Amount CHEQUECURRENCY Cheque Currency TRANSFERAM
89. Rate is provided and the load concerned is percent load then this indicates the overridden value Recipientidentification Optional If a value is provided in this field FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification If BIC code the system will find whether the entity is an agent AMC broker or distributor System will select a load with the corresponding To Entity Type Waiving Details Optional This tag represents the override percentage that the system will apply Waive details have higher precedence over Rate hence Rate will be ignored if Waiving details are provided ale ORACLE InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount ForeignExchangeRate Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the
90. S to their corresponding charge codes in the external system ius ORACLE e Edit existing mappings e Delete existing mappings When you map each load component code GL Account Code to its corresponding charge code that is defined for the load in the external system the load information in the exported transaction data is recognized and assimilated in the external system Invoke the Accounting System GL Setup Detail screen by typing UTDGLACM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Accounting System GL Setup Detail x GL Account Code a External Code Input by DateTime Mod No Authorized by DateTime Open Authorized 5 10 1 Fields in Accounting System General Ledger Setup Screen When you open this screen all the codes that have already been mapped are displayed GL Account Code Alphanumeric Mandatory Select the account code in the FCIS system that must be mapped to its corresponding charge code in the external system This is the GL Account Code that has been assigned to this load component in the Fund Load Setup record External Code Alphanumeric Mandatory Specify the account code in the external system that corresponds to the selected FCIS system code ORACLE 5 11 FCIS Finware Interface This interface supports the online settlement for the following Subscriptions captured throug
91. SWIFT Bulk Order Request 3 3 dM 4 4 4 AR BEREEA OPER O44 4SRRRRR Message Sender FCIS Maintenance for Processing SWIFT Messages You will need to carry certain maintenances for the generation of SWIFT messages in the Swift Message Setup Maintenance Detail screen This screen can be used to define parameters applicable for individual messages such as the trigger events entities involved in the communication etc You can invoke the Swift Message Setup Maintenance Detail screen by typing UTDSWMSG in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ds ORACLE The following screen is invoked Swift Message Setup Maintenance Detail Message Reference Code Message Code SwiftDetails Medium IN Generate Auth Transactions Trigger Manual Confirm Outgoing Messages Global Order Event Code To Entity Type To Entity ID Reference Type Applicable Ref types Reference Type Description Account Type Applicable Account Types Account Type Description Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized Depending on the Message and Message Code that you select certain fields will be displayed Select New from the Actions menu in the Ap
92. Select along a message record to indicate the message should be manually generated The following swift report details will be displayed e Original Reference number e From Entity Type e From Entity ID e To Entity Type e To Entity ID Report Details Button Click on this button to invoke the Report Details screen 3 20 ORACLE Swift Report Detail Log Fund 0 Effective Date Declared NAV Lot In the Report Details screen you can view the following details screen e Fund ID e Effective Date e Declared NAV Lot Swift Txn Log Swift Txn Log Original Reference Number x Message Description Date Generated From Entity Type From Entity ID To Entity Type Select Check the option Select along a message record to indicate the message should be manually generated In the Swift Txn Log grid you can view the following details e Original Reference number e Message Description dis ORACLE e Date Generated e From Entity Type e From Entity ID e Entity Type e To Entity ID e All Txns Ind Txns Button Click on the Ind Txns button to invoke the Individual Orders screen individual Orders Swift Txn Detail Log Individual Order Reference x Transaction Number Select LIRE Select Check the option Select along a message record to indicate the message should be manually generated In the individual Orders screen you c
93. Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN FinanciallnstrumentQuantityChoice Mandatory This is to identify the quantity represented in amount units to switch into a fund Outgoing FCIS will pass the value 0 under the relevant redemption leg tag CommissionDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory This indicates the load corresponding to the commission that is being overridden The Load in the System can be identified using the Load Id or the Recipient information Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is provided and the load concerned is percent load then this indicates the overridden value Waiving Details Optional This tag represents the override percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored 229 ORACLE WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount Physica
94. Type Mandatory Outgoing FCIS will support the code OTHR only Pu ORACLE 3 15 Value gt Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Redemption Bulk Order Cancellation Instruction This message is sent by an intermediary party to an executing party or to another intermediary party The RedemptionBulkOrderCancellationInstruction message is used to cancel the entire previously sent order message and all of the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of the same family of message i e switch redemption or subscription and bulk or multiple as the original order to be cancelled For all incoming bulk order cancellations FCIS will be able to process the reversals based on either the PreviousReferen
95. YPE Could be either R Regular or l Interim FROMDATE Dividend Period Start TODATE Dividend Period End FREEZEHOLDINGDATE Date of Freeze Holding of Units DIVIDENDDECLAREDATE Date of Dividend EPU Earnings Per 7 32 ORACLE Unit CORPORATEACTIONTYPE Type of Dividend Distribution Could be either C Cash or S Stock SD PARENTRATIO Stock Dividend Parent ratio SD RESULTANTRATIO Stock Dividend Resultant ratio STATUS Could be either P Processed or U Unprocessed Refer to the sample XML for a full list of the elements of a request and its response lt gt GETFUNDDIV Res x m 7 1 26 Viewing Corporate Actions Oracle FLEXCUBE INTERNET BANKING allows you to view investment options This gives you information about the fund distribution mode In case a fund does not have this data it indicates if a plan is Growth Plan or Dividend Plan The Default Distribution Mode will be picked up In case itis RI then Investment Option is Reinvestment else it is P for Payout 7 1 26 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Fund QUERY FUND FCISFUND SCODE Identifies the external system that is sending the request For example HDFC d ORACLE XREF Running Serial Number QUERYTYPE GETFUNDIDR RECORDID
96. account SubAccountDetails Optional Identification gt Simpleldentification gt Proprietary gt Identification Mandatory This would map to the Identification Number of the Unit holder Fungiblelndicator Mandatory This tag would be set to Yes ActivityIndicator Mandatory This indicator would be set to Yes TransactionOnSubAccount Optional Identification This tag provides details to identify a fund Identification 3 138 ORACLE Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Outgoing FCIS sends out the fund ISIN based on the UDF set up and not ISIN always TransactionDetails Mandatory TransactionType Mandatory This tag indicates the type of transaction DealReference Optional This is a unique number assigned to the transaction by FCIS SettledTransactionIndicator Mandatory This indicates whether the transaction is settled This indicator would be Yes if the transaction is settled Else it would be No RegisteredTransactionIndicator Mandatory This tag would be set to No UnitsQuantity Unit Mandatory The allocated units for the transaction CreditDebit Mandatory This tag indicates the direction of the transaction This would be CRDT for inflow transactions and DBIT for outflow transactions 9 198 ORACLE Reversal Optional This tag indicates reversal of
97. actions with Payment Mode as Transfer s ORACLE 5 11 1 GL Setup for FCIS Finware Interface You will have to setup a GL for the entries to be passed to FINWARE during authorization of subscription transactions in FCIS The following section lists the steps involved in setting up a GL for the FCIS Finware interface e Setupa GL Template for the business event Subscription through the General Ledger Template Setup screen e Enter Debit Credit leg details of the GL through the Debit Credit Details screen The debit account should be the Customer CASA Account and the credit leg should be the AMC CASA Account e Specify that the trigger event should be Authorization for new and reversal transactions for all events e Save the details entered in the General Ledger Template Setup screen and authorize the same e Create a GL Setup from the template created You will also have to setup a GL for the entries to be passed to FINWARE during authorization of subscription cancellations in FCIS To do this follow the procedure as explained above The only difference here will be that the debit account will be the AMC CASA Account and the credit account will be the Customer CASA Account Each of the screens mentioned above has been explained in the section General Ledger Setup in this chapter Refer to the same for further information in ORACLE 5 11 2 Data Flow Diagram The following diagram illustrates the flow of informati
98. ags in Message 3 31 1 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS 3 31 1 2 EstimatedFundCashForecastDetails Mandatory Repetitive TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund ORACLE Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowIndicator Mandatory FCIS will always the pass the value NO SortingCriteriaDetails Mandatory Repetitive SortingCriterionType gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code ForecastBreakdownDetails Mandatory Repetitive ReportParameter gt UserDefined gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code EstimatedCashInForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash In breakup details for the various components EstimatedCashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated 3 129 ORACLE SubTotalAmount Optional This will be the Estimated Cash Out breakup for various components 3 32 Fund Detailed Confirmed C
99. agsin Messaer RH EE 3 117 3 27 PRICEREPORT CANCELLATION eerte tirer Eee tee ERR ee ER ER Toe eee Minna 3 119 3 241 T gsdn Message siio e giga poe ce cocto EP EU necp Rep co RES CEP 3 119 3 28 FUND ESTIMATED CASH FORECAST REPORT sees enne nnn enne 3 120 326 1 Contents Of Report aoi i e d e oce EF EORR bre E EE EU ER oot Pe iy etude in 3 120 3 28 22 Tags an tlie Messages orem ote a aAA R E A Ekaia 3 122 3 29 FUND CONFIRMED CASH FORECAST REPORT cccssccesreeesseceseeesssececeeesaeceseeeenseceeeeeenaeceeneeeneecetreeenaeeees 3 123 3 29 Contents Of Report ois 3 123 3 202 TASS dn Messe iu oe o p Ye bre rte REGEL Dope Ee ARE thers 3 125 3 30 FUND CONFIRMED CASH FORECAST REPORT CANCELLATION 3 127 3 30 Tags in Message siio cero t eos eoo e a E E ee ERE EE ES 3 127 3 31 FUND DETAILED ESTIMATED CASH FORECAST REPORT sscccesseceereeesseceseeeeneeceeeeenaecenerenaeceeneeenaecees 3 127 3 34 D Tags in Message ee cu m EO e aec b a c ER 3 128 3 32 FUND DETAILED CONFIRMED CASH FORECAST REPORT 3 130 3 321 T gs in Message i eon etae er E UE RI waa sue UR ee pods I vcre vestre 3 130 3 33 FUND DETAILED CONFIRMED C
100. ally deleted from the system database 5 5 2 5 Authorizing Job Maintenance Record An unauthorized Job Maintenance record must be authorized in the system for it to be processed To authorize a record Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field You can only authorize unauthorized records Accordingly choose the unauthorized option Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All unauthorized records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 5 5 2 6 Amending Job Maintenance Record After a Job Maintenance record is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the Job Maintenance Summary screen from the Browser is ORACLE e Select the status of the record that you want to retr
101. an order as assigned by the instructing party e Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number e Outgoing This will be the Transaction Number generated by FCIS Cash Settlement Date Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date InvestmentAccountDetails Mandatory Account Identification gt Proprietary gt Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to BeneficiaryDetails tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Other Identification gt Identification we ORACLE Mandatory Incoming This would map to the Identification Number of the Unit holder Other Identification gt Identification Type ExtendedldentificationType Structured Mandatory This is a choice between Identification Type and Extended Identification Type Incoming FCIS uses data mapping to find the Unit holder account type Only PASS passport and NRIN the National Registration Number which is NRIC for Singapore are supported as Identification Types us ORACLE Other Identification gt Identification Type gt Additional
102. an view the following details e Individual Order Reference e Transaction Number 3 6 2 Validation of SWIFT Messages one ORACLE The XML format of SWIFT Messages can be validated To maintain validation parameters for the XML format use the Parameter Setup Detail screen You can invoke this screen by typing UTDPARAM in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button When you open the screen choose the language for which you want to view the maintained codes in the Language field Then select the Parameter Code SWIFTFORMAT and click add icon to add the parameters The following screen will be displayed Parameter Setup Detail Parameter Maintenance Param Code Param Description Maintainable Parameters Param Value Param Language Param Text x Sort Order x EJ el Cancel In this screen e Enter the date format for the Param Value SWIFTDATEFORMAT as YYYY MM DD e Enter the value 1 along the Param Value VALIDATE if validation should happen Enter the value 0 is validation should not happen e f you have entered the value 1 along VALIDATE specify the path of the XSD along the Param Value XSDREPOSITORY For further information on the System Parameter Codes Maintenance screen refer to the chapter Maintaining Syste
103. ansactions Sell Transactions eee esses eene eene nnne enne nennen 7 7 7 1 7 Switch Transactions erect o Ri IR bE eee E et LEE Pe PR RES HERREN Ego 7 8 7 1 8 Transfer e rr re E He EE E EF RO 7 9 7 1 9 Conversion Transactions seisine epeei REED RC Ee Sasoia Pc Ped Rn eigen 7 9 7 1 10 JAuto Authorizati n este ertet ERE P ee e Ee e REPE e hb tre ESETE ES sass 7 11 TI Order StAtUs orenean kaaa re OR PR Pp e er p Pto estere 7 11 7 112 Tr nsaction Activity a ied esed cierres intet epa Fenice exu te ena dee Re renes ENT 7 12 7 13 Account Statement Request ase Yee 7 13 HPO Corners Une EP EID de Heb ys sig epe edab erbe AE Yee be seo e ege ERTA 7 13 Z5 NAV Movement eia Or oe SP Nacsa de Hee eet e ae los erbe E ec TA eee 7 14 LALO Update Profile nren er e EU e Het peri egredere e rece be eee repe RTA 7 14 7 1 17 Entering Modifying and Deleting Bank Account Details eee 7 15 7 1 18 Distribution Profile 7 16 7 139 Standing INSTRUGTIONS ats te berto te beet ette eine Ree eee 7 16 7 1 20 Dividend Information Inquiry eese eene nennen nennen 7 19 7 1 21 Processing Requests Received during End of Day Process 7 20 71
104. ansactions that are unauthorized Accordingly choose the unauthorized option from the drop down list e Specify any or all of the details of the records in the corresponding fields on the screen to retrieve the record that is to be modified All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to modify in the list of displayed records The EFT Setup Detail screen is displayed e Select Unlock Operation from Action list to modify the record Modify the necessary information erie ORACLE Click Save to save your changes The EFT Setup Detail screen is closed and the changes made are reflected in the EFT Setup Summary screen 2 5 3 Viewing Record To view a transaction that you have previously entered you must retrieve the same in the EFT Setup Summary screen as follows Invoke the EFT Setup Summary Screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in t
105. are retrieved gt code of message for the record in the Message Code field e After you have specified the required details click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen RUE ORACLE STOP You can also retrieve the individual record detail from the SWIFT ELEMENT UDF detail screen by doing query in the following manner e Press F7 e Input the Message Code e Medium e Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You can also search the record by using combination of and alphanumeric value Example You can search the record for Message Code by using the combination of and alphanumeric value as follows e Search by A The system will fetch all the records whose Message Code starts from Alphabet A Ex AGC17 AGVO6 AGC74 and so forth e Search by 7 The system will fetch all the records whose Message Code ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth e Search by 17 The system will fetch all the records whose Message Code contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth 3 5 2 Editing Record You can modify the details of a record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the SWIFT ELEMENT U
106. arrow button and specify any or all of the following details in the corresponding fields e status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved e status of the record in the Open field If you choose the Blank Space option then all records are retrieved e Interface ID e Interface Code e Import Export Type Click Search button to view the records All the records with the specified details are retrieved and displayed in the lower portion of the screen You also retrieve the individual record detail from the detail screen by querying in the following manner e Press F7 e Input the Interface ID e Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting the operation from the Action list You can also search a record by using a combination of and alphanumeric value For Example You can search the record for Interface ID by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Interface ID starts from Alphabet A For example AGC17 AGVO6 AGC74 etc e Search by 7 System will fetch all the records whose Interface ID ends by numeric value 7 For example AGC17 GSD267 AGC77 etc e Search by 17 System will fetch all the records whose Interface ID contains the numeric value 17 For example GS
107. ary Identification Mandatory Incoming This will be the bank account number of the unit holder This number will be used in conjunction with the element Type Structured i e the bank account type to get the bank details of unit holder Outgoing If the bank details selected for the transaction is a CPF accounts CPFOA CPFSA ASPFOA ASPFSA or SRS the system will provide the structured account type information under this element Type gt Structured Mandatory The following are the SWIFT supported codes for structured types along with the FCIS mapping Structured codes FCIS Map CASH No mapping CPFO CPFOA CPFS CPFSA OTHR ASPFOA ASPFSA SRSA SRS Subscription Bulk Order Confirmation This message is sent by an executing party to an intermediary party This message is used to confirm the details of the execution of a SubscriptionBulkOrder message The SubscriptionBulkOrderConfirmation message is sent after the price has been determined to confirm the execution of all individual orders There is usually one bulk confirmation message for one bulk order message For all incoming messages FCIS will set the status of transactions based on individual OrderReference number For outgoing message FCIS will generate the confirmation message only after allocation FCIS will allow generation of this message in an automated way based on certain events triggered in the system which have to be se
108. ash Forecast Report The FundDetailedConfirmedCashForecastReport message is sent by a report provider to a report user This message is used to provide a confirmed report of the cash incoming and outgoing flows per investment fund sorted by country institution or criteria defined by the user The message can be used to report on several investment funds The cash incoming and outgoing flows result from for example redemption subscription switch transactions or dividends The details provided here are similar to Fund Confirmed Cash Forecast Report with the breakup based on one of the following e Party e Country e Currency e UserDefined FCIS supports the tags SortingCriteriaType gt Unstructured and ForecastBreakdownDetails gt ReportParameter gt UserDefined indicating the break up of inflows and outflows for the following e PO Subscription e Subscription e Redemption e Switch In e Switch Out e IPO Subscription Reversal e Subscription Reversal e Redemption Reversal e Switch In Reversal e Switch Out Reversal e Dividend e Dividend Amendment Inflow e Dividend Amendment Outflow 3 32 1 Tags in Message did ORACLE 3 32 1 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS 3 32 1 2 FundCashForecastDetails Mandatory Repetitive TradeDateTime Optional Outgoing This will be the date for w
109. at it contained There is no amendment but a cancellation and re instruct policy For incoming Switch order cancellations FCIS will process the reversals based on the tags PreviousReference or CancellationByOrderDetails gt SwitchOrderDetails gt OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed before neither of the transactions will be included in the SWIFT message FCIS will allow generation of this message in an automated way based on a certain event that is triggered in the system or manually 3 24 1 Tags in Message 3 24 1 1 Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages TUUM ORACLE Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and utgoing message This is the message generation date time 3 24 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common
110. at you choose certain fields will be displayed The same is explained below CASA Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Bank Branch Select the bank branch from the option list provided Contra Account Number Mandatory Enter the bank account number Contra Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Direct Debit Applicable This field will be disabled for the option CASA im ORACLE GL Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Account Number Mandatory Enter the bank account number SAP Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund o
111. ate is deemed to be the application date e Account Operation Type Whether the account is to be operated singly or jointly By default the account operation type is deemed to be single e Whether the customer is an initial investor e UH Category The unit holder category corresponding to the customer e Whether a Year To Date account statement is required by the customer e Acknowledgement Printed Whether an acknowledgement is to be printed on creation or modification of the account details By default an acknowledgement is deemed as necessary to be printed e Agent Code The code of the agent where the unit holder account is created By default this is the code of the FCR bank where the CIF was created e Branch Code The code of the agent where the unit holder account is created By default this is the code of the FCR branch where the CIF was created The interface process defaults some of the parameters for the creation of the single initial unit holder account as follows e The unit holder is deemed to be a major e The number of authorized signatories for corporate customers to 1 e The account opening date as the application date e account operation type as single e An acknowledgement is printed for the new account e The agent and branch code of the FCR bank and branch For a fuller discussion of each of the above details refer the chapter Managing Investor Accounts The mutual fund or F
112. based frequency and define it as a job through the Job Maintenance screen 4 Activate the scheduler and it will call the Interface Processing module at the time specified and pass the Interface ID as a parameter to the module 5 The Interface Processing module will then execute the defined interface and log any errors that will result You can access the interface processing screens from the following menu categories in the Fund Manager component The Interface Maintenance screen from the Interfaces menu category in the browser e ORACLE 8 2 8 2 1 8 2 2 8 2 3 e The Interface Maintenance Find Options Summary screen e The Online Interfaces Execution screen under the Batch menu in the browser Refer to the chapter Interfaces with External Systems in Volume Four for further details on setting up and maintaining interfaces FCIS AWD Interface At the end of a day s batch processing Oracle FLEXCUBE Investor Servicing will produce a file which contains all the transactions that have failed validation criteria The FCIS AWD Interface will assign a unique error code for each of the failed transactions and pass the file to another external system This external system will translate the error codes into AWD Worktype and produces an AWD RIP control file for AWD RIP Maintaining Interface Specific Details You need to maintain the external system AWD in the FCIS Data Mapping Maintenance screen with the
113. bbreviation Acronym Meaning ADMIN User Administrator AGY The Agency Branch component of the system AMC Asset Management Company BOD Beginning of Day CDSC Contingent Deferred Sales Charge CGT Capital Gains Tax CIF Customer Information File EOD End of Day EPU Earnings per unit FC IS Oracle FLEXCUBE Investor Servicing FMG The Fund Manager component of the system FPADMIN Oracle FLEXCUBE Administrator Abbreviation Acronym Meaning ID Identification IHPP Inflation Hedged Pension Plan IPO Initial Public Offering LEP Life and Endowment Products LOI Letter of Intent NAV Net Asset Value REG The Registrar component of the system ROA Rights of Accumulation ROI Return on Investment SI Standing Instructions SMS Security Management System URL Uniform Resource Locator VAT Value Added Tax WAUC Weighted Average Unit Cost 1 8 Getting Help Online help is available for all tasks You can get help for any function by clicking the help icon provided or by pressing F1 2 1 2 2 2 Creating Electronic Fund Transfer Interfaces Introduction Oracle FLEXCUBE Investor Servicing FC IS provides the AMC with the facility of interfacing with external clearing bureaus and clearing banks The interface is facilitated through electronic funds transfer EFT and specific transfer instruction data can be generated as EFT files that are sent to these clearing bureau
114. ber of Files Import Export Numeric Mandatory Specify the number of files that must be imported or exported For procedure based or table based interfaces if the number of files is greater than zero then the names of all the tables that will be impacted by the procedure or SQL string are displayed in the File Specifications Tab grid in the lower portion of the screen ue ORACLE Import Export Basis Alphanumeric Mandatory You can export data from any of the following database object types e Table You can export the data in all fields from a table or part of the fields e Procedure You can execute a procedure that will return the data that must be exported This procedure will populate a table or multiple tables with the data results You can also execute a procedure on the basis of data populated into the tables e SQL You can execute a SQL string with an SQL statement that is associated with manipulation of data You can import data into any of the following database object types e Table You can import data from an external specified file into an internal table e Procedure You can import the data from an external file to a temporary internal table and run a procedure to validate the imported data and populate it into the required internal table You can choose the required option from the drop down list according to the type of interface Interface Code Alphanumeric Mandatory The interface code identifies t
115. can also search the record by using combination of and alphanumeric value Example You can search the record for Transaction Number by using the combination of and alphanumeric value as follows e Search by A The system will fetch all the records whose Transaction Number starts from Alphabet A Ex AGC17 AGVO6 AGC74 and so forth e Search by 7 The system will fetch all the records whose Transaction Number ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth e Search by 961796 The system will fetch all the records whose Transaction Number contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth ee ORACLE 2 8 2 Editing Transaction You can modify the details of a transaction that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows Invoke the Payment Clearing screen from the Browser Select the status of the transaction that you want to retrieve for modification in the Authorization Status field You can only modify records of transactions that are unauthorized Accordingly choose the unauthorized option from the drop down list Specify any or all of the details of the transaction in the corresponding fields on the screen to retrieve the transaction that is to be modified All unauthorized transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click
116. ce Error Log menu item in the Data Entry menu of the Fund Manager component To exit the screen without processing any selected interface definitions click the Close button M ORACLE 5 4 Re Exporting Data If you want to re export data that has already been handed off to an external system you will have to use the Re Export screen You can invoke this screen by typing UTDREEX the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Re Export x Export From Date Export To Date E Export Type LE AMC ID ai Process ID Fetch Exported Records L1 Process ID x Export From Date x Export Type x AMC ID No of Records Exported Interface ID Auth Status x Cancel You can search for a record that has been exported Enter one of the following search criteria Export Type Select Export Type created earlier AMC Distributor ID Select a distributor ID from the list Export From Date and Export To Date DD MM YYYY Specify the period in which the file was exported Process ID Enter the Execution ID of the export which has to be re exported When you click Search button the export files that match the search criteria that you have entered will be displayed ORACLE 5 5 5 5 1 Scheduler Services Oracle FLEXCUBE Investor Servicing pr
117. ce or the individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction has been handed off to SWIFT If a transaction is reversed before neither of the transactions will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually e ORACLE 3 15 1 Tags in Message 3 15 1 1 Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time 3 15 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 15 1 3 Previous Re
118. cify the name of the job parameter The parameter name you specify here is passed to job class or procedure at run time Data Type Alphanumeric Optional Specify the data type of the parameter Parameter Value Alphanumeric Optional Specify the value of the parameter Job Maintenance Summary Screen You can perform the following operations in the Job Maintenance Summary screen vem ORACLE Job Maintenance Summary Authorized Open Job Code E Job Description Job Group E Job Type Trigger Type Scheduler Type Q Search Advanced Search 15 Authorized Open Job Code Job Description Job Group Job Type Trigger Type Scheduler Type 5 5 2 1 Retrieving Record in Job Maintenance Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the Job Maintenance Summary screen by typing STSJOBMT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields e status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved e status of the record the Open field If you choose the Blank Space option then all records are retrieved e Job
119. ction of the applicable reference type the description of the selected reference type gets displayed 3 3 1 3 Account Types Section Applicable Account Types Mandatory For FCIS initiated orders you can specify the account types which are allowed The ones available for selection will be displayed in the adjoining option list You can choose the appropriate one Account Type Description Upon Selection of the applicable account type the description of the selected account type gets displayed 3 4 Swift Message Setup Summary Screen The Swift Message Setup Summary screen helps you locate and retrieve the message codes you want to edit view delete authorize or amend from the database You can invoke this screen by typing UTSSWMSQG in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button ce ORACLE swift Message Setup Summary Authorized Na Message Reference Code E Medium v To Entity ID Q Search Advanced Search Records per page Authorized Status Message Reference Code Medium ToEntity Entity Event Code Message Code Authorize 3 4 1 Retrieving Record in Swift Message Setup Summary Screens You can retrieve a previously entered record in the Swift Message Setup Summary screen as follows Invoke the Swift Message Setup Summary screen and specify any or al
120. cy This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions CommissionGeneralDetails Optional This indicates the load corresponding to the From Entity Type U and To Entity Type F ORACLE TotalAmountofCommissions Optional Outgoing FCIS sends out the value of the load where the From Entity Type is U and To Entity Type is F CommissionDetails Type gt Unstructured or Recipientidentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Amount Mandatory Outgoing This tag corresponds to the individual Loads under the main U F load viz F M and F A loads Rate Optional This tag corresponds to the rates of individual Loads under the main U F load viz F M and F A loads ChargeGeneralDetails Optional This tag corresponds to the sum of all the loads other than the load mentioned in the CommissionGeneralDetails tag TotalAmountofCharges Optional Outgoing FCIS sends out the sum f all the loads other than the load mentioned in the CommissionGeneralDetails tag ChargeDetails Type gt Unstructured or Recipientldentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is pro
121. d in this field You will not be allowed to change the same dis ORACLE To Entity ID Mandatory Select the entity for which the message is applicable This field will be displayed only if the Message Type is OUT Generate Auth Transactions Optional Check this box to indicate an incoming transaction request should be created as an authorized transaction This check box will be enabled only if the Message Type is IN and the Message Code is an Order or Cancellation message Confirm Outgoing Messages Optional Check this box to indicate the message needs to be manually confirmed This is applicable only to FCIS initiated messages only and not messages which are in response to SWIFT requests This field will be displayed only if the Message Type is OUT Global Order Optional Global orders are orders sent from distributors to AMC to subscribe on behalf of the distributor s customers Check the box Global Order to indicate a global order should be generated This check box will be enabled only if the Message Type is OUT and the Message Code is a multiple order message 3 3 1 2 Reftypes Section Applicable Ref Types Mandatory For FCIS initiated orders you can specify the Transaction Reference Types applicable to the outgoing message The ones available for selection will be displayed in the adjoining option list You can choose the appropriate one e ORACLE Reference Type Description Upon Sele
122. datory Select the ISIN Code of the fund for which this interface has been defined from the options provided If you specify the ISIN Code of a fund the ID of the fund is displayed in the Fund field Family ID Alphanumeric Optional If the selected fund is an umbrella fund select the fund family that the selected fund belongs to from the drop down list Specifying Column Details for Interface File You can specify the actual columns or fields in the file that will be exported or imported or in the specified table in the Column Specifications Maintenance screen You can also define a sequence in which the data must be ordered You can invoke this screen from the File Specifications screen You must specify the column details for the interface file before you can save an interface definition Column Specification L1 Field Or Column Name x Field Number x Field Type x Field Length Column Heading File Col Sequence x Select x Ok Cancel Tn ORACLE 5 2 6 Column Specifications Maintenance Fields Column Name Display Only The name of the column or field that is present in the table is displayed here Field Type Display Only The type of data that the field or column contains is displayed here File Number Display Only The sequential number for the selected file from the File Specifications Tab grid in the Interface Maintenance screen is displayed here It represents the file fo
123. ded the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA or AQ If ExtendedRole is not of the mentioned ones system will throw error 3 17 Redemption Multiple Order Confirmation This message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The RedemptionMultipleOrderConfirmation message is sent after the price has been determined to confirm the execution of all individual orders RedemptionMultipleOrder can be generated by more than one RedemptionMultipleOrderConfirmation as the valuation cycle of the financial instruments of each individual order may be different When the executing party sends several confirmations there is no specific indication in the message that it is an incomplete confirmation Reconciliation must be based on the references i ORACLE A RedemptionMultipleOrder response should be the RedemptionMultipleOrderConfirmation message s and in no circumstances by the RedemptionBulkOrderConfirmation message s For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For outgoing messages the system will be able to gene
124. dentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description UnitsNumber Mandatory Unit Mandatory Outgoing The allocated units for the transaction NetAmount Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed iu ORACLE GrossAmount Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store TransactionDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandatory This is the price at which order was executed ExtendedType Mandatory Outgoing FCIS will support the code OTHR only Value Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendindicator Mandatory This indicates whether the dividend cum dividend
125. ders FCIS will generate the Order Instruction Status Report in response to the Request For Order Status message received provided the Messageldentification number communicated to FCIS in the tag PreviousReference relates to bulk multiple or switch order as cancellation is reported through a different message For Switch order responses FCIS will reply with the status under the OrderDetailsReport section as it is not possible to accept one leg of the switch and reject another leg For other orders FCIS will reply with the status under IndividualOrderDetailsReport section However if the original message has been suppressed or has not been processed FCIS will report the failure under the section OrderDetailsReport gt Suspended 3 20 1 Message Structure The following is the structure of the message Accepted SC ZA ANN SN Cancelled Reason for Status Suspended Rejected In Repair Financial Repaired Commission Instrument Conditions Investment Account i ORACLE 3 20 2 Tags in Message 3 20 2 1 Choice OtherReference PreviousReference Mandatory Reference Mandatory Incoming FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This number will be used to set the status of underlying transactions if the individual order details are not reported Outgo
126. dicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO oe ORACLE ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions CommissionGeneralDetails Optional This indicates the load corresponding to the From Entity Type U and To Entity Type P TotalAmountofCommissions Optional Outgoing FCIS sends out the value of the load where the From Entity Type is U and To Entity Type is F CommissionDetails Type gt Extended Type Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Amount Mandatory Outgoing This tag corresponds to the individual Loads under the main U F load viz F M and F A loads Rate Optional This tag corresponds to the rates of individual Loads under the main U F load viz F M and F A loads d ORACLE ChargeGeneralDetails Optional Thi
127. e Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Applicable for incoming and outgoing message This is the message generation date time SIU ORACLE 3 23 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 23 1 3 RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message 3 23 1 4 SwitchExecutionDetails Mandatory This is general information related to the execution of a switch transaction DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number iios ORACLE OrderReference Mandatory Incoming
128. e Authorization e Settlement Also a set of theoretical entries could be required at initiation of the transaction For these accounting entries the relevant reporting heads are to be mapped to each transaction According to the components mapped and the setup in the system the appropriate accounting entries theoretical entries are passed at either the Distributor or AMC installation for the funds for which the setup has been maintained You can set up the General Ledger by setting up an accounting template for each transaction type and transaction event and then mapping the template for a fund investment account type combination so that the template comes into effect for transactions in the fund investment type combination 5 9 1 Setting up General Ledger Template You can set up a General Ledger Template for each event in the life cycle of a transaction of a certain type in the GL Template Detail screen You can invoke this screen by typing UTDGLTMP in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button SEM ORACLE GL Template Detail Template Details Template ID Business Event Theoretical Entries Product Level Apply Component Account Details Component ID Debit Credit Primary Account Details Entity Accounting Currency Bank Branch Direct Debit Contra Account Details Contra Entity Contra Accounting Currency Contra Bank Branch
129. e CIF account for which the transaction is being put through e The ID and ISIN Code of the fund in which the transaction is being requested This is the fund from which the investment is requested to be switched e The ID and ISIN Code of the fund into which the investment is to be switched e The mode of the transaction amount units or percentage the value of the transaction in the selected mode and the currency for the transaction e Delivery options as follows gt If physical delivery the delivery type physical address and certificate denominations lot sizes gt If delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a switch transaction 7 1 8 Transfer Transactions Transaction information The unit holder or CIF account holder can initiate a transfer transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account of the transferor unit holder e The unit holder ID under the CIF account of the transferee unit holder e The ID and ISIN Code of the fund in which the transaction is being requested e The mode of the transaction amount units or percenta
130. e D E UR I DR 3 92 3 20 ORDER INSTRUCTION STATUS REPORT eie etre OERE EEES 3 93 3 20 1 Message 3 94 3 20 2 d0g 4niMessQge Julie irr REC RUNE ER LER RFT E HERRURT RAESTE SE 3 95 3 21 ORDER CANCELLATION STATUS REPORT 3 96 3 21 12 Message Structure ode er p e eo PR REIR Er Er 3 96 3 225 TABS in Message REEF ERREUR ND PRUES 3 97 9 22 SWITCH ORDER A E A E erre Eve Ee 3 98 3 22 01 Tags in eoe ee OPE rb eR Ee en bo re REP CREER RES 3 98 3 23 SWITCHORDER CONFIRMATION aeiieoo erk rede ye reor rU rea 3 103 3 23 l TAGS In Message sce eR er re e DRE D re re ee RU RR Erato 3 103 3 24 SWITCH ORDER CANCELLATION INSTRUCTION eeeeeeeeeeeeeeeennren nennen innen nnne en tenente entente trennen enne 3 109 3 24 1 Tags in s nere ree He e ger Pe ER e re Rr cabs Re Ra teo 3 109 3 29 PRICE REPORT e et ee TEETH ERREUR TRU 3 112 3 25 Tagsin MeSsQge iiu e e ERG EGRE IL RUE Eo XY Ere E EE ELI Do e Ege edente 3 112 3 26 PRICE REPORT CORRECTION eeersiteee erre ett E epe Ep ee ER ER Ee eee Minna eR satan PR Ee E A eroe a 3 115 3 26 12 T
131. e Summary screen 5 9 3 3 Viewing GL Template To view a record that you have previously input you must retrieve the same in the GL Template Summary screen as follows TS ORACLE Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The GL Template Detail screen is displayed in View mode 5 9 3 4 Deleting GL Template You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to delete in the list of displayed records The GL Template Detail screen is displayed Select Delete Operation fr
132. e current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT did ORACLE CreditTransferDetails Mandatory Choice Reference Optional Incoming Outgoing This will be the TransactionReferenceNumber CreditorDetails gt Accountldentification gt Identification Mandatory FCIS supports DomesticAccount based identification Incoming The details available for DomesticAccount will be used in conjunction with the element details of the tag FirstAgent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid for the transaction currency If not these account details will be considered as third party payment details Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag CreditorDetails gt Accountldentification gt Name Optional This is the name of the account It provides additional means of identification Outgoing This will be the TransferAccountHolderName of the transaction CreditorDetails gt FinalAgent Mandatory FCIS supports BIC and Proprietary Identification based identification Incoming If BIC is provided the sy
133. e fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction num ORACLE InvestmentAccountDetails Mandatory Accountldentification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description Choice for Units NetAmount HoldingsRedemptionRate Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt
134. e linked to Bulk Orders will be communicated through the Bulk Order Cancellation message 3 12 1 4 Order to be Cancelled This is common information related to all the orders to be cancelled ms ORACLE MultipleOrderDetails Mandatory InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction correspondi
135. e list contains all the valid entity IDs maintained in the system To Entity Type Alphanumeric Mandatory Specify the entity type which will receive and execute orders You can also select the entity type from the adjoining option list The list contains all the valid entity types maintained in the system To Entity Alphanumeric Mandatory Specify the entity ID You can also select the required ID from the adjoining option list The list contains all the valid entity IDs maintained in the system Vestima Enabled Optional Check this option to indicate that Vestima processing is supported for transactions between the From Entity and To Entity mapped above Messages Processed in Vestima Various messages are sent through Vestima while processing an order Typically the messages sent by Ols to Vestima are forwarded by Vestima to the appropriate OHAs Similarly messages received by Vestima from the OHAs are forwarded by Vestima to the Ols The different events for which messages are generated are e Creation of new orders e Cancellation of existing orders e Confirmation of orders executed e Status updates e Securities rejection The messages are detailed below Creation of New Orders The following messages are used by the Ols for creation of new orders These are sent to Vestima and in turn Vestima forwards these to the appropriate OHAs through SWIFT Message Message Name Purpose FCIS Code
136. e list of displayed transactions in the lower portion of the screen The Swift Message Setup Detail screen is opened in view mode e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 3 4 5 Authorizing SWIFT Records An unauthorized record must be authorized in the system for it to be processed To authorize a transaction you must first retrieve the same in the Record Summary screen e Invoke the Swift Message Setup Summary screen from the Browser e Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list e Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The Swift Message Setup screen is opened in view mode ORACLE e Select Authorize operation from Action list When the checker authorizes a record details of validations if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record 3 4 6 Amending SWIFT Records After a record is authorized it can be modified
137. e made effective in the system Authorization of amended transactions can only be done from Fund Manager Module and Agency branch Module 2 8 8 Copying Attributes If you want to create a new transaction having the same attributes of an existing transaction you can copy the attributes of the existing transaction to the new transaction To copy the attributes of an existing transaction to a new transaction Retrieve the transaction whose attributes the new transaction should inherit You can retrieve the transaction through the Payment Clearing Summary screen or through the F7 F8 operation which are explained in the previous section In the Payment Clearing Detail screen click on Copy Action Indicate the ID for the new transaction You can however change the details of the new transactions if required 2 8 9 To Clear or Reject Settlement In the Payment Clearing screen select the Transaction option in the Level field In the Payment Mode field select the Link Settlement Number option You must key in the link settlement number for the settlement that you want to clear or reject in the Specific Number field Click the Show button to retrieve all the transactions that are to be settled together for the specified Link Settlement Number The system retrieves the details for these transactions and displays the same in the lower grid portion of the screen The following details are displayed for each transaction The Transaction
138. e message to be cancelled This message may also contain details of the message to be cancelled but this is not recommended 3 33 1 Tags in Message 3 33 1 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS ORACLE 3 33 1 2 PreviousReference 3 34 Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be selected by the user Custody Statement of Holdings Report The CustodyStatementOfHoldings message is sent by an account servicer to an account owner or its designated agent The account servicer may be a local agent acting on behalf of its global custodian customer a custodian acting on behalf of an investment management institution or a broker dealer a fund administrator or fund intermediary trustee or registrar etc This message reports at a specified moment in time the quantity and identification of financial instruments that the account servicer maintains for the account owner The CustodyStatementOfHoldings message is sent at the beginning of a month for reporting the month end balance of investor User requests a holding report by portfolio as of the last date of the previous month 3 34 1 Tags in Message MessagePagination This tag indicates the pagination of the message PageNumber Mandatory This indicates the page number
139. e of installation of the system the implementers set up the different instruction mediums as applicable to the AMC Each instruction type is mapped to an instruction medium Therefore when you specify the instruction type the instruction medium that is mapped to the selected instruction type is displayed here and it cannot be altered Instruction Medium Description When you select the Instruction medium the description for the respective instruction medium is displayed for the EFT Setup Entity ID The ID of the entity involved in the transaction is displayed here Bank The code of the bank in which the transfer account is located from which the settlement will be done for the transaction is displayed here Sub Payment Mode Select the sub payment mode from the option list Effective Date Mandatory Specify the date for which the records must be extracted for this batch e For redemption payments the redemption transactions that have occurred on the date you specify here must have been allocated e For dividend payments the following events must have already occurred for the date you specify here dis ORACLE gt The fund dividend should have been declared and authorized for all funds earlier than the date you specify here gt dividend that has been declared must already have been processed for the date you specify here e For broker commissions the commissions that are accruing to the broker on the date you
140. edCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered iud ORACLE 3 10 Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Subscription Multiple Order This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SubscriptionMultipleOrder message is used to subscribe to different financial instruments for the same investment account It can result in one single bulk cash settlement or several individual cash settlements This message can also be used for single orders i e a message containing one order for one financial instrument and related to one investment account The SubscriptionMultipleOrder message and not the SubscriptionBulkOrder message must be used for a single order FCIS will allow generation of this message in an automated way based on an event triggered or manually The grouping of multiple orders is driven by investment account and not the fund as in the SubscriptionBulkOrder message 3 10 1 Tags in Message 3 10 1 1 Message Identification Manda
141. een as follows Invoke the Payment Clearing Summary screen from the browser Select the status of the transaction that you want to retrieve for deletion dd ORACLE e Specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the transaction that you want to delete in the list of displayed transactions in the lower portion of the screen The Payment Clearing Detail screen is opened in view mode e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 2 8 5 Authorizing Transaction An unauthorized transaction must be authorized in the system for it to be processed To authorize a transaction you must first retrieve the same in the Payment Clearing Summary screen e Invoke the Payment Clearing Summary screen from the Browser e Select the status of the transaction that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list e Specify any or all of the details of the transaction in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double
142. emplate to a fund investment account type combination in the GL Interface Set Up Detail screen You can invoke this screen by typing UTDGLISD in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button iH ORACLE GL Interface Set Up Detail Fund Details GL Reference Number Template Description Template ID a Refresh Fund ID a ISIN Code 2i Apply at Product Level Yes Product ID 28 Account Type ai GL Currency a Template Details Business Event Trigger Event Theoretical Entries Component ID Component Description Debit Credit Primary Contra Entity Details F Restricted Reference Types Input by DateTime Mod No Open Authorized by DateTime Authorized Cancel 5 9 5 Fields in GL Interface set up Screen 5 9 5 1 Fund Details Section GL Reference Number Specify a reference number for the GL The field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund Id Template Id Component and Account Type You can distinguish between them by entering a unique GL Reference Number for each Product ID Select the Product to which the template is being mapped from the option list provided Fund Id Select the fund to which the template is being mapped from the option list provided
143. ence Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN UnitsNumber Mandatory UnitsNumber Mandatory Outgoing The allocated units for the transaction Amount NS ORACLE Mandatory This is the net amount invested in a specific financial instrument by an investor expressed in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed GrossAmountindicator Optional Outgoing This will be the settlement amount in the transaction currency available in the transaction data store TransactionDateTime Mandatory This tag provides the transaction date Outgoing Depending on the UDF mapping the Transaction Date will be passed PriceDetails Mandatory This is the price at which order was executed Value Amount Mandatory Outgoing This will be the allocation price for the transaction PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed Outgoing This will be defaulted to NO CumDividendindicator Mandatory This in
144. ency provided as an attribute of the tag FCIS will give priority to the tag GrossAmountindicator while processing the message If the same is available the transaction will be considered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field Amt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmountindicator as well as the tag Amt as this is mandatory ui ORACLE GrossAmountindicator Optional Incoming If a value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute CommissionDetails Optional This indicates the load corresponding to the commission that is being overridden The Load in the System can be identified using the Load Id or the Recipient information Type gt Extended Mandatory Incoming This will map to the Load Id Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is
145. endedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AQ If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name Switch Order Confirmation The Switch Order Confirmation message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The SwitchOrderConfirmation message is sent only once to confirm that all the legs of the switch have been executed For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For an outgoing message the system will be able to generate the confirmation message only after allocation FCIS will allow generation of this message in an automated way based on a certain event that is triggered in the system or manually If the AMC of the From Fund and To Fund are different system will generate a pseudo switch transaction In other cases system will generate a normal switch transaction 3 23 1 Tags in Message 3 23 1 1 Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and referenc
146. ent LOI unit holders the applicability of the transaction for Letter of Intent amount The mode of payment and sub payment Delivery options as follows gt If physical delivery the delivery type physical address and certificate denominations lot sizes gt f delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable For limit order transactions the limit order options For payments through account transfer the following information must be specified as mandatory information The account number for the transfer payment This could be any of the accounts maintained in the system for the unit holder or it could be any other accounts Bank name Branch name Account type Account number dm ORACLE Account currency Account holder name this information is required only if an account other than any that are maintained in the system is to be used Payment reference number For payments through credit card the following information must be specified as mandatory information Card Number Card Type Master Visa Issuer Name Bank Name Expiry Date The transaction in FC IS The FLEXCUBE Investor Services system only accepts requests for new transactions from the Oracle FLEXCUBE INTERNET BANKING system Editing or deletion of a previously entered transaction is not accepted FC IS processes the transaction on receiving the Buy Order request from Oracle F
147. ere may be one or more intermediary parties between the executing party and the instructing party The OrderlnstructionStatusReport message is sent by an executing party to the instructing party to report on the status of a subscription redemption or a switch order The message can be used to report one of the following e Status of the order instruction using a code For example Accepted Already Executed e Cancelled status e Conditionally accepted status e Rejected status e Suspended status e In repair status individual orders only e Repaired conditions individual orders only Further information about the repair unmatched rejected or pending settlement statuses must be specified using either codes or unstructured information For subscription and redemption orders this message covers both bulk and multiple categories of orders and this message may provide the status either at the bulk or at the individual level For a switch order however the message provides the status of the whole order It is not possible to accept one leg and to reject the other leg The entire switch order has to be rejected In order to identify which leg within the switch is causing a problem the switch order leg identification is used em ORACLE FCIS will receive the Order Instruction Status Report in response to Request For Order Status message generated This information will be used to set the status of individual or
148. es BalanceForSubAccount Optional AggregateQuantity gt Quantity Mandatory This tag indicates the balance in the fund FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Outgoing FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag PriceDetails Mandatory This is the price at which order was executed 3 135 ORACLE Value gt Amount Mandatory Outgoing This is the fund base currency code followed by the price as of the effective date of the report Type Mandatory This has the value NAVL QuotationDate Date Optional This indicates the maximum price date for which price is available as of the effective date of the report 3 35 Statement of Investment Fund Transactions The StatementOflnvestmentFundTransactions is sent by an account servicer to an account owner or its designated agent The account servicer may be a fund administrator or fund intermediary trustee or registrar This message provides the details of increases and decreases of holdings which occurred during a specified period This message can also be used for information purposes eg tax information This report provides the statement of transactions for a customer
149. es and entities such as custodians or clearing agents e Exchange rates e Fund prices e Unit holder accounts e Transactions or standing instructions Whenever data is authorized relating to any of these a hand off is triggered from the FC IS database to the local Oracle FLEXCUBE INTERNET BANKING database When a request is made by a logged in user in Oracle FLEXCUBE INTERNET BANKING the requested information is made available from the refreshed local Oracle FLEXCUBE INTERNET BANKING database 7 1 2 Logging in to Oracle FLEXCUBE INTERNET BANKING To log in to the Oracle FLEXCUBE INTERNET BANKING application at a remote web location the investor must specify the User ID and password assigned to the investor in the Oracle FLEXCUBE INTERNET BANKING application The User ID used by the investor to log in to Oracle FLEXCUBE INTERNET BANKING is typically different from the unit holder ID or CIF account number of the investor in FC IS It is assigned to the investor at the time of registration at Oracle FLEXCUBE INTERNET BANKING When the investor logs in to the Oracle FLEXCUBE INTERNET BANKING system and then proceeds to specify the unit holder or CIF account number the following information is supplied by FC IS to Oracle FLEXCUBE INTERNET BANKING through the interface between the two applications e list of all unit holder accounts under the CIF account e holdings position for all unit holders under the CIF account at fund and p
150. essage Setup Summary screen or through the F7 F8 operation which are explained in the previous section e n the Swift Message Setup Detail screen click on Copy Action e Indicate the ID for the new record You can however change the details of the new record if required Setting Up UDFs for SWIFT Elements E ORACLE User elements are pre shipped However you do have the option of changing a few The Swift Element UDF Summary screen allows you to do the same You can invoke this screen by typing UTSSWUDF in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Swift Element UDF Summary Authorized Open M Message Code E Medium Q Search Advanced Search Records per page Authorized Open Message Code Medium Client Support Element UID Element Description Element Group ID Group Description 3 5 1 Retrieving Record in SWIFT ELEMENT UDF Summary Screens You can retrieve a previously entered transaction in the SWIFT ELEMENT UDF screen as follows e Invoke the summary screen and specify any or all of the following details in the corresponding fields gt The status of the record in the Authorized field If you choose the Blank Space option then all the records are retrieved gt The status of the record in the Open field If you choose the Blank Space option then all the records
151. etail screen is closed and the changes made are reflected in the Interface Maintenance Summary screen TUS ORACLE 5 2 7 3 Viewing Interface Maintenance Record To view a record that you have previously input you must retrieve the same in the Interface Maintenance Summary screen as follows Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for viewing in the Authorization Status field You can also view all records that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen Double click the record that you want to view in the list of displayed records The Interface Maintenance Detail screen is displayed in View mode 5 2 7 4 Deleting Interface Maintenance Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for deletion Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified fields are retrieved and displayed in the lower portion of the screen
152. etting Registry Symbol Setting Time Delimiter Colon semi colon space null Registry Setting Registry Setting 5 9 ORACLE 5 2 3 Parameters Section Procedure based interfaces will need certain parameters that you must specify for their execution You can specify the same in the Interface Details screen which you can invoke by clicking Parameters button in the main Interface Maintenance Detail screen Interface Parameters x Interface Parameters Parameter Name Parameter Value Standard x 5 v s Ok Cancel Parameter Name Alphanumeric Mandatory Select the name of the parameter that is required for the procedure from the drop down list You can specify as many parameters as are necessary Standard Optional Check this box if the parameter you have selected is specific to the FCIS application You need not specify a value for standard parameters Parameter Value Alphanumeric Mandatory If you have selected a non standard parameter specify the value for the same in this field 5 2 4 Fund s Selection Section You may have defined some interfaces that require specific Fund IDs and fund families You may indicate these funds or fund families in this tab ORACLE 5 2 5 Fund ID Alphanumeric Mandatory Select the ID of the required fund for which this interface has been defined from the drop down list ISIN Code 12 Characters Maximum Alphanumeric Man
153. ference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 18 1 3 Previous Reference Optional This is the reference to a linked message previously sent mes ORACLE Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Consider the example given below Transaction Number Reversed SWIFT message generated from FCIS Reference RED1 SWIFT Redemption Bulk Order REFO003 RED2 SWIFT Redemption Bulk Order REFO003 RED3 SWIFT Redemption Multiple Order REF004 RED4 SWIFT Redemption Multiple Order REF004 RED5 No message generated originally The tag Previous Reference will be used to communicate reversals for REF004 only Transactions RED1 and RED2 which are linked to Bulk Orders will be communicated through the Bulk Order Cancellation message 3 18 1 4 Order to be Cancelled This is commo
154. ference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message uS ORACLE If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Consider the example given below Transaction Number Reversed SWIFT message generated from FCIS Reference RED1 SWIFT Redemption Bulk Order REF003 RED2 SWIFT Redemption Bulk Order REF003 RED3 SWIFT Redemption Multiple Order REF004 RED4 SWIFT Redemption Multiple Order REF004 RED5 No message generated originally The tag Previous Reference will be used to communicate reversals for REF003 only Transactions RED3 and RED4 which are linked to Multiple Orders will be communicated through the Multiple Order Cancellation message 3 15 1 4 Order to be Cancelled This is common information related to all the orders to be cancelled FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out th
155. ference message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message 3 17 1 4 MultipleExecutionDetails Mandatory OrderDateTime Optional Outgoing This will be mapped to the transaction save time InvestmentAccountDetails Mandatory Accountldentification Proprietary Identification Outgoing The system uses the relevant UDF mapping for this tag IndividualExecutionDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS ves ORACLE DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number SettlementAmount Optional ORACLE FLEXCUBE would pass settlement amount of the transaction in this tag FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory
156. for a single order a message containing one order for one instrument and for one investment account The Subscription Multiple Order message not the Subscription Bulk Order message must be used for a single order 3 7 1 Tags in Message 3 7 1 1 Message Identification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory e Incoming This number is used for storage and reference e Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 7 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory e Incoming This number is used for storage e Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 7 1 3 Bulk Order Details FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund i ORACLE Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common e Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag e Outgoing FCIS sends out the fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for
157. for new transactions from the Oracle FLEXCUBE INTERNET BANKING system Editing or deletion of a previously entered transaction is not accepted The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a conversion transaction ORACLE 7 1 10 Auto Authorization Any transaction entered through the Oracle FLEXCUBE INTERNET BANKING system will normally undergo auto authorisation check after all validations are successful and the transaction has been successfully saved As a result of the check if auto authorization is allowable based on the User ID and transaction type based on the auto authorization set up in FC IS the transaction will be authorized immediately If not itis saved as an unauthorized transaction 7 1 11 Order Status After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the status of any transaction requests that were previously entered between a given time period through the Order Status screen The system will display the status for all transaction requests those entered through the Oracle FLEXCUBE INTERNET BANKING system as well as those entered directly through agency branches The status of the following transaction types will be displayed as applicable e IPO e Subscription e Redemption e Switch For switch transactions both
158. ge the value of the transaction in the selected mode and the currency for the transaction e For certificate option funds in which the unit holder has requested for certificates the applicability of single certificates e For Letter of Intent LOI unit holders the applicability of the transaction for Letter of Intent amount The transaction in FC IS The transaction is processed in the FC IS system along the same lines as that described for the IPO subscription or redemption transactions except that all the validations are made as for a transfer transaction 7 1 9 Conversion Transactions Ps ORACLE Transaction information The unit holder or CIF account holder can initiate a conversion transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information e The unit holder ID under the CIF account for which the transaction is being put through e The ID and ISIN Code of the fund in which the transaction is being requested e The transaction value i e the number of units to be converted e Both From and To Delivery options as follows gt If physical delivery the delivery type physical address and certificate denominations lot sizes as well as the Certificate Message gt f delivery account or delivery to custodian the delivery account details and clearing agent custodian bank as applicable The transaction in FC IS The FLEXCUBE Investor Services system only accepts requests
159. ger Distributor rounding and transaction charge account The payment date for the underlying transaction is also arrived at according to the transaction payment mode The settlement process is initiated on the date on which payment clearing is performed which is tracked as the Actual Settlement Date At the Distributor the accounting entries generated reflect the movement of funds between the fund receivable account and the Distributor At the AMC the accounting entries generated reflect the movement of funds between the fund account and unit holder pooled investment account For cash based transactions the unitization and payment date are the same and both theoretical and actual entries are passed as on this date Regeneration of Extract Once the accounting data passed due to a GL setup has been extract you can re extract and regenerate the data if required To re extract the data you must provide the ID of the fund and the unit holder for which you wish to re extract the data and the date range between which the data was extracted If you do not provide a fund or unit holder ID the data is re extracted for entries generated within the date range specified After re extraction you can either regenerate the entries or generating a report containing the entries Accounting System General Ledger Setup You can use this screen in the Administration menu category of the Fund Manager component to e Map the load component codes in FCI
160. ggering the upload process in this screen will move all unprocessed messages collected by the message system from the SWIFT terminal delivery channel to the processed status 3 6 6 Generation of Outgoing Messages To generate outgoing messages use the Process Outgoing Swift Messages screen You can invoke this screen by typing UTDPSWOU in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Click the Start button to trigger the generation process Process Outgoing Swift Messages x Operation v s ORACLE Triggering the generation process in this screen will move all ungenerated messages to the generated status and the outgoing messages are generated and moved to the outgoing queue of the appropriate SWIFT terminal delivery channel ven ORACLE 3 7 Subscription Bulk Order This message is sent by an intermediary to an executing party or to another intermediary party This message is used to instruct the executing party to subscribe to a specified amount quantity of a specified financial instrument The Subscription Bulk Order message is used to bulk several individual orders into one bulk order The individual orders come from different instructing parties but are related to the same financial instrument The Subscription Bulk Order message can result in one single bulk cash settlement or several individual cash settlements This message cannot be used
161. h FCIS Bulk Upload Subscriptions Except Transactions sent from RTA to FCIS Subscription Reversal Bulk Upload Subscription Reversal Except Transactions sent from RTA to FCIS IPO and IPO Reversal When a customer makes an investment and the transaction is captured through FCIS the CASA account in FINWARE will be debited with the gross amount of the subscription and will be credited to AMC Pool account This activity will be trigged as an Authorization event The settlement will take place just before the transaction is saved and if a successful response is received from Finware the transaction will be successfully saved in FCIS FCIS will post the Debit Credit request to FC 9 Connect which will then send the actual request to Finware build the response as expected by FCIS and send the response Note the following Online settlement happens for transactions on the system date even if they are placed after the fund cut off time After the cut off time transactions cannot be reversed or cancelled till the Transaction Date and System Date are equal Online settlement happens only for gross unalloted payment not cleared transactions subscription subscription reversal IPO IPO reversal transactions with Payment Mode as Transfer Accounting details should have been maintained for the Unit Holder Bulk uploads from FCIS get settled online if the transactions subscription subscription reversal IPO IPO reversal are gross trans
162. h report is generated one ORACLE SubTotalAmount Optional This will be the Estimated Cash In EstimatedCashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash Out 3 29 Fund Confirmed Cash Forecast Report The FundConfirmedCashForecastReport message is sent by a report provider to a report user This message is used to provide a confirmed report of the cash incomings and outgoings per investment fund This message can be used to report on several investment funds The cash incomings and outgoings result from for example redemption subscription switch transactions or dividends 3 29 1 Contents of Report The following are the contents of this report 3 29 1 1 Transactions e All allotted IPO Subscription Redemption Switch which are not reversed e Allallotted IPO Subscription Redemption Switch which are reversed The date of the original transaction should not be the same as the date of reversal transaction IPO Subscription e Sum Gross Amount in FBC Redemptions e Sum Net Amount in FBC Switch In e Sum Switch To Amount post allocation where fund passed is the switch in fund ibas ORACLE Switch Out e Sum Net Amount in FBC where fund passed is the switch out fund IPO Subscription Reversal e Sum Gross Amount In FBC of the original transaction Redemption
163. hat will debit the relevant unit holder bank accounts and credit the AMC account as applicable In case of NPI payments to a trust you can generate a single EFT file that contains all the transfer details and the total NPI amount that must be paid to charitable trusts This chapter describes the functions in the FC IS system that you can use to create these transfer instructions EFT files Creating Transfer Instruction Files The following screens in the system facilitate the creation and generation of these transfer instructions interface files e The EFT Setup Detail and Summary Screen that you can access fron the EFT Setup menu in the Browser e Payment Clearing Screen that you can access from the Payment Clearing menu in the Browser ORACLE 2 3 Few Basic Terms You must have a clear understanding of a few basic terms before you use these screens to generate the EFT files Batch A batch is a logical group of records that forms a single transfer instruction EFT file Accordingly one single batch can include transfer instructions records that could apply to any one of the four business events mentioned above redemption payments dividend payments broker commission payments or debit orders as of the date on which the effective date the hand off files are to be generated Instruction Type Each of the four business events that will result in transfer instructions being sent to the clearing bureau for debit
164. have successfully retrieved the batch the details of the batch are displayed in the grid portion of the screen The following details are displayed for the batch e Batch ID and description e Process Date and the Effective Date for the batch e count of the number of link settlements for the batch To mark a batch for re export check the Re Export check box in the row corresponding to the batch in the grid e Similarly mark as many batches as required for Re Export e When you have finished choose the Save option from the File menu or click the Save button to save the marked batches Payment Clearing Screen In an exported EFT batch file if the external clearing bureau directs that some settlements must be reconciled in the system you can use the Payment Clearing Detail screen to do this You can invoke this screen by typing UTDPYCLR in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Payment Clearing screen eus ORACLE CO Transaction Number Payment Clearing Detail AMC ID Payment Mode ALL v Level Transaction DateRange Clear All Save Payment Clearing vj Dti Payment Mode Payment Details Transaction Number Fund ID From Clearing Date
165. he files This option is available only if the Segmentation box is unchecked Auto Number Select the option to indicate whether the system should automatically generate sequence number for bulk import The sequence number is automatically generated if you select YES Segmentation In cases where the information is spread over several files check this option to upload all the files Enabled Check this box to enable the interface An interface that is not enabled cannot be processed and all jobs and tasks that are associated with the interface are not executed By default when you define a new interface and save the definition in this screen the interface is created as an enabled interface When you are editing the record of an interface in this screen the only editing that is possible is enabling or disabling it by checking or un checking this box All other fields in the screen are locked in Edit Mode Process per file Select the option to indicate whether the bulk upload file needs to be processed in a sequential manner You can select either Yes or No Auto Import Keystring All import and export tables have a key string column The interface system imports the files into these tables with a specific key string The import wrapper will pick up the records with the same key string and process them This improves the multi user capability of interface system and also allows us to reuse the same header a
166. he immediate next working day using the prevalent price as on that day ORACLE If any errors occur during the processing the error messages are written into a queue corresponding with the details for the transaction obtained from FLEXCUBE If all validations are successful the transaction is saved and authorized and the transaction number is inserted with a success message into a queue corresponding with the details for the transaction obtained from FLEXCUBE While processing the transaction FC IS also inserts the following as default information along with the details from Oracle FLEXCUBE INTERNET BANKING that is necessary for saving the transaction request e Values for the information heads that are not specified by the logged in user in Oracle FLEXCUBE INTERNET BANKING e The value date is deemed by default to be the application date of FC IS If the transaction request is received during the run of the End of Day the default date is treated as the next working date e Based on the transaction currency the unit holder bank account is defaulted The default bank account maintained for the transaction currency is considered e All default information that is necessary for validating or subscription transactions e latest available exchange rate for the transaction e calculation of the clearing date for the transaction based on the options for the fund e Ifthe transaction details are successfully va
167. he list of displayed records in the lower portion of the screen The EFT Setup Detail screen is opened in view mode Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database 2 5 4 Authorizing Record An unauthorized record must be authorized in the system for it to be processed To authorize a record you must first retrieve the same in the EFT Setup Summary screen Invoke the EFT Setup Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option from the drop down list Specify any or all of the details of the record in the corresponding fields on the screen Click Search button All transactions with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The EFT Setup screen is opened in view mode Select Authorize operation from Action list Select the A option in the Auth Reject Status field Then click the Authorize Marked Records button to complete the authorization To mark all retrieved records for authorization en ORACLE 2 5 5 2 5 6 2 5 7 gt Inthe retrieved list specify the value of each transaction in the Transaction Value field gt Click the Mark All for Authorize link gt Click the Authorize
168. he same as that for normal transactions Copying Attributes If you want to create a new record having the same attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the Summary screen or through the F7 F8 operation which are explained in the previous section e Inthe EFT Setup Detail screen click on Copy Action ee ORACLE 2 6 2 7 e Indicate the ID for the new record You can however change the details of the new records if required Marking a Batch for Re Export Once a batch has been authorized it cannot be generated again for the same instruction type for the same date If the data is lost due to any reason or the EFT file is misplaced then you can re export the same batch again The saved data is exported again You can use the Mark EFT Batch for Re Export option in the Operation field in the EFT Batch Maintenance Summary to do this Only batches that have been authorized and subsequently processed at least once can be marked for re export To mark a batch for re export in the EFT Batch Maintenance Summary screen e Select Mark for Re Export in the Operation field e Retrieve the batch that you must re export Specify the appropriate search criteria and retrieve the batch e When you
169. he two components or applications that are on either end of any interface definition Any interface has a sending system that exports data and a receiving system that receives the exported data as an import Specify the interface code that identifies the sending and receiving systems for the interface using the options in the drop down list The interface code is captured for information purposes only The following table displays the different codes and the sending and receiving systems identified for each Interface Code Sending System Receiving System 2 FLEXCUBE Investor Services Operating System Cal FLEXCUBE Securities FLEXCUBE Investor Services 12C FLEXCUBE Investor Services FLEXCUBE Securities F2l Operating System FLEXCUBE Investor Services 12 FLEXCUBE Investor Services FLEXCUBE Investor Services ORACLE SQL String Command Line 2000 Characters Maximum Alphanumeric Mandatory when the Import Export Basis is SQL If you are defining a SQL string or SQL Statement based interface specify the SQL string or command line that is to be executed This field is enabled only if you specify the Import Export Basis as SQL File Specification Required Mandatory Choose Yes if you wish to indicate that file specifications are required Else choose No Split Column This captures details of multiple files that are created for unique set of information and can uniquely identify t
170. hich the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowIndicator Mandatory FCIS will always the pass the value NO SortingCriteriaDetails Mandatory Repetitive SortingCriterionType gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code ForecastBreakdownDetails Mandatory Repetitive ReportParameter gt UserDefined gt Unstructured Outgoing FCIS will pass TXNDIVIDENDBASED as unstructured code ORACLE CashinForecastDetails Mandatory SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Confirmed Cash In breakup for components CashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Confirmed Cash Out breakup for components 3 33 Fund Detailed Confirmed Cash Forecast Report Cancellation The FundDetailedConfirmedCashForecastReportCancellation message is sent by a report provider to a report user This report will be manually generated This message is to cancel a previously sent FundDetailedConfirmedCashForecastReport message The FundDetailedConfirmedCashForecastReportCancellation message must contain the reference of th
171. his message is sent by an intermediary party to an executing party or to another intermediary party The RedemptionBulkOrder message is used to bulk several individual orders into one bulk order The individual orders come from different instructing parties i e account owners but are related to the same financial instrument The RedemptionBulkOrder can result in one single bulk cash settlement or several individual cash settlements This message will typically be used by a party collecting order to bulk those individual orders into one bulk order before sending it to another party This message cannot be used for a single order i e a message containing one order for one financial instrument and for one investment account The RedemptionMultipleOrder message and not the RedemptionBulkOrder message must be used for a single order FCIS will allow the generation of this message in an automated way based on certain event that is triggered in the system or manually 3 13 1 Tags in Message 3 13 1 1 Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This i
172. icular date This date would be the Application Date if invoked automatically or the Effective Price Date if invoked through the screen The following cases are possible e No Funds NAV correction No message would be generated ane ORACLE Case NAV correction available for fund FCIS will group the funds based on previous message reference of the price report and generate that many Price Correction Reports The system will be able to track the previous reference based on the fund and effective date of price which was communicated earlier Those funds for which NAV correction was done in FCIS but which were not communicated in the Price Report message earlier will be skipped This report can be generated manually or automatically PHP ORACLE 3 26 1 Tags in Message 3 26 1 1 PoolReference Optional This is a collective reference to identify set of messages Outgoing This will be a unique reference number generated by FCIS 3 26 1 2 PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be the PoolReference of the original price report that was communicated for the NAV corrected fund 3 26 1 3 PriceCorrectionDetails Mandatory Repetitive This is information related to the correction of a price of a financial instrument FCIS will communicate the previous and current price details only for the funds for which NAV correction has hap
173. ided and the load concerned is percent load then this indicates the overridden value Waiving Details Optional This tag represents the override percentage that the system will apply The value provided in this field will be ignored if Amount or Rate tags are provided since the values provided for those tags represent the final value InstructionBasis Mandatory This tag can have the value WICA However the system will not use this value for any processing and hence will be ignored WaivedRate Optional This field provides the discount percentage This is applicable only for percentage based loads The override is by discount PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered 2al ORACLE Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date PaymentinstrumentChoice Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported If payment instrument details are not provided FCIS would use default bu
174. ieve for authorization You can only amend authorized records e Specify any or all of the details in the corresponding fields on the screen e Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen e Double click the record that you wish to authorize The Job Maintenance Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record e Amend the necessary information and click on Save to save the changes 5 5 2 7 Authorizing Amended Job Maintenance record 5 5 3 An amended Job Maintenance must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions Scheduling Jobs All jobs for scheduling are stored in a static data store and each job is associated with a name indicating where the job has to execute Jobs are created in the Application Server and are scheduled based on this data The job name should be unique across the schedulers available in the system When the application server starts the job details from static data store will get cached These cached jobs will then be scheduled using either the quartz or flux scheduler For example the notification process can be hand
175. ify set of messages Outgoing This will be a unique reference number generated by FCIS 3 30 1 2 PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Outgoing This will be selected by the user 3 31 Fund Detailed Estimated Cash Forecast Report The FundDetailedEstimatedCashForecastReport message is sent by a report provider to a report user This message is used to provide an estimate of the cash incoming and outgoing flows per investment fund sorted by country institution or the criteria defined by the user The message can be used to report on several investment funds These cash incoming and outgoing flows result from for example redemption subscription switch transactions or dividends The details provided here are similar to the Fund Estimated Cash Forecast Report with the breakup based on one of the following Party Country Currency UserDefined 3 127 ORACLE FCIS supports SortingCriteriaT ype gt Unstructured and ForecastBreakdownDetails gt ReportParameter gt UserDefined indicating break up of inflows and outflows for the following e IPO Subscription e Subscription e Redemption e Switch In e Switch Out e IPO Subscription Reversal e Subscription Reversal e Redemption Reversal e Switch In Reversal e Switch Out Reversal e Dividend e Dividend Amendment Inflow e Dividend Amendment Outflow 3 31 1 T
176. ii ine Feb a Pe ae EEE EA T RUE GERE e DE EESE A R EESE 2 3 2 4 1 Generating EFT Batch in this Screen eene nennen trennen ene 2 4 2 4 2 Fields in EFT Setup Screen de anre an tein 2 5 2 4 3 Reports Printed on Saving EFT Batch esee nennen eene enne 2 8 2 5 EFT BATCH MAINTENANCE SUMMARY SCREEN nennen nennen 2 8 2 5 1 Retrieving Batch in EFT Setup Summary 2 9 2 952 Editing Record i d tit erp n e e TE Hd 2 10 2 3 3 Viewing Record ive ER DR erinnerte ii ies 2 11 2 5 4 Authorizing Record oor ern P f PO e URP De ER REC ORE 2 11 2 5 5 Amending Record o ert er eire e P ee RECIPERE 2 12 2 5 6 Authorizing Amended Record te ade dere eite tti dee REPRE IER 2 12 2 5 7 Copying Attrib tes gen peg e le es ae de teet ee Pe b rp ee Ie dtes 2 12 2 06 MARKING A BATCH FOR eene enne 2 13 2 1 PAYMENT CLEARING SCREEN erret eredi be rer tec Y ee dee ee harte ee ERR ERN 2 13 2 7 1 Fields in Payment Clearing Screen eese enne nennen trennen rennen 2 14 2 8 CLEARING SUMMARY SCREEN eee enne trennen enn nenne innen enne 2 15 2 8 1 Retrieving Record in Payment Clearing Summary Screens ee
177. ing FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This will be the Messageldentification number of the original order 3 20 2 2 Messageldentification Optional Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time 3 20 2 3 Choice OrderDetailsReport Mandatory IndividualOrderDetailsReport Mandatory Repetitive If the OrderDetailsReport section is provided in the message FCIS will use the status reported in this section in conjunction with the RelatedReference to set the status of underlying transactions On the other hand if the section IndividualOrderDetailsReport is provided FCIS will use the OrderReference to track the order status Incoming Only status tracking will happen FCIS will not track the reason for rejection if any Outgoing FCIS supports the reporting of the following statuses under IndividualOrderDetailsReport e Status COSE Transaction is allocated in the system e Status PACK Transaction is generated in the system but not allocated ORACLE 3 21 e Cancelled DataSourceScheme Transaction allocation failed and failure reason e Rejected DataSourceScheme T
178. ing this User Manual it is important to understand the typographical conventions used in it General Conventions Convention Type of Information Italic type Functional foreign terms Names of fields on a screen Convention Type of Information Validations for fields on a screen References to related Headings Users Manuals For emphasis Numbered Bullet Step by step procedures 3 This symbol when placed before text indicates a warning or an important note that you should read 1 5 2 Keyboard Conventions 1 6 Convention Type of Information Keys All keys of the keyboard are represented in capital letters For example lt CTRL gt Shortcut All short cut keys are contained in brackets For example lt ALT SHIFT gt keys Glossary of Icons This User Manual may refer to all or some of the following icons Icons Function New Copy Save 2 Delete Unlock Print yw Close n Re open a Reverse amp Roll over Icons Function Hold Authorize m 2 Liquidate Exit Sign off Help Add Delete Hefer the Procedures User Manual for further details about the icons 1 7 Abbreviations and Acronyms The following acronyms and abbreviations are adhered to in this User Manual A
179. ion instructions If FCIS is the receiving party of this message the OrderlnstructionStatusReport or OrderCancellationStatusReport or both will be generated depending upon the individual PreviousReference gt Reference 3 19 1 Tags in Message 3 19 1 1 RequestDetails Mandatory Repetitive This is to identify the order s for which the status is requested Choice OtherReference PreviousReference Mandatory Incoming Outgoing FCIS will support the tag PreviousReference for incoming and outgoing messages did ORACLE 3 20 PreviousReference Reference Mandatory Incoming If the tag IndividualOrderReference is not provided the system will use this reference to identify the transactions for which status message is requested This will be the Messageldentification number of the original bulk multiple cancellation order request Outgoing This will be the individual Messageldentification number selected by the user from the online option IndividualOrderReference Optional Repetitive Incoming If the individual order references are provided the system will generate the reply message corresponding to the transaction number for this order reference Outgoing This will be the OrderReference numbers corresponding to the transactions selected by the user for status request Order Instruction Status Report The OrderlnstructionStatus Report is sent by an executing party to an instructing party Th
180. ional Select the type of the trigger from the drop down list The following options are available e Simple Interval based jobs i e every one hour e Cron Time based jobs i e Friday 4 30PM Scheduler Type Display The system displays Quartz as the scheduler type Priority Alphanumeric Optional Select the priority on which the system should execute the jobs in the scheduler from the drop down list The following options are available e Normal ORACLE e High If two jobs with different priorities fire at the same time then system gives preference to the job with higher priority Message Queue Alphanumeric Conditional Specify the default JMS queue to which a job needs to send message You can specify this only if the job has to send messages to JMS Cron Expression Alphanumeric Mandatory Specify the corresponding Cron expression for a job with trigger type as Cron You need to do this to determine the time and interval of job firing Class or Procedure Alphanumeric Conditional Specify the Java class file name if job type is Java or the PL SQL procedure name if the job type is PL SQL This denotes which java class or pl sql procedure the system should call when a job fires Number of Submissions Alphanumeric Conditional Specify the number of times a job can fire before it is unscheduled from scheduler This applies only to trigger types maintained as Simple Interval Alphan
181. iption Bulk Order etc Specify the Swift Message type to display the message For example Subscription Bulk Order Redemption Bulk Order etc od ORACLE Message Status unprocessed processed repair suppressed or all Specify the status of the message that has to be displayed The status could be unprocessed processed repair suppressed or all Sender Indicate the sender of the message Auth stat Select the authorization status of the messages that you wish to view From Date Specify the date from which the system has to retrieve the messages To Date Specify the date till which the system has to retrieve the messages All messages matching your criteria are displayed in the grid portion of the screen Click on the message that you wish to operate on in the DCN field The Incoming Message Browser screen with the details of the message displayed All messages matching your criteria are displayed in the grid portion of the screen Click Message Details button that you wish to operate on in the DON field A horizontal array of icons is available for you to perform operations on the message You can view the following details e DON e Reference No e Message status e Name e Address Line1 e Address Line 2 e Address Line 3 e Address Line 4 e Message e Sender e Swift Msg Type e Receiver Te ORACLE Location Reject Reason 3 6 3 1 Performing Operations on Message View Click this b
182. ired details click the Query button All transactions with the specified details are retrieved and displayed in the lower portion of the screen You also retrieve the individual record detail from the detail screen by doing query in the following manner e Press F7 e Input the Instruction Type e Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You can also search the record by using combination of and alphanumeric value Example You can search the record for Batch Number by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Instruction Type starts from Alphabet A Ex AGC17 AGVO6 AGC74 and so forth e Search by 7 System will fetch all the records whose Instruction Type ends by numeric value 7 Ex AGC17 GSD267 AGC77 and so forth e Search by 17 System will fetch all the records whose Instruction Type contains the numeric value 17 Ex GSD217 GSD172 AGC17 and so forth Editing Record You can modify the details of a record that you have already entered into the system provided it has not been subsequently authorized You can perform this operation as follows e Invoke the EFT Setup Summary screen from the Browser e Select the status of the transaction that you want to retrieve for modification in the Authorized field You can only modify records of tr
183. is by discount PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based RelatedPartyDetails Optional This is information related to an intermediary ORACLE 3 24 Identification Mandatory FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AO If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name Switch Order Cancellation Instruction The SwitchOrderCancellationInstruction message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SwitchOrderCancellationInstruction message is used to cancel the entire previously sent order message and all the individual legs th
184. is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO iude ORACLE 3 9 3 9 1 3 9 1 1 PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Bulk Order Cancellation Instruction This message is sent by an intermediary party to an executing party or to another intermediary party The SubscriptionBulkOrderCancellationInstruction message is used to cancel a previously sent SubscriptionBulkOrder message or a set of individual orders that it contains There is no amendment but a cancellation and re instruct policy For all incoming bulk order cancellations FCIS will process the reversals based on either the PreviousReference or individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction is reversed before neither transaction will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based
185. is is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be generated against each Messageldentification message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message 3 11 1 4 MultipleExecutionDetails Mandatory OrderDateTime Optional Outgoing This will be mapped to the transaction save time InvestmentAccountDetails Mandatory Identification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag SettlementAmount Optional ORACLE FLEXCUBE would pass settlement amount of the transaction in this tag ORACLE IndividualExecutionDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealRefer
186. it holder in paper form When FC IS receives the account statement request from Oracle FLEXCUBE INTERNET BANKING the required statements are manually generated in FC IS through the Browser component menu If the unit holder ID is not specified as part of the request the statement is generated for all unit holders under the selected CIF account The Inward Query Logging and Action Tracking screens in FC IS can be used to log these requests 7 1 14 IPO Corner After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view all the open IPO s by the AMC The following information as part of fund rules download is displayed against each fund offered as IPO pus ORACLE e Fund ID and ISIN Code e Fund Name e Investment Philosophy e Fund Currency e Par Value e Open Date e Close Date A drill down facility is also available to enable the viewing of fund information by clicking on the fund name The Fund Information is provided by the AMC in the form of an HTML document The AMC creates its own fund page for IPO s The publishing architecture of Oracle FLEXCUBE INTERNET BANKING is used to present this information to the customer 7 1 15 NAV Movement After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can view the NAV movement for all the funds offered by the AMC To view the NAV movement the following information must be specified as inquiry parameter
187. itchOrderConfirmationV03 Switch Order TS ORACLE 4 3 4 Status Updates Status messages are used by Vestima as a means of validating the inbound message process and to provide the status of an order or cancellation order Message Message Name Purpose FCIS Code OrdrinstrStsRpt setr 016 001 03 Order OIS OrderlnstructionStatusReportV03 Instruction Status Report OrdrCxlStsRpt setr 017 001 03 Order OCS OrderCancellationStatusReportV03 Cancellation Status Report The status message is optional in case of positive validations for the inbound message 4 3 5 Securities Rejection If no action is possible on a message received by Vestima for instance if the originator of the message is unknown or a reference not recognized by Vestima has been received in the message then Vestima issues the semt 001 001 03 SecuritiesMessageRejectionV03 which is the Securities Rejection message Te ORACLE 5 Interfaces with External Systems 5 1 Introduction Oracle FLEXCUBE Investor Servicing FCIS provides a facility to effect data exchanges and transfers with external systems You can import exchange rates or NAV from an external system or export transaction and dividend information to any external accounting system The external system may be a file system or an application The data exchange can be effected through an interface with the external system This interface consists of the following components
188. ith a link settlement number e To view the records in detail with the actual transaction numbers and the bank account details click the View Details button The records that make up the batch are displayed transaction wise in the Instruction Details section in the lower portion of the form e Choose the Save option from the File menu or click on the Save button to save the batch Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the EFT Setup Screen es ORACLE 2 4 2 Fields in EFT Setup Screen The EFT Setup Screen depicts the following EFT information Batch Number System Generated Information The Batch Number is a unique identifier that is assigned to each batch that is generated in this screen When you have extracted all the records in this screen the Batch Number is generated when you choose the Save option and the system successfully saves the batch The Batch Number consists of a 20 character number and is generated by the system according to the following logic Characters 1 BN 2 Characters 3 The instruction type DO for debit orders RE for redemption payments BC 4 for broker commission payments and DI for dividend payments Characters 5 The date stamp as yyyymmdd format 12 Characters A running serial number prefixed with zeros 13 20 Instruction Type Alphanumeric Mandatory Select the type of bu
189. l of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to amend The GL Template Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes 5 9 3 7 Authorizing Amended GL Template An amended GL Template must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module The subsequent process of authorization is the same as that for normal transactions 5 9 3 8 Copying Attributes If you want to create a new GL Template with the same attributes of an existing maintenance you can copy the attributes of an existing GL Template to a new one To copy the attributes Retrieve the record whose attributes the new GL Template should inherit You can retrieve the record through the Summary screen or through the F7 F8 operation explained in the previous sections of this chapter Click on Copy Indicate the ID for the new GL Template You can however change the details of the new template 5 9 4 Mapping GL template to fund investment account type combination After authorized templates have been created you can map the relevant t
190. l of the following details in the corresponding fields e status of the record in the Authorizedfield If you choose the Blank Space option then all the transactions are retrieved e status of the record in the Open field If you choose the Blank Space option then all the transactions are retrieved e The code of message reference in the Message Reference Code field e The medium in the Medium field e The ID of the entity to whom the message is sent in the To Entity ID field After you have specified the required details click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen di ORACLE You can also retrieve the individual record detail from the detail screen by doing query in the following manner e Press F7 e Input the Message reference Code e Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operations by selecting from the Action list You can also search the record by using combination of and alphanumeric value Example You can search the record for Message Code by using the combination of and alphanumeric value as follows e Search by A System will fetch all the records whose Message Reference Code starts from Alphabet A Ex AGC17 AGVO6 AGC74 and so forth e Search by 7 System will fetch all the records whose Message Reference Code ends by numeric value 7 Ex AGC
191. lDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based ForeignExchangeDetails Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification diis ORACLE 3 23 If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS Ext
192. led by the job schedulers as follows e When a contract is created in Oracle FLEXCUBE a database level trigger acting on the contract main table inserts details like base table name primary key fields primary key values and branch code into a notification log table and sets the process status of the inserted record as U unprocessed e The scheduled job polls the notification log table for unprocessed records and validates whether notification is required e f notification is not required then the process status is set to N not required in notification log table e f notification is required then notifications are sent to the respective destination and the process status of the record is changed to P Processed in notification log table cd ORACLE 5 5 3 1 Controlling Jobs The details of jobs that are scheduled can be viewed using the Job Details screen In this screen you can pause or resume a job that has been scheduled You can invoke the Job Details screen by typing SMSJOBBR in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button Job Details LBL JOB NAME LBL JOB GROUP LBL TRIGGER STATE LBL NEXT FIRE TIME LBL SCHEDULER Search Advanoed Search Reset Records per page ni 1 of 1 4 g C LBL JOB NAME LBL JOB GROUP LBL_TRIGGER_STATE LBL NEXT FIRE TIME LBL_SCHEDULER LBL PAUSE Resume
193. lidated it is saved as an authorized transaction pending allocation e A valid transaction number Redemption Transactions Sell Transactions Transaction information The unit holder or CIF account holder can initiate a redemption transaction or a sell transaction after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information Redemption transactions are accepted for only scrip less funds for which the ageing policy specified in the fund rules is FIFO First In First Out or certificate option fund having the scrip less characteristic e The unit holder ID under the CIF account for which the transaction is being put through e The ID and ISIN Code of the fund in which the transaction is being requested e The ID of the product mapped to the selected fund in which the transaction is being requested only if applicable e The mode of the transaction amount units or percentage the value of the transaction in the selected mode and the currency for the transaction e processing mode for the transaction either gross or net This is picked up from the Transaction Processing Rules for the selected fund p ORACLE e The mode of payment and sub payment This could be either cheque or transfer If payment is to be made by a self check payment details are optional If payment is to be made through a third party check the following details are to be specified as mandatory information e
194. ling will be consolidated into a single value per day s transactions Similarly Disinvestments and Investment Adjustments Reversals i e Selling and reversal of Buying will be consolidated into a single value per day s transactions Netting of Investments and Disinvestments is not allowed You can report the separate records for the transactions such as Investment Amounts Disinvestment Amounts Disinvestment Units Switches In and Switches Out for the same Manco Fund per day Following points can be used as reference e Disinvestment Amount Amount with a Negative Sign e Investment Amount Amount with a Positive Sign e Reversal of Investment Amount Amount with a Negative Sign e Reversal of Disinvestment Amount Amount with a Positive Sign dac ORACLE e Disinvestment Units Units with a Negative Sign 5 17 2 Message Format Refer to the chapter Appendix B Upload file formats B of this User Manual for details on Message format SM ORACLE 6 1 6 1 1 6 Interface with Oracle FLEXCUBE Retail Oracle FLEXCUBE Retail Interface for CIF Accounts Oracle FLEXCUBE Investor Servicing FC IS interfaces with the Oracle FLEXCUBE Retail FCR system at Oracle FLEXCUBE installation The interface enables the propagation of CIF Customer Information File into the FC IS database for customers that have CIF accounts in the FCR system database as well as the creation of a single initial unit holder account for the CIF
195. lk transaction setup for SWIFT RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOIBEI e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provided the value provided in this field should be a valid Entity Id or Broker Id in the system based on the client country parameter TXNBROKERS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA or AO If none of the above values are specified system will throw exception saying Invalid ExtendedRole uio ORACLE 3 11 Subscription Multiple Order Confirmation This message is sent by an executing party to an instructing party There may be one or more intermediary parties between the executing party and the instructing party The SubscriptionMultipleOrderConfirmation message is sent after the price has been determined to confirm the execution of the individual orders A SubscriptionMultipleOrder can generate more than one SubscriptionMultipleOrderConfirmation message as the valuation cycle of the financial instruments of each individual order may be different When the executing party sends several confirmations there is no specific i
196. llationInstruction message is used to cancel the entire previously sent order message and all the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of the same family of message i e switch redemption or subscription and bulk or multiple as the original order to be cancelled For all incoming multiple order cancellations FCIS will be able to process the reversals based on either the PreviousReference or individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed neither of the transactions will be included in the SWIFT message For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow the generation of this message in an automated way based on a certain event that is triggered in the system or manually 3 12 1 Tags in Message 3 12 1 1 Message Identification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the
197. m Parameters in Volume of the Fund Manager User Manual 3 6 3 Incoming Message Browser Summary Screen You can use the incoming message browser to perform the following functions with respect to an incoming SWIFT message Tem ORACLE e Process that is upload an unprocessed message e Suppress an unprocessed message e Edit an unprocessed message e Delete an unprocessed message e Authorize an edited message e View all or selected unprocessed processed suppressed or repaired messages In order to perform any of these functions you must first retrieve the In message and display it in the Incoming Msg Browser Summary screen You can invoke this screen by typing UTDMSGIN in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button The following screen is invoked Incoming Msg Browser Summary Find Options Incoming Messages Info Swift Message Type E Message Status Sender Authorized From Date To Date DCN Sender Swift Message Type Message Status Receiver Name Reference No Location Reject Reason Address Message Address Line 2 City State Cancel Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Incoming Msg Browser To display the message you can specify any or all of the following details Swift msg type Subscr
198. make changes to a record after authorization Invoke the Interface Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The Interface Maintenance Detail screen is displayed in amendment mode Select Unlock operation from the Action List to amend the record Amend the necessary information and click on Save to save the changes 5 2 7 7 Authorizing Amended Interface Maintenance record An amended Interface Maintenance must be authorized for the amendment to be made effective in the system The authorization of amended records can be done only from Fund Manager Module and Agency Branch module The subsequent process of authorization is the same as that for normal transactions 5 2 7 8 Copying Attributes If you want to create a new Interface Maintenance with the same attributes of an existing maintenance you can copy the attributes of an existing Interface Maintenance to a new one To copy the attributes Retrieve the record whose attributes the new Interface Maintenance should inherit You can retrieve the record through the Summary screen or
199. message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based PaymentinstrumentChoice Optional The payment instruments can be cheque credit transfer direct debit and investment account or payment card FCIS would not support cheque payment card as mode of payment in the current release for outgoing orders However for incoming orders FCIS would support these payment modes and ignore the fields that are not currently supported en ORACLE If payment instrument details are not provided FCIS would use default bulk transaction setup for SWIFT CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date RelatedPartyDetails Optional This is information related to an intermediary Identification Mandatory FCIS supports identification based on the following tags e BICOrBEl e Proprietaryldentification If BIC is provided the system will get either the Broker BIC or the Entity BIC based on the client country parameter TXNBROKERS If Proprietaryldentification is provi
200. mismatch in the OMIPAY data the system will be updated accordingly This interface does not create new brokers instead the existing broker details will be updated 5 14 2 Interface Attributes The attributes present in the Agent Reference File interface are as follows e The upload is triggered during End of Day process e The transport of data occurs through File System e The file type is delimited e The header row consists of column headings separated by commas e The Record separator is New Line Character e The Field separator is a comma 5 14 3 Message Format 5 15 Refer to the chapter Appendix B Upload file formats B of this User Manual for details on Message format Oracle Financial Interface Oracle Financial Interface is an export interface that will be done daily The GL entries posted through out the day will be sent to the external system The Oracle Financial Accounting System interface consolidates the journal postings and produces the accounts All transactions and fees will be recorded in Oracle Financials General Ledger This is an automated process that will run during EOD 5 15 1 Interface Attributes The attributes present in the Oracle Financial interface are as follows dius ORACLE e The upload is triggered during End Of Day process e The transport of data occurs through File System e file type is delimited e There is no header row e The Record separator is New Line
201. n relating to Annuity Income The dispatch and receipt of the information is done on a monthly basis 5 13 1 Interface Workflow FCIS collates tax information across all lines of business every month only for clients with Annuity income This is sent across to an application which checks if the tax payable by the client has been accurately calculated The application then sends the accurate values of tax which will be updated in the designated tables in FCIS There will be no processing of the data imported 5 13 2 Attributes The attributes present in the Tax Aggregation File interface are as follows The interface handles outgoing information from FCIS as a delimited file The upload is manual There is no header row The trailer row is the Control Records The field separator is a comma The records are separated by the New Line Character The incoming information into FCIS is handled the same manner as the outgoing information ad ORACLE 5 13 3 Message Format 5 14 Refer to the chapter Appendix B Upload file formats B of this User Manual Agent Reference File 5 14 1 Introduction The Agent Reference File is an import interface The broker details like Broker Name Broker Type etc are updated in the FCIS using this interface The repository of OMIPAY i e SAP will send a file to the system which includes the broker details These records are compared with the records present in the system If there is any
202. n access all the Scheduler Services from the following menu categories e The Job Maintenance Detail and Summary screens from the Maintenance menu category e The Jobs Summary screens from the Maintenance menu category Defining Jobs A job is a business activity which the system performs repeatedly on timely basis Oracle FLEXCUBE enables you to define a job and schedule it using Job Maintenance screen You can invoke this screen by typing STDJOBMT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button is ORACLE Job Maintenance Job Description Job Details Job Code Cron Expression gt Job Description Class or Procedure Job Group LH Number Of Submissions Job Type v Interval In Seconds Max Number Instances Trigger Listner c Scheduler SchedulerFactory Active Trigger Type v Ds Name Scheduler Type v E Logging Required Priority v L1 Veto Blocked Trigger Message Queue S Startup Mode v Validate Parameter Details Parameter Name Data Type Parameter Value sj Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized You can specify the following fields in this screen Job Code Alphanumeric Mandatory Specify the unique code to identify the
203. n information related to all the orders to be cancelled MultipleOrderDetails Mandatory InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag vem ORACLE BeneficiaryDetails Optional Otherldentification Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided E Example Birth Certificate Identification other than NRIC and Passport would be passed in extended type with code as Identification Type description IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction FinanciallnstrumentDetails Mandatory Identification Mandatory This tag provides details to identify a fu
204. n the data that is being exported or imported File Name Alphanumeric Mandatory Specify the name of the file that will be involved in the data exchange ad ORACLE File Path Alphanumeric Mandatory Specify the path in which the specified file will be found Click the button alongside this field to browse to the desired location Archive Directory Alphanumeric Mandatory Specify a location where the specified file may be stored or archived for future reference after the data is either exported or imported If you do not specify an archive directory the file is deleted from the specified File Path once the interface is processed and the data exchange is done Unique File Name Optional Choose Yes to indicate that when a data import takes place only files that exactly correspond with the specified file name will be imported If you choose No all files that resemble the specified file name will be picked up For example if the specified file name is nav xls and this box is checked only the file nav xls will be picked up If not all files that bear the name nav will be picked up during import During export of the file a unique time stamp is given to the file if you check this box File Type Alphanumeric Mandatory Select the type of file that is being exported or imported ASCII File Format Alphanumeric Mandatory for ASCII file types Specify the format for ASCII files either Fixed or Delimited F
205. nDetails Mandatory Repetitive This is the individual execution of a subscription order OrderReference Mandatory Incoming As this would be the Transaction Number handed off in the original message FCIS will set the Order Status to Confirmed depending on the Order Reference number communicated Outgoing This will be mapped to the incoming OrderReference corresponding to the transaction number that was allotted successfully by FCIS DealReference Mandatory This is a unique number assigned by the confirming party Incoming This number is used for storage Outgoing This would map to the Transaction Number generated by the system corresponding to the Order Reference number SettlementAmount Optional Oracle FLEXCUBE would pass settlement amount of the transaction in this tag InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification ad ORACLE Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt Extendedl
206. ncy or the Transaction Currency Account Number Mandatory Enter the bank account number vee ORACLE Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Payment Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Bank Branch Mandatory Select the bank branch from the option list provided Account Number Mandatory Select the bank account number from the option list provided Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the transaction currency Direct Debit Applicable This field will be disabled for the option Payment Contra Account Details GL SetUp For Mandatory The GL set up may be defined for Payment General Ledger CASA or SAP Indicate the same in this field dd ORACLE Different fields are displayed enabled or disabled depending on what option you choose The same is explained below e CASA e GL e SAP e Payment Depending on wh
207. nd Outgoing FCIS sends out the fund ISIN MR ORACLE 3 19 Choice for Units NetAmount HoldingsRedemptionRate Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units Percentage based transactions will be passed under the HoldingsRedemptionRate tag GrossAmount Optional Outgoing This will map to transaction gross amount in the fund base currency if available ForeignExchangeDetails Optional Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing This will be the Transaction Settlement Date Request for Order Status Report The RequestForOrderStatusReport is sent by an instructing party to the executing party There may be one or
208. nd trailer tables for most of the imports and exports dis ORACLE 5 2 2 Subroutine Name Specify the name of the back end procedure to be called by the system during interface execution It is applicable only if import export basis is procedure Export Data First Select the option to indicate whether the data needs to be exported first You can select either Yes or No File Specifications Section Every interface involves a data exchange that could be of any of the following types e One which involves file exports or imports e One which does not involve file exports or imports i e from an external table to an internal table For a data exchange that involves no file exports or imports the Number of Files will be zero and the file specification tab is not applicable for such exchanges For exchanges that are procedure based or SQL based and involve file exports or imports the Number of Files is more than zero and all tables in the FCIS system that are associated with the specified procedure or SQL string are displayed in the File Specifications screen with each file having a serial File Number You can edit any details except the File Number or add new tables Invoke the File Specifications Screen by clicking File Specification button in the main Interface Detail screen File Specifications Maintenance Fi File Number x No Of Segments Segment identifier Field Occurence Field Length Field Type Segmen
209. ndication in the message that it is an incomplete confirmation Reconciliation must be based on the references A SubscriptionMultipleOrder must in be answered by the SubscriptionMultipleOrderConfirmation message s and in no circumstances by the SubscriptionBulkOrderConfirmation message s For all incoming messages FCIS will be able to set the status of transactions based on the individual OrderReference number For outgoing messages the system will be able to generate the confirmation message only after allocation Transactions will be grouped based on the original Multiple Order Message FCIS will allow generation of this message in an automated way based on a certain event that is triggered in the system or manually 3 11 1 Tags in Message 3 11 1 1 Message Identification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 11 1 2 PoolReference Optional This is a collective reference to identify set of messages Tus ORACLE Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 11 1 3 RelatedReference Mandatory Th
210. ne 2 16 2 8 2 Editing Transactions eee egeret e nete RE Rer ee eee e PI E pe Rent 2 17 2 8 3 Viewing IransactioW osiidii eee cba ted ete io e eee eee rene eed uo e a ED 2 17 2 8 4 Deleting Transaction cccccssccessceenseceseceesceceseceescecesseeescecssceecacecsceeeaaeceseeeesaecseneeesaeceeneeeaaeceeeeeenaeeees 2 17 2 8 5 Authorizing Transaction a i eee dier Ree Le EI EE e eer Rte loe dee Pet Be Elea does 2 18 2 8 6 Amending Transeth onnie ri Ea EE EEKE EEEE EEEE Ea G 2 18 2 8 7 Authorizing Amended Transactions esee esee eee enne nennen nennen eren rennen nete nnne 2 19 2 8 8 Copying Attributes iiie ite e A ives i ode irt de piers e esses Messed eie iae dte ela 2 19 2 8 9 To Clear or Reject Settlement nee ei b d epe ees td tete dae d ete teg 2 19 PROCESSING SWIFT MESSAGES eese eese ee tuse tasse thats tasses tuse tasse toss sn suse 3 1 3 1 INTRODUCGTION nhe ere tet Nri gro bro etra Here eth teta de 3 1 3 2 TRANSACTION WORKFLOW e petere et Pieri iH PIT Ue i eee mte 3 1 3 2 1 Incoming SWIFT Bulk Multiple 3 1 3 2 2 Incoming SWIFT Bulk Order Cancellation 2 eese eene nre eene 3 1 32 3 Outgoing SWIFT Bulk Order Request esses eene nennen trennen eren entren 3 3 3 3 MAINTENANCE FOR PROCESSING SWIFT MESSAGES ccccccccccececececececececesesececesece
211. nemi nnn nnen inneren nnne 3 53 Tagssin Messdge a eite ee RE ROW I Ee HEU ET e te eec dear 3 53 3 12 SUBSCRIPTION MULTIPLE ORDER CANCELLATION INSTRUCTION ceeeeeeeeeneen ene enne eene 3 59 3120 Tags m Message a sae at Re et rH RE ete ete tu reta 3 59 3 13 REDEMPTION BULK ORDER sx oes ederet eter ert a ete eser fee dried enter 3 63 SABA Message seno eU ER e Red ee EHE WE deb te pea det eee 3 63 3 14 REDEMPTION BULK ORDER CONFIRMATION 3 68 BART Message ineo eri Rr ER E e er D UE GI De RR 3 69 3 15 REDEMPTION BULK ORDER CANCELLATION INSTRUCTION ceeeeeeee nennen en nen ener nnne 3 72 Tagsdn Mess ge iso decre ERG P ER ISI DERE GO REO UR E ERU RERO ERR asics 3 73 3 16 REDEMPTION MUETIPLE ORDER THREE EX FEIN SERE Iren IH E REEE Ee 3 76 340 1 TagsdnMMessage isa heo i e ER OU ERU NO ERU Gr RE RR ER RR ERREUR 3 76 3 17 REDEMPTION MULTIPLE ORDER CONFIRMATION ceeeeeeneeeene enne nennen enne enne nre nennen 3 81 Jud TagsdnMMessage isa edt Re E CETERI EEUU Gr RR ER RR EEES 3 82 3 18 REDEMPTION MULTIPLE ORDER CANCELLATION INSTRUCTION ceeeeeeeeenee e en nennen 3 87 SISA Tagsin Message ia cei m D PR e HO RR EEUU ar RR ERR EEE A EESE 3 88 3 19 REQUEST FOR ORDER STATUS REPORT cccecsessssecececeesssaececececeesssaececececeeseauscecceeceeseaeaesececeesenssaeeeeeceenes 3 91 3 191 Tagsin Message ausos iier o noU e
212. ng to the newly reversed transaction 2 ORACLE FinanciallnstrumentDetails Mandatory Identification Mandatory This tag provides details to identify a fund Outgoing FCIS sends out the fund ISIN Choice for Units NetAmount Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units GrossAmount Optional Outgoing This will map to transaction gross amount in the fund base currency if available ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based 5 ORACLE CashSettlementDate Optional Outgoing This will be the Transaction Settlement Date 3 13 Redemption Bulk Order T
213. nsaction 3 22 1 Tags in Message 3 22 1 1 Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund vem ORACLE Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time 3 22 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 22 1 3 Switch Order Details Mandatory This is information related to the switch order OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS InvestmentAccountDetails Mandatory Identification Proprietary Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to OwnerDetails tag to get the identification type and ide
214. nt transaction from the account owner FCIS supports BIC and Proprietary Identification based identification Incoming If BIC is provided the system will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these bank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send uiid ORACLE DirectDebitDetails Mandatory Choice These are the details of the bank where the client has given a mandate to debit the account DebtorAccount Mandatory This tag will be used to identity the bank account of the investor FCIS supports DomesticAccount based identification Incoming The details available for DomesticAccount will be used in conjunction with the element details of the tag Debtor Agent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid for the transaction cu
215. nterface consists of the following components An interface definition that will capture all the information that is needed for processing and affecting the data exchange You can designate all the procedures that need to be called the internal tables that will be inserted into or read from the database objects that will be used the file formats and so on The interface processing modules that will actually process the interface affect the data exchange and create a log of these activities The file access services that will be utilized by the interface processing module for the purpose of affecting the data exchange You can process an interface in one of the following ways As part of the End of Day Procedures you can trigger the processes specified for the interface through a simple dialog screen The system performs the data exchange and flashes a message upon successful completion of the activities You can schedule the interface through the Scheduler Services in FCIS by specifying the Interface ID as a parameter for a task and then schedule the task to be executed as desired as a job as follows 1 Define an interface definition from FCIS to the external system or vice versa The interface definition will be associated with a unique Interface ID 2 Define a task through the Task Maintenance screen and indicate the Interface ID as a parameter to the task 3 Schedule the task by associating it with a time based or event
216. ntification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag m ORACLE Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch From fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN FinanciallnstrumentQuantityChoice Mandatory This is to identify the quantity represented in amount units to switch from a fund FCIS would support the following elements e Units Number gt Unit e NetAmount e HoldingsRedemptionRate PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund a ORACLE Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker
217. o display STARTDATE Start date of Transaction ENDDATE End date of Transaction TXNNUMBER Transaction Number TXNTYPE Transaction Type AMCID AMC Code Refer to the sample XML for a full list of the elements of a request and its response lt gt Txn_Activity_Req x m 7 1 28 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Transactions HANDOFF_TXN gt FCISTXN DTD CID CIF Number FUND_TXN UNITHOLDERID Unit holder ID SERIALNO Running Serial Number TXNNUMBER Transaction Number TXNDATE Transaction Date TXNTYPE Transaction Type FUNDID ID of the fund TXNMODE Transaction Mode TXN_CCY_AMT Transaction Currency Amount TXN_CCY Transaction Currency UNITPRICE Unit Price 7 39 ORACLE UNITSAFFECTED Units RUNNINGTOTAL Current Running Total of Units ISSUEDBAL Issued bal LOIAPPLICABLE LOI Applicable LOAD Fee Tax Amount VATAMT Vat Amount PAYMENTMODE Mode of Payment T Transfer C Cash Q Cheque D Demand Draft SUBPAYMENTMO Sub Mode of Payment DE T Transfer C Cash Q Cheque D Demand Draft CHEQUENUMBER If paid by Cheque the ChequeNumber CHEQUEDATE If paid by Cheque the ChequeDate CLEARINGDATE Payment Clearing Date of Transaction DRAWEEBANKCO If paid by Transfer DE Bank Code T
218. oduct ID e Product Description e Fund ID A fund id will have mapped product Ids also see section on transactions to get details on this Funds into which switch transactions are allowed The funds into which switch transactions are allowed are displayed Transaction Processing Rules information For a fund and transaction type e Allow Gross for Amount Y N e Allow Net for Amount Y N e Allow Gross for Units Y N e Allow Net for Units Y N Viewing Portfolio Details When investors that have unit holder accounts or CIF accounts log in to Oracle FLEXCUBE INTERNET BANKING they can request to view details of their portfolio of investment at a CIF level with details such as the fund wise holdings positions and the consolidated market value The market value is the value of the current holdings in terms of the current NAV and displayed in the preferred transaction currency of the unit holder The following portfolio details are propagated from FC IS for such requests for each unit holder ID and fund e name of the fund and the fund code ISIN Code e Investment Philosophy e holdings as on the current date This includes the total holdings of the investor against each fund including provisional and blocked units e The NAV for the fund as on the current date e The value of the holdings in fund base currency e The value of the holdings in the preferred currency of the unit holder e The units that ha
219. off only those reversals for which SWIFT bulk order was sent earlier Consider the example given below Transaction Number Reversed SWIFT message generated from FCIS Reference SUB1 SWIFT Subscription Bulk Order REF001 SUB2 SWIFT Subscription Bulk Order REF001 SUB3 SWIFT Subscription Multiple Order REF002 SUB4 SWIFT Subscription Multiple Order REFO002 SUB5 No message generated originally The tag Previous Reference will be used to communicate reversals for REF001 only Transactions SUB3 and SUBA which are linked to Multiple Orders will be communicated through the Multiple Order Cancellation message ds ORACLE 3 9 1 4 Order to be Cancelled This is common information related to all the orders to be cancelled BulkOrderDetails Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Outgoing FCIS sends out the fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag Beneficia
220. om executing e ERROR A job trigger arrives at the error state when the scheduler attempts to fire it but cannot due to an error creating and executing its related job Also a job arrives at ERROR state when the associated class for the job is not present in class path Interface with External Asset Management Systems Oracle FLEXCUBE Investor Servicing provides a facility that enables you to effect data exchanges with an external accounting system You can export transaction and dividend information to this accounting system and import the NAV or the NAV per unit from this external system Typically the accounting system is FLEXCUBE Securities You must perform the following in order to configure the system to effect the export or import of accounting system information ues ORACLE 5 7 e the internal FCIS codes with their corresponding codes in the FLEXCUBE Securities System These codes could be accounting system codes or load component codes e Setup the import options for NAV for each fund To configure the system for the interface with FLEXCUBE Securities or any external accounting System use the following screens available in the Browser e Asset Management NAV Import Setup e Accounting System General Ledger Setup e Accounting System Component Setup Accounting System Component Setup You can use this screen in the Fund Manager Browser e the codes in the FCIS system to the corresponding accounting sy
221. om the Action list The system prompts you to confirm the deletion and the record is physically deleted from the system database 5 9 3 5 Authorizing GL Template An unauthorized GL Template must be authorized in the system for it to be processed To authorize a record Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for authorization Typically choose the unauthorized option Specify any or all of the details in the corresponding fields on the screen Click Search button All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen Double click the record that you wish to authorize The GL Template Detail screen is displayed Select Authorize operation from the Action List When a checker authorizes a record details of validation if any that were overridden by the maker of the record during the Save operation are displayed If any of these overrides results in an error the checker must reject the record dis ORACLE 5 9 3 6 Amending GL Template After a GL Template is authorized it can be modified using the Unlock operation from the Action List To make changes to a record after authorization Invoke the GL Template Summary screen from the Browser Select the status of the record that you want to retrieve for authorization You can only amend authorized records Specify any or al
222. oming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag BeneficiaryDetails Optional Otherldentification gt Identification Mandatory Incoming This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType Mandatory Incoming FCIS uses data mapping to find the Unit holder account type Choice for Units NetAmount Holdings Redemption Rate Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field NetAmt is provided the mode of transaction will be Net The value here would be in the currency provided as an attribute of the tag FCIS will give priority to the tag GrossAmount while processing the message If the same is available the transaction will be considered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field NetAmt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmount as well as the tag NetAmt as this is mandatory GrossAmount Optional Incoming If a value is provided in this field the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code pro
223. on Subscriptipn Data FC Connect Validate Subscription Data FCIS Database FINWARE Debit FINWARE Account Save Subscription 5 11 2 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element TRANSACTION Header RRFAA51 xsd idrequest RRFAAS51 Maintained as parameter in FCIS datpost FCIS Date in RRRR MM DD Format referenceno FCIS Transaction Number extsystem S flgrepeat N TRANSACTION txndata RRFAA51 xsd draccountno Customer Bank Account debit Number drnarrative Customer Account Debit custid Customer ID CID eB ORACLE Level Request DTD Field Value Element txndata craccountno AMC Bank Account Number credit crnarrative AMC Account Credit custid AMC Cust ID maintained in Finware and Entity Add Info 1 txndata txnamount Gross Amount of Subscription txncurrcod Currency Code for Transaction Currency 5 11 2 2 Response Element The table below describes the important elements of the response XML Level Response Element Field Description Transaction status returncodestatus Return Status of Finware Procedure 0 means success Errorcode 0 means Success Error Code Errormessage Error Message in case of Error Refer to the
224. on a certain event that is triggered in the system which can be set for the message or manually Tags in Message Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional Applicable for incoming and outgoing message This is the message generation date time Pee ORACLE 3 9 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 9 1 3 Previous Reference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand
225. on payments let us suppose that a certain unit holder A has performed redemption transactions T1 and T2 and that these transactions have been allocated on the date 3 April 2000 Let us suppose that the only bank account to be credited as a result of these transactions is AC1 When you extract redemption payment records for the date gu April 2000 in this screen the system retrieves T1 and T2 When it finds during the process of extraction that both the proceeds of both transactions are to be credited to a single account AC1 it deems both the transactions as a single settlement and assigns a single link settlement number for both these transactions DE ORACLE 2 3 1 2 3 2 2 4 For a single link settlement number all the underlying transactions must be cleared or rejected together Generating EFT Files Typically it is recommended that you perform the generation of an EFT batch file after the End of Day process at the Fund Manager has been preformed by the Operator users You can create and generate the transfer instruction files in the system by using the following procedures in sequence e For the date on which the hand off instruction files are to be generated for sending to the clearing bureau you must extract the records that must appear in these files You can use the EFT Batch Maintenance Detail screen to do this e After you have extracted and saved the batch in the EFT Batch Generation screen authorize it
226. onse Successful Transaction Save in FCIS Successful Success Log in FCIS 5 12 EPU Upload In EPU Upload FCIS receives distribution rates for all non Money Market Funds from an external system The frequency of the upload depends on the frequency of distribution rates declared for each fund 5 12 1 Interface Workflow When a file is received the system processes a record only if there is no previous EPU entry for the fund as on the distribution date and the dividend record is unprocessed If there is an EPU record already existing the system displays an error message Duplicate Record If the system does not find any duplicate records it stores the data in tables and deletes the file 5 12 2 Attributes The attributes present in the EPU upload file interface are as follows e The interface is capable of handling incoming information to FCIS as a delimited file e The upload is during EOD operations e The fields are separated by the delimiter Comma e ORACLE The column headings of the header row are also separated by Comma The records are separated by the New Line Character Outgoing responses are not within the scope of this interface 5 12 3 Message Format Refer the chapter Appendix B Upload file formats B Volume IV of Fund Manager User Manual 5 13 Tax Aggregation Interface The Tax Aggregation Interface facilitates the export and subsequent import of all tax informatio
227. onsidered Gross Outgoing Values of the outgoing message will depend on the transaction mode Net Amount transactions in FCIS will be reported in the field Amt The transaction currency will be passed as tag attribute However if the transaction is Gross the same will be reported under the optional tag GrossAmountindicator as well as the tag Amt as this is mandatory GrossAmountindicator Optional Incoming If the value in this field is true the transaction will be considered as a gross amount transaction The transaction currency would be defaulted to the currency code provided in the attribute Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute ORACLE CommissionDetails Optional This indicates the load corresponding to the commission that is being overridden The Load in the System can be identified using the Load Id or the Recipient information Type gt Extended Type Mandatory Incoming This will map to the Load Id If BIC code the system will find whether the entity is an agent AMC broker or distributor System will select a load with the corresponding To Entity Type Choice for Amount Rate Mandatory Incoming If the Amt is provided and the Load concerned is amount load then this indicates the overridden value However if the field is Rate is prov
228. ord that you have previously input you must retrieve the same in the Job Maintenance Summary screen as follows Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed ha ORACLE 5 5 2 4 Deleting Job Maintenance Record You can delete only unauthorized records in the system To delete a record that you have previously entered Invoke the Job Maintenance Summary screen from the Browser Select the status of the record that you want to retrieve for modification in the Authorized field Specify any or all of the details in the corresponding fields to retrieve the record that is to be modified Click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen Double click the record that you want to modify in the list of displayed records The Job Maintenance Detail screen is displayed Select Delete Operation from the Action list The system prompts you to confirm the deletion and the record is physic
229. orized e Specify any or all of the details of the record in the corresponding fields on the screen All records with the specified details are retrieved and displayed in the lower portion of the Screen e Double click the record that you want to amend The Swift Element UDF Detail screen will be displayed in Amendment mode Click the Unlock operation from the Action list to amend the record e Amend the necessary information Click the Save button to save your changes Select New from the Actions menu in the Application tool bar or click new icon to enter the details of the Swift Element UDF screen Swift Element UDF Detail Swift Element Message Code Message Name Medium Swift Element Details Element Description Group Description Field Choices Client Support User Map Allowed Input by DateTime Mod No Authorized by DateTime Open Exit Authorized or ORACLE 3 5 7 3 5 8 3 5 9 Fields in SWIFT Element UDF Screen The following fields will be displayed Element Description Display The elements of the message code will be displayed here Element Group ID Mandatory Enter the Element Group ID Group Description Display The group description for the element will be displayed here FCIS Field Map Mandatory if you have checked the box Client Support If you have checked the box Client Support for an element select the FCIS UDF that you want to map to the mes
230. ortfolio levels ns ORACLE 7 1 3 e details of bank accounts specified for the unit holder accounts under the CIF account Information from FC IS to Oracle FLEXCUBE INTERNET BANKING When an investor logs in to Oracle FLEXCUBE INTERNET BANKING the following information is available from FC IS facilitated by the data hand off between the two applications Any static data from FC IS is made available through a Bulk Table Upload and the user in FC does not have the choice of selecting the information to be viewed Unit holder account information e Unit Holder ID e Account Statement Frequency and Account Statement Currency e E mail ID Unit holder bank account information e Bank Code e Branch Name e Account Number e Account Type e Account Holder Name e Account Currency e Default Bank Account e Applicability of direct debit on the account e Delivery options and delivery account details Fund rules information e Fund Master details including fund identification information such as ID and ISIN Code e Details of any fund rule e The allowable currencies for transactions in a fund e The types of transactions allowable for a fund e The fund price e The NAV for a fund e Limits for standing instruction transactions in a fund e Settlement cycle for the fund e Restricted customers and customer categories for a fund e Delivery instructions for the fund ps ORACLE e Limit order options for the fund Product ID information e Pr
231. ory Outgoing This will be the allocation price of the Switch From fund CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend Outgoing This will be defaulted to NO PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund Identification Mandatory Outgoing FCIS sends out the fund ISIN for the Switch To fund ORACLE UnitsNumber gt Unit Mandatory Outgoing The allocated units for the switch out leg of the transaction Amount Mandatory This is the net amount of the switch out transaction in the currency requested by the investor Outgoing The system will compute the net amount in transaction currency for transaction getting confirmed TradeDateTime Mandatory This is a choice between Date and DateTime Outgoing Depending on the UDF mapping the Transaction Date Transaction Time will be passed DealingPriceDetails Mandatory This is the price at which order was executed PriceDetails gt ExtendedType Mandatory Outgoing FCIS will support the code OTHR
232. our Digit Year Optional Check this box to indicate that the year format in the date must be four digits Date Time Option Alphanumeric Mandatory Select the date time format that is applicable in the data that is being imported or exported VS ORACLE Column Header on first line Optional Check this box to indicate that column headings must also be picked up in the export or import file typically in an MS Excel Worksheet The Column Specifications button Click the Column Specifications button in the File Specifications screen to specify the column details for the interface file The Column Specifications Maintenance screen is opened in New Mode You can also indicate any or all of the following format specifications for the file in the File Specifications grid e Field and String Delimiters e Date Format e Decimal Symbol e Digit Grouping Symbol e Date and Time Delimiters The default values for these specifications are given below Format Allowable Default Specification Field Delimiter Comma colon semi colon space tab null Space String Delimiter Single and double quotation marks null Null Date Format DMONY DMY MDY YMD Registry Setting Registry Setting Date Delimiter Hyphen comma space forward slash Registry Registry Setting Setting Decimal Symbol Comma space null period Registry Setting Registry Setting Digit Grouping Comma period space null Registry S
233. ovides you with the facility of scheduling internal activities and having them executed as pre programmed proceedings by the system In the system the Scheduler component facilitates such proceedings Typically you can schedule any activity through the Scheduler Services Some of these activities may be frequently occurring or recurrent activities some activities may need to be initiated on demand and some may be one time activities To schedule activities using this Scheduler Service you must e Designate each activity process or programmed executable unit that must be run as a task in the system e Define the objects that are to be run for the task to be completed and also specify the required parameters for the object to be run e Schedule each defined task to be run at a desired frequency either a time based frequency or an event based frequency e Authorize the job You may schedule jobs at a time based frequency simple or cron or you may require them to be executed every time a business event occurs in the system Accordingly an event is an occurrence of a business proceeding in the system such as allocation or dividend declaration or the End of Day procedures All business proceedings in the system that must be designated as events are pre defined according to the requirements at each installation by the implementers No new definitions of events are possible after this At the Security Management component you ca
234. pened PreviouslySentPriceDetails Mandatory These would be the price details before NAV correction FCIS tracks the history of price changes which would be used to pass this information using Fund ID and Effective Price Date combination Identification Mandatory Outgoing This will be the original identification ValuationDateTime Optional This is the date and time of the price valuation for the investment fund fund class Outgoing This will be the effective date of the fund price and will be passed under the tag ValuationDateTime gt Date oe ORACLE TradeDateTime Optional This is the date and time at which price is applied according to the terms stated in the prospects Outgoing This will be the effective date of the fund price and will be passed under the tag TradeDateTime Date FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ValuationCycle Mandatory This specifies how the price valuation timing is done based on the timeline defined in the prospectus FCIS will always communicate the value USUA Usual as the code to indicate that price valuation is done within the timeframe specified in the prospectus Suspendedindicator Mandatory This indicates whether the valuation of the investment fund class is suspended FCIS will always the pass the value NO PriceDetails Mandatory
235. plication tool bar or click new icon to enter the details of the Swift message setup maintenance 3 3 1 Fields in Swift Message Setup Maintenance Screen 3 3 1 1 Swift Details Section Swift Details displays the following fields a ORACLE Message Reference Code Mandatory Enter a unique reference number for the message Medium Mandatory Select the option In to indicate the message will be an incoming message Select the option Out to indicate the message is an outgoing message Certain other fields will be displayed in this screen depending on the option you select against the field Message Type Message Code Mandatory Select the message code from the drop down list Certain other fields will be displayed in this screen depending on the option you select against the field Message Code Trigger Mandatory The trigger for generating the message may be an event manual or both Select the appropriate option Event Code Mandatory if the Trigger is Event and Both Select the event upon which the message should be generated o This field will be e Enabled only if you have selected the option Event or Both against the field Trigger e Displayed only if the Message Type is OUT To Entity Type Mandatory Select the Entity Type for which the message will be generated For all Message Codes other than Price Report messages the option AMC will be displaye
236. process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful change an appropriate message is inserted along with original details 7 1 17 Entering Modifying and Deleting Bank Account Details After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter bank details for the account or effect changes to any previously entered bank details of the unit holder profile e The Unit Holder ID e Bank Name e Branch Name e Account Type e Account Number e Account Currency e Account Holder Name e Applicability of direct debit on the account ORACLE On receiving new bank details modified bank details or a request for deletion of bank details FC IS performs an amendment information change to the bank details of the unit holder profile based on the operation type either New Modify or Delete This change is saved as an unauthorized change If there are any errors that occur during the process an appropriate error message is inserted into queue along with the original details sent from FLEXCUBE If not i e in case of a successful addition or change an appropriate message is inserted along with original details 7 1 18 Income Distribution Profile After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can enter income distribution options for the account or effect
237. product type of the product maintained in FCIS Type Surname Character The Last Name of the unit holder involved in the transaction Date of birth Number 8 Unit holder s Date of birth in YYYYMMDD format Account Reference Character The transaction number Number Date Number 8 Transaction date in YYYYMMDD format is ORACLE ORACLE Interface April 2012 Version 12 0 Oracle Corporation World Headquarters 500 Oracle Parkway Redwood Shores CA 94065 U S A Worldwide Inquiries Phone 1 650 506 7000 Fax 1 650 506 7200 www oracle com financial_services Copyright 2012 Oracle Financial Services Software Limited All rights reserved No part of this work may be reproduced stored in a retrieval system adopted or transmitted in any form or by any means electronic mechanical photographic graphic optic recording or otherwise translated in any language or computer language without the prior written permission of Oracle Financial Services Software Limited Due care has been taken to make this document and accompanying software package as accurate as possible However Oracle Financial Services Software Limited makes no representation or warranties with respect to the contents hereof and shall not be responsible for any loss or damage caused to the user by the direct or indirect use of this document and the accompanying Software System Furthermore Oracle Financial Services Software Limited rese
238. ption to key in the Effective Date for which the Price Report should be generated If the price is not provided the latest price would be picked up FCIS will provide the latest NAV details if auto generated for the funds through this report 3 25 1 Tags in Message 3 25 1 1 PoolReference Optional This is a collective reference to identify set of messages 8 ORACLE Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 25 1 2 PriceValuationDetails Mandatory Repetitive This is information related to the price valuation of a financial instrument Identification Mandatory Outgoing Unique number generated by FCIS for every instance of Fund Price getting reported ValuationDateTime Optional This is the date and time of the price valuation for the investment fund fund class Outgoing This will be the effective date of the fund price and will be passed under the tag ValuationDateTime gt Date TradeDateTime Optional This is the date and time at which price is applied according to the terms stated in the prospects Outgoing This will be the effective date of the fund price and will be passed under the tag TradeDateTime gt Date FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out
239. r Enter the CIF number from the LOV To Entity Type Mandatory Select the Entity Type for which the message will be generated To Entity ID Mandatory Select the entity for which the message is applicable From Date Enter the From date that marks the beginning of the period for which the Manual Message generates To Date Mandatory Enter the To date that marks the end of the period for which the Manual Message generates It is mandatory that you specify the Message Code as a search criterion Once you specify the same you have the option of entering the Message Reference Code of the message you want to manually generate Swift Message Code Details Once you specify the search criteria click Ok button The records matching your search criteria will be displayed Swift Message Code Fi Message Reference Code x Message Name x To Entity Type To Entity ID Select o ORACLE Check the option Select along a message record to indicate the message should be manually generated The following swift message code details will be displayed e Message Reference Code e Message Name e To Entity Type e To Entity ID Swift Report Log Swift Report Log Original Reference Number From Entity Type From Entity ID To Entity Type To Entity ID Select Report Details Report Details Select Check the option
240. r Product Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Account Number Mandatory Enter the bank account number Payment Contra Entity Mandatory Select the counterparty initiating entity It could be Unit Holder Distributor AMC Fund or Product mu ORACLE 5 9 3 Contra Accounting Currency Mandatory Select the accounting currency for the counterparty entity from the option list provided It could be the Fund Base Currency the Transaction Currency or the Product Base Currency Contra Bank Branch Select the bank branch from the option list provided Contra Account Number Mandatory Enter the bank account number Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency Direct Debit Applicable This field will be disabled for the option Payment GL Template Summary screen Invoke the GL Template Summary screen by typing UTSGLTMP in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button us ORACLE GL Template Summary Authorized Open Template ID Business Event
241. r Transaction Date Clearing Date Clearing Status Clearer o Clearing Level Authorized Record St 2 8 1 Retrieving Record in Payment Clearing Summary Screens You can retrieve a previously entered transaction in the Summary screen as follows e Inthe browser select Payment Clearing screen and click on Summary specify any or all of the following details in the corresponding fields gt The status of the transaction in the Authorized field If you choose the Blank Space option then all transactions are retrieved gt status of the Transaction in the Record Status field If you choose the Blank Space option then all transactions are retrieved The number of the transaction in the Transaction Number field The dates of the transaction in the Transaction Date field gt The date of clearing in the Clearing Date field gt status of clearing in the Clearing Status field gt The ID of the clearer in the ClearerID field After you have specified the required details click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen You can also retrieve the individual record detail from the detail screen by doing query in the following manner e Press F7 e Input the Transaction Number e Press F8 You can perform Edit Delete Amend Authorize Reverse Confirm operation by selecting from the Action list You
242. r every transaction that has been cancelled as a result of the cancellation instruction 3 21 1 Message Structure The following is the structure of the message ORACLE Status Initiator Completed Sent to Next Party Pending Cancellation Rejected Reasons for Rejected Status Diagram to illustrate the current message structure 3 21 2 Tags in Message 3 21 2 1 Choice OtherReference RelatedReference FCIS supports both repetitive tags to pass the related reference and the order reference Reference Iteration 1 Mandatory Incoming FCIS will support the tag PreviousReference gt Reference communicated the message Request For Order Status This number will be used to set the status of underlying transactions if the individual order details are not reported Outgoing FCIS will support the tag PreviousReference gt Reference communicated in the message Request For Order Status This will be the Messageldentification number of the original cancellation order Reference Iteration 2 Mandatory Incoming The status of individual order references is communicated to FCIS in the second iteration The status will be tracked for the transaction generated by the system corresponding to this reference number Outgoing This is the Order Reference number corresponding to the transaction number for which the status is getting reported ud ORACLE 3 21 2 2 CancellationSta
243. r message is used to redeem different financial instruments from the same investment account It can result in one single bulk cash settlement or several individual cash settlements This message can also be used for single orders i e a message containing one order for one financial instrument and related to one investment account The RedemptionMultipleOrder message and not the RedemptionBulkOrder message must be used for a single order FCIS would allow generation of this message in an automated way based on an event or manually The grouping of multiple orders is driven by the investment account and not the fund as in a bulk order message 3 16 1 Tags in Message ud ORACLE 3 16 1 1 Master Identification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 16 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 16 1 3 Multiple Order Details Mandatory InvestmentAccountDetails Mandatory This is the account impacted by an inve
244. r which you are specifying the column details in this screen All the columns that are found in the specified table are displayed in the grid in this screen with their details Making changes to any of these details will result in a corresponding change in the output data If you delete a particular row in the grid then that column will not appear in the output data Field Length Alphanumeric Mandatory The number of allowable characters that the field or column can contain is displayed here You can alter this length Column Heading The heading of the column or field in the table is displayed here You can alter the heading Column Sequence Mandatory The Interface system allows you to maintain the sequence of fields in the export and import tables This lets you reuse common tables for header and trailers The import or export file need not be in the same sequence as the fields of the tables created for them Select Mandatory Select Yes or No from the drop down list 5 2 7 Interface Maintenance Summary Screen You can perform the following operations in the Interface Maintenance Summary screen dum ORACLE 5 2 7 1 Retrieving Record in Interface Maintenance Summary Screen You can retrieve a previously entered record in the Summary Screen as follows Invoke the FCIS Interface Maintenance Summary screen by typing UTSIFAC in the field at the top right corner of the Application tool bar and clicking on the adjoining
245. ransaction generation failed and failure reason e Suspended NoReason NORE OrderReference Mandatory Incoming FCIS will track the status for the transaction number generated corresponding to this order reference Outgoing This is the Order Reference number corresponding to the transaction number for which status is getting reported Order Cancellation Status Report The OrderCancellationStatusReport is sent by an executing party to the instructing party There may be one or more intermediary parties between the executing party and the instructing party The OrderCancellationStatusReport message is used to report the status of an order cancellation instruction message that was previously sent by the instructing party The message can be used to report that the cancellation has either been acted upon or has been rejected Incoming FCIS will receive the Order Cancellation Status Report in response to the Request For Order Status if the PreviousReference tag has reference to the order cancellation message This information would be used to set the status of individual orders Outgoing FCIS will generate the Order Cancellation Status Report in response to the Request For Order Status message received provided the Messageldentification number communicated to FCIS in the PreviousReference tag relates to bulk multiple or switch order cancellation FCIS will generate one cancellation status message fo
246. rate the confirmation message only after allocation Transactions will be grouped based on the original Multiple Order Message FCIS will allow generation of this message in an automated way based on certain event that is triggered in the system or manually 3 17 1 Tags in Message 3 17 1 1 Messageldentification Optional This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This is the message generation date time 3 17 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages wee ORACLE 3 17 1 3 RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message The confirmation messages will be generated against each Masterre
247. reference number to multiple messages 3 24 1 3 PreviousReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message FCIS will always communicate cancellations through CancellationByOrderDetails gt SwitchOrderDetails gt OrderReference 3 24 1 4 Order to be Cancelled This is common information related to all the orders to be cancelled FOY ORACLE SwitchOrderDetails Mandatory OrderReference Mandatory Incoming The system will internally trigger a transaction reversal based on the transaction number logged earlier corresponding to this order reference Outgoing This will be the Transaction Number of original transaction corresponding to the newly reversed transaction InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Outgoing The system uses the relevant UDF mapping for this tag Redemption Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the Switch From fund ISIN PhysicalDeliveryIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Ou
248. rency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Bank Branch Mandatory Select the bank branch from the option list provided Account Number Mandatory Select the bank account number from the option list provided Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency d ORACLE Direct Debit This field will be disabled for the option CASA GL Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Currency or the Transaction Currency Account Number Mandatory Enter the bank account number Transaction Currency Mandatory This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency If you choose the option Transaction Currency you can choose the Transaction Currency SAP Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting currency for the primary entity from the option list provided It could be the Fund Base Curre
249. reviously entered you must retrieve the same in the Swift Message Setup Summary screen as follows e Invoke the Swift Message Setup Screen from the Browser e Select the status of the record that you want to retrieve for viewing in the Authorized field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed transactions in the lower portion of the screen The Swift Message Setup Detail screen is opened in view mode 3 4 4 Deleting SWIFT Records You can delete only unauthorized transactions in the system To delete a record that you have previously entered you must retrieve the same in the Swift Message Setup Summary screen as follows e Invoke the Swift Message Setup Summary screen from the browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in th
250. roduct level or not from the drop down list You can maintain a GL Setup for more than one currency This is done by choosing the option All Currency against the field GL Currency This allows you to maintain one GL for transactions carried out by the customer in different currencies There will be a currency wise posting in the GL Component Account Details Component Id Mandatory Select the component ids of the components that must appear as entries in the general ledger sub accounts of the selected funds for the selected business event All the loads that have been defined in the system will be included in the drop down list You can also select the option VAT Component Description Mandatory The description of the component id that you have selected will be displayed Debit Credit Mandatory Indicate whether the entries arising due to the selected business event are to be deemed as positive debit entries or negative credit entries in the general ledger iss ORACLE Primary Account Details GL SetUp For Mandatory The GL set up may be defined for Payment General Ledger CASA or SAP Indicate the same in this field Different fields are displayed enabled or disabled depending on what option you choose The same is explained below CASA Entity Mandatory Select the primary initiating entity It could be Unit Holder Distributor AMC or Fund Accounting Currency Mandatory Select the accounting cur
251. rrency If not these account details will be considered as third party payment details Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag Debtor Identification Mandatory This tag will be used to identity the bank account of the investor FCIS supports DomesticAccount based identification Debtor Agent Mandatory This is used to identify the bank of the investor FCIS supports BIC and Proprietary Identification based identification Incoming If BIC is provided the system will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these bank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send em ORACLE 3 8 Cash AccountDetails Mandatory Choice Accountldentification Propriet
252. rves the right to alter modify or otherwise change in any manner the content hereof without obligation of Oracle Financial Services Software Limited to notify any person of such revision or changes All company and product names are trademarks of the respective companies with which they are associated
253. ryDetails Optional Otherldentification gt Identification Mandatory Outgoing This would map to the Identification Number of the Unit holder Otherldentification gt IdentificationType oe ORACLE Mandatory Outgoing FCIS supports the Passport Number and NRIC as Identification Types If the Unit Holder is identified differently the value OTHR would be passed with the description in the tag Additionallnformation Otherldentification gt ExtendedldentificationType Optional If structured type is OTHR the description of identification would be provided For example Birth Certificate Choice for Units NetAmount Mandatory Outgoing Irrespective of the GrossOrNet indicator amount transactions in FCIS will be reported in the field NetAmt However if the transaction is Gross the same will be additionally reported under the tag GrossAmount Unit based transactions will be passed under the tag Units GrossAmount Optional This is the gross amount invested in the fund Outgoing This will map to transaction gross amount in the fund base currency if available ForeignExchangeDetails Optional This is information related to currency exchange or conversion Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e Quot
254. s In the FC IS system you can create transfer instructions to be sent to the clearing bank of the AMC from where transfers can be effected to the unit holder bank accounts for the following business events e Redemption Payments For all the payments that need to be effected through transfer to unit holder bank account due to redemption transactions on any given date you can generate an EFT file in the system with all the relevant transfer instruction data and the amounts This file can then be exported to the clearing bank of the AMC e Dividend Payments For all dividend payments that must be effected through transfer to unit holder bank accounts on a given date an EFT file can be generated that contains all the relevant transfer instruction data and the amounts This file can then be manually transmitted to the clearing bank of the AMC that will actually effect the transfers e Broker Commission Payments For all payments through transfer to an agent or broker bank accounts due to commission accrual on any given date an EFT file can be generated that contains the transfer details and the amounts This file can be exported to the clearing bank of the AMC You can also create transfer instructions to an external clearing bureau for the purpose of debiting the relevant unit holder accounts in the case of debit orders A hand off file can be generated with the transfer instruction information that can be sent to an external clearing bureau t
255. s e ID and ISIN Code of the fund e The date range within which the NAV movement is required to be viewed The following information is displayed e Date of NAV Sent by FC IS upon receiving the request e NAV Sent by FC IS upon receiving the request e Percentage Change Computed by Oracle FLEXCUBE INTERNET BANKING e Previous NAV date 7 1 16 Update Profile After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can effect changes to the following details of the unit holder profile e Correspondence or Alternate address gt Permanent Address gt Address Street House no etc gt City gt State ORACLE gt Country gt Postal Code gt Phone Number gt Fax Number gt Mailing Address gt Address Street House no etc gt City gt State gt Country gt Postal Code gt Phone Number gt E Mail ID e SWIFT Address e Preferred Account statement Currency On receiving the profile change request with the changed information FC IS updates the address details for the specified unit holder ID and saves the account record as an unauthorized one with the changed information The changed record must be manually authorized If the change is effected at a CIF level the change request is sent to the or FCR Systems as applicable If it is at unit holder ID level the change request is sent to FC IS If there are any errors that occur during the
256. s tag corresponds to the sum of all the loads other than the load mentioned in the CommissionGeneralDetails tag TotalAmountofCharges Optional Outgoing FCIS sends out the sum f all the loads other than the load mentioned in the CommissionGeneralDetails tag ChargeDetails Type gt Unstructured or Recipientidentification BICOrBEI Mandatory Outgoing This would map to the Identification Number of the Load If BIC is provided this would map to the corresponding entity s BIC Amount Mandatory Outgoing The load amount in terms of the fund base currency PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based RelatedPartyDetails Optional This is information related to an intermediary Identification gt Proprietary gt Identification Mandatory Outgoing Identification of the agent agency branch AO or IFA as maintained in FCIS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or 198 ORACLE 3 12 Subscription Multiple Order Cancellation Instruction This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SubscriptionMultipleOrderCance
257. s the message generation date time ave ORACLE 3 13 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 13 1 3 Bulk Order Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS xl ORACLE InvestmentAccountDetails Mandatory Accountldentification gt Proprietary gt Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to OwnerDetails tag to get the identification type and identification number Inc
258. sage element User Map Allowed Display If this box is checked it means a user will be allowed to specify the UDF mapping for the elements of a message If this box is not checked the user will not be allowed to specify a UDF mapping Authorizing Amended Records An amended record must be authorized for the amendment to be made effective in the system Authorization of amended records can only be done from Fund Manager Module and Agency branch Module Copying Attributes of Record If you want to create a new record having the same attributes of an existing record you can copy the attributes of the existing record to the new record To copy the attributes of an existing record to a new record e Retrieve the record whose attributes the new record should inherit You can retrieve the record through the SWIFT ELEMENT UDF Summary screen or through the F7 F8 operation which are explained in the previous section uis ORACLE e Inthe SWIFT ELEMENT UDF Detail screen click on Copy Action e Indicate the ID for the new record You can however change the details of the new records if required 3 6 Generating Message Manually The Manual Message Generation screen helps you locate and retrieve the messages you want to manually generate from the database Specify any or all of the details corresponding to the message you want to retrieve the system uses your specifications to as search criteria to query the database and retrieve the
259. scription and bulk or multiple as the original order to be cancelled For all incoming multiple order cancellations FCIS will be able to process the reversals based on either the PreviousReference or the individual OrderReference For outgoing cancellation messages FCIS will communicate the details of original transaction and not the newly reversed transaction provided the original transaction was handed off to SWIFT If a transaction has been reversed before neither of the transactions will be included in the SWIFT message ORACLE For outgoing messages FCIS will always provide the reference of the original message and group cancellations if multiple transactions of the same batch have been reversed FCIS will allow generation of this message in an automated way based on certain event that is triggered in the system or manually 3 18 1 Tags in Message 3 18 1 1 Messageldentification Mandatory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund Creation Date Time Optional This is applicable for incoming and outgoing message This is the message generation date time 3 18 1 2 PoolReference Optional This is a collective reference to identify set of messages Re
260. sed only next working day The information details specified are accepted in XML format and written into Queue Therefore FC IS will accept inquiry requests irrespective of End of Day Beginning of Day statuses Transactions are accepted when an AMC is up for operations as well as during the FC IS End of Day cycle i e FC IS is offline During the End of Day then transactions are accepted but a message indicating the End of Day cycle is displayed After the FC IS system completes its End of Day process the queue for any transaction update requests from Oracle FLEXCUBE INTERNET BANKING is read and the requests are processed one by one 7 1 22 Search Based on AMC When investors log in to Oracle FLEXCUBE INTERNET BANKING they can request to view details of funds pertaining to a particular AMC On selecting an AMC information related to all the funds offered by the AMC is displayed Order status Customer dividend information fund NAV fund dividend information holding statement etc are some of the parameters that can be queried based on AMC 7 1 22 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Unitholders QUERY UH FCISUH DTD SCODE Identifies the external System that is sending the request For ORACLE example HDFC XREF Running Serial
261. seseceseseseeesssesessssseeeeeeaes 3 3 3 3 1 Fields in Swift Message Setup Maintenance Screen eese eene 3 4 3 4 SWIFT MESSAGE SETUP SUMMARY SCREEN enne enn nre e nrenn innere 3 7 3 4 1 Retrieving Record in Swift Message Setup Summary Screens essere 3 8 3 4 2 Editing SWIFT Records eeu p ere e re RE E Re Spe Ue eR HE Enana Sa 3 9 3 4 3 Viewing SWIFT eer etr eet t e ERE P HR RE aeoe oE Ea Net nin eigens 3 9 3 4 4 Deleting SWIFT Records ete er ete E tO REESE RUE EIER ot e pei eri ege peas 3 10 3 4 5 Authorizing SWIFT Records ette t Pe t tt ee ERR RE ren EP SEE ERR RU RET 3 10 3 4 6 Amending SWIFT Records RH Ee E PR PREISE SURE 3 1 3 4 7 Authorizing Amended Records eese esee trente entretenir entente 3 11 3 4 8 Copying 5 riire ea E E EE E EAE EE aE A ESEE E OEKE UEa eRe EKS Eaa Oi 3 11 3 5 SETTING UP UDFS FOR SWIFT ELEMENTS eee een n enn nnne nennen 3 11 3 5 4 Retrieving Record in SWIFT ELEMENT UDF Summary Screens eese 3 12 3 5 2 Editing RECOV iu usps ete En rU teen ete Dee yo EL Dia eb eris e ERT 3 13 3 5 3 Viewing x 3 13 3 5 4 Deleting Recorded eee e e esaet RE EU De te ves ette 3 14 3 5 5 Authorizing Record e Re aa e o ee e ERO eere 3 14 3 5 6 Amending Record ege ea OUO dah 3 15 3 5 7 Fields in SWIFT Element UDF Screen
262. siness event that results in the EFT file transfer to the external bureau in the form of this batch The records that will be extracted by the system in this screen will be filtered according to the instruction type that you specify here Instruction Type Description When you select the instruction type the description for the respective instruction type is displayed The following types are available e Debit Orders e Redemption Payouts e Dividend Payouts e Broker Commission Payouts e NPI Payments to Trust For instance if you specify the instruction type as Redemption Payouts the system will retrieve only records of redemption transactions that have been allocated on the specified date ew ORACLE The drop down list in this field contains all the instruction types that have been identified for the AMC and the interface The instruction types are set up in the system by the implementers at installation time Instruction Medium Display Only The instruction medium is the method using which the interfacing with the external entity is achieved Therefore the medium could be an automated clearing bureau an electronic funds transfer a SWIFT interface and so on Taking a typical example if the generated transfer instruction files are exported to an external clearing bank they may need to be exported through an electronic funds transfer In this case the instruction medium would be EFT or electronic funds transfer At the tim
263. sociated with the customer account the joint unit holder details can be viewed in the welcome screen in addition to the primary account holder and mutual fund balance Details of the nominees can also be viewed upon request 7 1 23 1 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Unitholders QUERY UH FCISUH DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETUHBENEFICIARY REQUESTDATE RRRRMMDD CID CIF Number UNITHOLDERID Unit holder ID Optional JOINTORNOMINEE If N then Nominee only if J then Joint UH If NULL then both Refer to the sample XML for a full list of the elements of a request and its response 2 GETUHBENEFICIARY Req xm 7 1 23 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value dos ORACLE Element Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ERRDESC Error Description HANDOFF UH FCISUH DTD UNITHOLDERID Unit holder ID UHBENEFICIARY BENEFICIARYID The Beneficiary ID BENEFICIARYTYPE J1 and J2 for first and second Joint unit holders N1 N2 for first and second Nominees respectively BENEFICIARYNAME Name of the beneficiar
264. specify here must already have been processed in the system e For debit orders the date you specify here must be the date of generation of the standing instructions transaction Therefore it must always be a future date Therefore for redemption payments broker commission payments and dividend payments the date you specify here can be a past date subject to the conditions mentioned above Process Date The application date is displayed here This is the date on which the batch record is saved in this Screen Agent Code Select the agent code from the option list Unit Holder ID Select the ID of the respective unit holder from the option list Batch Description 30 Characters Maximum Alphanumeric Mandatory Give a brief narrative description for the batch Net Amount The net amount involved in the transaction is displayed here Held Back Payments Select Yes or No to specify whether any payments are held back or not Broker Code Enter the broker code Held From Enter from when the payment is held back Actual Transaction Number The number of the allotted transaction in the system that has been extracted for this batch is displayed here et ORACLE 2 4 3 2 5 For dividend payments and commission payments it is the corresponding payment number For redemption transactions it is the actual redemption transaction number in the system For debit orders it is the actual system generated Standing Instructions
265. sssesoss 5 1 5 1 INTRODUCTION E EE RUP RP A E E E a 5 1 32 SETTING UP AND MAINTAINING INTERFACES 5 2 5 2 1 Fields in Interface Maintenance Screen esses eene nennen rennen enne ene nnnee 5 3 3 2 2 File Specifications Section e me ERROR ER RR RE aisee ea eh Pe Pr 5 6 23 2 3 ParametersSection se ere P e eee eire ate iecore Gees 5 10 5 2 4 Fund s Selection Section esses esee esee 5 10 5 2 5 Specifying Column Details for Interface File esee enne 5 11 5 2 6 Column Specifications Maintenance Fields eese nennen nre 5 12 3 27 Interface Maintenance Summary Screen eese eee nennen nennen eren enne ene 5 12 5 3 ONLINE EXECUTION OF INTERFACES ran iE E EE 5 17 54 RE EXPORTINGDATA poete eim eei 5 18 5 5 SCHEDULER SERVICES eiit rent tsi et iter tesi nete totes eive nie 5 19 5 5 1 Defining Jobs ev eie ee p t aire ot OR EP RU ER re dep pea 5 19 5 5 2 Job Maintenance Summary Screen eese eene enne nren nennen trennen ene 5 23 5 5 3 Sched ling obs e Pao PUER M e a FEE P Re RUER 5 27 5 6 INTERFACE WITH EXTERNAL ASSET MANAGEMENT SYSTEMS seeeeeeee eee eee en enne 5 29 5 7 ACCOUNTING SYSTEM COMPONENT SETUP eese eene ESE
266. stem codes in the FLEXCUBE Securities system e Edit existing mappings e Delete mappings e Add new mappings You can invoke the Accounting System Component Setup Detail screen by typing UTDACSYC in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button Accounting System Component Setup Detail Accounting System Component Mapping FCIS Code Net Div v Account System Component Details AMC Code x Transaction Type Description Subscription x Input by DateTime Mod No Authorized by DateTime Open Cancel Authorized Sed ORACLE 5 7 1 Fields in Accounting System Component Setup screen 5 8 When you open this screen all the codes that have already been mapped are displayed FCIS Code Alphanumeric Mandatory Select the FCIS code that must be mapped to an accounting system code in FLEXCUBE Securities from the drop down list Transaction Type Alphanumeric Optional Select the transaction type pertaining to the selected FCIS code from the drop down list If you do not select a transaction type in this field then it is reckoned that the mapping will apply to all transaction types Description Alphanumeric Optional Describe the accounting system code in a few words Asset Management Import NAV Setup You can use this screen in the Administration menu category of the Fund Manager component to e Set up the options
267. stem will get the relevant bank information if available FCIS will use the Bank Code Account Number and Transaction Currency to get the banking details for the Unit Holder If Proprietaryldentification is provided the UDF mapping for the field will be used to determine the bank This will be a set of other information fields applicable for entity type Bank If these bank account details do not match with unit holders banking details the transaction will be captured as the third party payment details provided the bank entity information is setup in FCIS Outgoing As FCIS is capable of supporting the elements BIC and Proprietaryldentification the SWIFT UDF mapping will be used to determine the element that client would want to send 7 ORACLE ChequeDetails Mandatory Choice Outgoing This tag will be passed for transactions with payment mode as Cheque FCIS will support Payeeldentification BIC Proprietaryldentiification to identify the unit holder receiving the payment proceeds SWIFT UDF mapping will be provided AccountDetails Mandatory Choice Accountldentification gt Proprietary gt Identification Mandatory Incoming This will be the bank account number of the unit holder This number will be used in conjunction with the element Type gt Structured i e the bank account type to get the bank details of unit holder Outgoing If the bank details selected for the transaction is a CPF accounts CP
268. stment fund order Identification Proprietary Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to Ownerldentification tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag ORACLE IndividualOrderDetails Mandatory Repetitive OrderReference Mandatory This is a unique identifier for an order as assigned by the instructing party Incoming This will be stored as part of SWIFT transaction log with corresponding FCIS transaction number Outgoing This will be the Transaction Number generated by FCIS FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory The fund can be identified based on the ISIN Alternate Identification RIC Ticker Symbol Bloomberg CTA or Common Incoming FCIS supports identification based on the ISIN or Ticker Symbol For other options it will use the UDF mapping relevant for this tag Outgoing FCIS sends out the fund ISIN Choice for UnitsNumber Amount HoldingsRedemptionRate Mandatory Incoming The system determines the Transaction Mode and Value depending on the element available If the field Amt is provided the mode of transaction will be Net The value here would be in the curr
269. subscription redemption or switch transaction is initiated by the Ol and sent to Vestima Based on the data available within the Vestima system the order is enriched and passed to the appropriate OHA If the OHA sends an optional status message to indicate the receipt of the order to Vestima it will be forwarded by Vestima to the OI After the OHA executes the order it sends a confirmation message depending on the type of order to Vestima which is enriched and passed on to the Ol The following diagram illustrates the flow of messages between FCIS and Vestima Submit order 0l 0 Osirar 984 QOrndrinatrSts or Pis Fu Socpt nd Conf Validate Forward order order Validate message 0 H A Process order Execute order The ISO 20022 messages that are supported by the Vestima system are e RedemptionMultipleOrderV03 setr 004 001 03 RedOrdr e RedemptionMultipleOrderCancellationInstructionV03 setr 005 001 03 RedOrdrCxlReq e RedemptionMultipleOrderConfirmationVO3 setr 006 001 03 RedOrdrConf e SubscriptionMultipleOrderV03 setr 010 001 03 SbcptOrdr e SubscriptionMultipleOrderCancellationInstructionVO2 setr 011 001 03 SbcptOrdrOxIReq S ORACLE SubscriptionMultipleOrderConfirmationVO3 setr 012 001 03 SbcptOrdrConf OrderInstructionStatusReportVO03 setr 016 001 03 OrdrinstrStsRpt OrderCancellationStatusReportV03 setr 017 001 03 OrdrCxIStsRpt Securities
270. system and will be unique for group of transactions in a fund 3 12 1 2 PoolReference Optional This is a collective reference to identify set of messages oe ORACLE Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 12 1 3 Previous Reference Optional This is the reference to a linked message previously sent Reference Mandatory Incoming If FCIS is receives this message this reference number should be the Message Identification of the original message sent This will be the link between cancellation message and the bulk order message If the tag Order To Be Cancelled is not provided in the message the system will identify the transactions to be reversed based on this link as FCIS would have logged the bulk orders against the Message Identification Outgoing FCIS will hand off only those reversals for which SWIFT bulk order was sent earlier Example Transaction Number Reversed SWIFT message generated from FCIS Reference SUB1 SWIFT Subscription Bulk Order REF001 SUB2 SWIFT Subscription Bulk Order REF001 SUB3 SWIFT Subscription Multiple Order REF002 SUB4 SWIFT Subscription Multiple Order REF002 SUB5 No message generated originally The tag Previous Reference will be used to communicate reversals for REF002 only Transactions SUB1 and SUB2 which ar
271. t Delimiter Delimited Occ eee d ORACLE File Number Display Only The serial number for the file that is involved in the data exchange is displayed here and it cannot be altered When you add a new file or table name it is given a new sequential file number No of segments This represents no of segments to be uploaded Segment identifier This indicates the value associated with the segment identifier to be uploaded Field Occurrence This identifies the field corresponding to the segment identifier to be uploaded Field length This indicates the length of the field to be uploaded Field Type Select the type of the field from the drop down list The options available are String or Number Segment Delimiter Select the delimiter to be used for the different segments The values possible are comma tilde or dot Table Name Alphanumeric Mandatory The name of the table associated with the specified procedure that will receive imported data or contain the data that is to be exported is displayed here You can edit this name but it must correspond to a valid database table You can use the drop down list to specify a new table name Criteria Alphanumeric Mandatory Specify a clause that filters the data that is being exported or imported For example you can specify an SQL statement such as a Where clause here The clause will look for and pick up all data that satisfies the Where clause i
272. t bank information if available If Proprietaryldentification is provided the UDF mapping for the field would be used to determine the bank This would be a set of other information fields applicable for entity type Bank Outgoing As FCIS is capable of supporting both the BIC and Proprietoryldentification SWIFT UDF mapping will be used to determine the element that client would want to send CreditTransferDetails Mandatory Choice Reference ae ORACLE Optional Incoming Outgoing This will be the TransactionReferenceNumber DebtorDetails Identification Mandatory FCIS supports DomesticAccount based identification Incoming The details available for DomesticAccount will be used in conjunction with the element details of the tag FirstAgent to determine the Unit Holder bank details available in FCIS FCIS will check if the account number mentioned is valid for the transaction currency If not these account details will be considered as third party payment details Outgoing If the transaction payment mode is money transfer the account details will be provided for the transaction Money transfer direct debit will not be applicable for this tag Debtor Account 2 Name Optional This is the name of the account It provides additional means of identification Outgoing This will be the TransferAccountHolderName of the transaction Debtor Agent Mandatory This is the financial institution that receives the payme
273. t for the message or manually se ORACLE 3 8 4 Tags in Message 3 8 1 1 Message Identification Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 8 1 2 PoolReference Optional This is a collective reference to identify set of messages Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 8 1 3 RelatedReference Mandatory This is the Reference Number to a linked message that was previously received Reference Mandatory Incoming This reference number should be the Message Identification of the original message sent This would be the link between confirmation message and original bulk order message Confirmation messages will be generated against each Messageldentification message Outgoing FCIS will send the original Message Identification number for the external system to establish the relation between original bulk order message and confirmation message 3 8 1 4 BulkExecutionDetails Mandatory This is general information related to the execution of investment orders uS ORACLE FinanciallnstrumentDetails Mandatory This tag provides details to identify a fund Identification Mandatory Outgoing FCIS sends out the fund ISIN IndividualExecutio
274. table below describes the important elements of the request XML Level Request DTD Field Value Element Unitholders QUERY UH FCISUH DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Keystring with Time Stamp QUERYTYPE GETCIF REQUESTDATE RRRRMMDD CID Cif Number Refer to the sample XML for a full list of the elements of a request and its response 2 GETCIF Req xml 7 1 29 2 Response Element The table below describes the important elements of the response XML Level Response Element DTD Field Value Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ERRDESC Error Description HANDOFF UH FCISUH DTD CID CIF Number CIFDTLS STATUS Status Could be either O Open or C Closed Refer to the sample XML for a full list of the elements of a request and its response poe ORACLE gt gt GETCIF Res xml p ORACLE 8 1 8 Interfaces with External Systems Introduction Oracle FLEXCUBE Investor Servicing provides a facility to effect data exchanges and transfers with external systems You can import exchange rates or NAV from an external system or export transaction and dividend information to any external accounting system The external system may be a file system or an application The data exchange can be affected through an interface with the external system This i
275. tant elements of the request XML Level Request DTD Field Value Element Unitholders QUERY UH FCISUH DTD SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial No QUERYTYPE GETUHDETAILS REQUESTDATE RRRRMMDD CID CIF Number dins ORACLE Refer to the sample XML for a full list of the elements of a request and its response lt gt GETUHDETAILS Req xml 7 1 27 2 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Unitholders REPLY UH FCISUH DTD ERRCODE Error Code ERRDESC Error Description HANDOFF UH FCISUH DTD UNITHOLDERID Unit holder UHFUNDBALANCE ID CID CIF Number FUNDID Fund FUNDNAME Name of Fund FUNDOBJECTIVE Objective of Fund CURRENTNAV Current NAV FUNDCCY Fund Base Currency VALUEINFUNDCCY Value of Holding in Fund based Currency VALUEINUHCCY Value of Holding in Unit holder Base Currency CURRENTHOLDING UNITS Total Allotted Balance in the Fund ORACLE SELLABLEUNITS Total Balance that can be liquidated or sold PROVISIONALUNITS Balance that cannot be sold and is not Blocked BLOCKEDUNITS Total balance that is Blocked for Collateral ISSUEDBAL Total Units for which Certificate has been issued if Certificate Fund
276. tgoing This will be a unique reference number generated by FCIS 3 29 2 2 FundCashForecastDetails Mandatory Optional TradeDateTime Optional Outgoing This will be the date for which the report is being generated FinanciallnstrumentDetails Mandatory This tag provides details to identify the fund Identification Mandatory Outgoing FCIS sends out the fund ISIN ExceptionalNetCashFlowIndicator Mandatory FCIS will always the pass the value NO ORACLE CashinForecastDetails Mandatory SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash In CashOutForecastDetails Original Repetitive SettlementDate Mandatory This is the date for which report is generated SubTotalAmount Optional This will be the Estimated Cash Out 3 126 ORACLE 3 30 Fund Confirmed Cash Forecast Report Cancellation The FundConfirmedCashForecastReportCancellation message is sent by a report provider to a report user This message is used to cancel a previously sent FundConfirmedCashForecastReport message The FundConfirmedCashForecastReportCancellation message must contain the reference of the message to be cancelled This message may also contain details of the message to be cancelled but this is not recommended 3 30 1 Tags in Message 3 30 1 1 PoolReference Optional This is a collective reference to ident
277. tgoing This indicator will depend on whether or not fund is scrip based Subscription Leg Details Mandatory FinanciallnstrumentDetails Mandatory This tag provides details to identify the Switch To fund EUH ORACLE 3 25 Identification Mandatory Outgoing FCIS sends out the fund ISIN for the Switch To fund PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based Price Report The PriceReport message is sent by a report provider to a report user This message can be used for different purposes e To report prices for one or several different financial instruments for one or several different trade dates e To report statistical information about the valuation of a financial instrument e Toinform another party that the quotation of a financial instrument is suspended e To report prices that are used for other purposes than the execution of investment funds orders If a fund is based on price components the individual component details will be provided in PriceValuationDetails gt PriceDetails repetitive tag FCIS will also provide the prices for each transaction type under PriceValuationDetails gt PriceDetails repetitive tag This report could be taken out of the system in automated way based on a particular event or manually User would have the o
278. the Application tool bar or click new icon to enter the details of the Outgoing Msg Browser To display the message you can specify any or all of the following details Swift msg type Mandatory To display the message specify the swift message type Select All for the system to display all the SWIFT message types Message Status ungenerated generated edited handed off or all To display the message specify the message status ungenerated generated edited handed off or all Receiver Specify the receiver of the message to display the message Auth Stat Specify the authorization status of the message which you want to view From Date Specify the date from which the system has to retrieve the outgoing SWIFT message To Date Specify the date till which the system has to retrieve the outgoing SWIFT message All messages matching your criteria are displayed in the grid portion of the screen Click Detail button that you wish to operate on in the DCN field The Outgoing Message Browser screen with the details of the message displayed A horizontal array of icons is available for you to perform operations on the message Outgoing Message Info All messages matching your criteria are displayed in this portion of the screen In the outgoing message info grid you can view the following details e DCN e Reference No e Receiver e Swift Msg Type e Message status e SINo id ORACLE e Name e Address e
279. the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to view in the list of displayed records in the lower portion of the screen The SWIFT ELEMENT UDF Detail screen is opened in view mode Deleting Record You can delete only unauthorized records in the system To delete a record that you have previously entered you must retrieve the same in the SWIFT ELEMENT UDF Summary screen as follows e Invoke the SWIFT ELEMENT UDF Summary screen from the browser e Select the status of the record that you want to retrieve for deletion e Specify any or all of the details of the record in the corresponding fields on the screen and click Search button All records with the specified details are retrieved and displayed in the lower portion of the screen e Double click the record that you want to delete in the list of displayed records in the lower portion of the screen The SWIFT ELEMENT UDF Detail screen is opened in view mode e Select Delete operation from the Action list The system prompts you to confirm the deletion and the record is deleted physically from the system database Authorizing Record An unauthorized record must be authorized in the system for it to be processed To authorize a record you must first retrieve the same in the SWIFT ELEMENT UDF Summary Screen
280. the customer e The date of birth of the customer e The marital status of the customer e Contact Address The primary address of contact for the CIF customer e Correspond At Whether the primary address of contact can be used for correspondence e Primary City The city of the contact address e Primary State The state of the contact address e Zip Code The zip code of the primary contact address e The home office telephone numbers and fax numbers of the customer e Any email ID used by the customer e Secondary Address Any secondary contact address at which the customer may be reached e Secondary City The city of the secondary contact address e Secondary State The state of the secondary contact address e Secondary Zip Code The zip code of the secondary contact address es ORACLE e Dealing Type Whether the customer deals directly as self or through an authorized representative e Whether the customer is a minor By default the customer is not deemed to be a minor in the CIF account details e Minimum Number of Corporate Signatory The number of authorized signatories for corporate customers By default the number of authorized signatories is deemed to be 1 e First Second and Third Authorized Signatories The authorized signatories for a corporate or bank customer e Account Opening Date The date on which the CIF unit holder account is created in the FC IS database By default this d
281. the fund ISIN ate ORACLE TotalNAV Optional Repetitive This is the value of all the holdings minus the fund s liabilities Outgoing This will be Funds Holdings Declared NAV for the Effective Date TradeDateTime TotalUnitsNumber Optional This is the total number of investment fund class units that have been issued Unit Mandatory Outgoing This would map to the tag Outstanding Units in fund data store for the fund PreviousValuationDateTime Optional This is the date and time of the previous valuation for the investment fund fund class Outgoing This will be the effective date of the fund price prior to the date provided under the tag TradeDateTime This information will be provided under the tag PreviousValuationDateTime gt Date ValuationCycle Mandatory This specifies how the price valuation timing is done based on the timeline defined in the prospectus FCIS will always communicate the value USUA Usual as the code to indicate that price valuation is done within the timeframe specified in the prospectus Suspendedindicator Mandatory Indicates whether the valuation of the investment fund class is suspended FCIS will always the pass the value NO PriceDetails Mandatory FCIS will use this tag to provide the Fund Price components if applicable for the fund and Fund Price details at a transaction type level ae ORACLE 3 26 Type Mandatory e Structured Mandatory
282. the legs of the transaction are displayed In the Order Status screen any or all of the following information must be specified as inquiry parameters by the unit holder e The CIF account number the details for all unit holders under the CIF are displayed e range of dates between which the status of orders placed is required If not specified the date range is taken by default to be the period between the beginning of the current month up to the current date e The transaction number On receiving an Order Status request from Oracle FLEXCUBE INTERNET BANKING FC IS relays back the following information regarding the transaction e The Unit Holder ID e Transaction Date e Transaction Type e Fund ID and ISIN Code e Fund Name e Transaction Number e Reference Number fm ORACLE Transaction Mode Transaction Value Transaction Currency Transaction Status The authorization status of the transaction that is whether Authorized or Unauthorised is indicated In addition for buy and sell transactions the following information is also sent Status Base Price Used Exchange Rate Used In case of transactions by gross basis the amount in Fund Currency Loads VAT Component Net Amount Units Allocated The status could be one of the following Authorized Unauthorized Rejected with reason for rejection Unallotted Allotted Provisionally Allotted Partially Allotted For incomplete transactions i e
283. the record that you want to modify in the list of displayed transactions The Payment Clearing Detail screen is displayed Select Unlock Operation from Action list to modify the record Modify the necessary information Click Save to save your changes The Transaction Detail screen is closed and the changes made are reflected in the Transaction Summary screen 2 8 3 Viewing Transaction To view a transaction that you have previously entered you must retrieve the same in the Payment Clearing Summary screen as follows Invoke the Payment Clearing Summary Screen from the Browser Select the status of the transaction that you want to retrieve for viewing in the Authorization Status field You can also view all transactions that are either unauthorized or authorized only by choosing the Unauthorized Authorized option Specify any or all of the details of the transaction in the corresponding fields on the screen and click Search button All transactions with the specified details are retrieved and displayed in the lower portion of the screen Double click the transaction that you want to view in the list of displayed transactions in the lower portion of the screen The Payment Clearing Detail screen is opened in view mode 2 8 4 Deleting Transaction You can delete only unauthorized transactions in the system To delete a transaction that you have previously entered you must retrieve the same in the Payment Clearing Summary scr
284. tory This is a Reference to a set of orders Even though this block is optional FCIS will need this to relate to subsequent messages Reference Mandatory Incoming This number is used for storage and reference Outgoing This will be generated by the system and will be unique for group of transactions in a fund 3 10 1 2 PoolReference Optional This is a collective reference to identify set of messages us ORACLE Reference Mandatory Incoming This number is used for storage Outgoing If a set of orders is to be broken system will assign a common reference number to multiple messages 3 10 1 3 Multiple Order Details Mandatory InvestmentAccountDetails Mandatory This is the account impacted by an investment fund order Identification gt Proprietary gt Identification Mandatory This tag is to identify an investor s account However incase of a service provider installation priority would be given to OwnerDetails tag to get the identification type and identification number Incoming The system uses the relevant UDF mapping for this tag Outgoing The system uses the relevant UDF mapping for this tag Ownerldentification Optional e BICOrBEl e Proprietaryldentification Incoming If BICOrBEI is provided the system will get the relevant bank information if available If Proprietaryldentification is provided the UDF mapping for the field would be used to determine the bank This will
285. transactions This would be CRDT for inflow transactions and DBIT for outflow transactions GrossSettlementAmount Optional This will be the gross settlement amount in the settlement currency TradeDateTime Date Mandatory This will be the Transaction Date DateTime Mandatory This will be the save time of the Transaction CumDividendindicator Mandatory This indicates whether the dividend cum dividend is included in the executed price When the dividend is not included the price will be ex dividend This will be defaulted to NO PartiallyExecutedIndicator Mandatory This indicates whether the order has been partially executed This will be defaulted to NO PriceDetails Mandatory This is the price at which order was executed Value gt Amount Mandatory Outgoing This is the fund base currency code followed by the price as of the effective date of the report pem ORACLE Type Mandatory This is defaulted to OTHR 3 141 ORACLE 4 1 4 VESTIMA Processing Introduction Vestima is an automated external system that facilitates the routing and execution of fund orders between Oracle FLEXCUBE Investor Services and outside parties These orders can be placed either through the Vestima web browser or SWIFT The party placing the fund order is the Order Issuer Ol and the party executing the orders is the Order Handling Agent OHA The fund order which can be a
286. tusReport Status Rejected 3 22 Mandatory Incoming Only status tracking will happen FCIS will not track reasons for rejections if any Outgoing Following are the cases possible for reversal a transaction e Transaction is reversed and allocated Will be reported under Status with code CAND e Transaction is reversed and not allocated Will be reported under Status with code CANP e Transaction reversal failed The FCIS error code will be reported under Rejected gt DataSourceScheme gt Identification Switch Order The SwitchOrder message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The SwitchOrder message is used when the instructing party i e an investor wants to change its investments within the same fund family according to the terms of the prospectus FCIS supports one to one switch transactions for incoming requests The To Fund information will be taken from SubscriptionLegDetails For outgoing messages switch transactions will be communicated in separate legs for redemption and subscription FCIS will allow the generation of this message in an automated way based on a certain event that is triggered in the system or manually If the AMC of the From Fund and To Fund are different system will generate a pseudo switch transaction In other cases system will generate a normal switch tra
287. umeric Conditional Specify the time interval between jobs This applies only to trigger types maintained as Simple Trigger Listener Alphanumeric Optional Specify a java class as a trigger listener which will be notified of events such as before job fired after job completed misfired jobs Active Alphanumeric Optional Check this box to set the job as active The scheduler does not pick the inactive jobs for scheduling TE ORACLE 5 5 2 Ds Name Alphanumeric Optional Specify the name of the database schema to which the job has to connect This attribute is used in case of multi instance deployment of Oracle FLEXCUBE application Logging Required Alphanumeric Optional Check this box to indicate that system should log each firing of job This helps in logging the firing time of job and key log info as part of that firing This also enables tracking of each job s firing times and helps in identifying miss fired jobs Startup Mode Alphanumeric Optional Specify start up mode of the job from the drop down list The following options are available e Auto The job starts automatically when Oracle FLEXCUBE application starts e Manual You should start the job manually in job controller by resuming the job Parameter Details You can specify the job specific parameters which are passed to job class or procedure at runtime The following details are captured here Parameter Name Alphanumeric Optional Spe
288. ut the fund is not specified transaction details of all funds under the given AMC are displayed along with the fund wise opening balance for that unit holder For request and response elements details and sample XML for search based on AMC refer the section titled Search Based on AMC in this chapter On receiving a Transaction Activity request from Oracle FLEXCUBE INTERNET BANKING FC IS processes the request and relays back the following information regarding the transaction e The opening balance is computed and displayed as on the start date of the specified date range e In addition to transactions entered the given period FC IS also sends the details of the opening balance and the number of transactions entered into In this option the opening balance as of the start date of the request is displayed The closing balance as on the requested end date after summing up the same is computed by Oracle FLEXCUBE INTERNET BANKING and displayed For incomplete transactions i e transactions for which the payment details or the exchange rate details are not available a message is displayed indicating that the information is incomplete as there are transactions pending processing 7 1 13 Account Statement Request After logging in to Oracle FLEXCUBE INTERNET BANKING the unit holder or CIF account holder can request for account statements This statement request after being received by FC IS and generated is mailed to the un
289. utton to view the contents of a message The contents of the message will be displayed the Message section of the screen Delete Click this button to delete an unprocessed message Authoris Click this button to authorize an unauthorized unprocessed message that has been edited an unauthorized processed message that has been repaired or an unauthorized suppressed message 3 6 4 Outgoing Message Browser Summary Screen You can use the outgoing message browser to perform the following functions with respect to an outgoing SWIFT message Generate the outgoing message in respect of an un generated message Edit an ungenerated message Authorize a repaired or edited message View all or selected outgoing ungenerated generated handed off or repaired messages In order to perform any of these functions you must first retrieve the message in and display it in the Outgoing Msg Browser Summary screen You can invoke this screen by typing UTDMSGOT in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button CO pen Outgoing Msg Browser Summary Swift msg type ai Receiver From Date E5 Ok Reference No Receiver Swiftmsgtype Status Message Status Auth Status To Date Name Address amp Address 2 Cancel ORACLE Select New from the Actions menu in
290. ve been blocked in respect of the unit holder account e The units that have been unblocked in respect of the unit holder account e The units resulting from provisional allocations ORACLE For holdings in a scrip based fund the portion of the unit holdings for which certificates have been issued i e the issued balance For holdings in a scrip based fund the redeemable Balance Unissued Balance applicable for scrip based funds only Block Amount and currency Across all funds for a UHID supplied only if applicable 7 1 5 IPO Transactions and Subscription Transactions buys Transaction information The unit holder or CIF account holder can initiate a subscription transaction or a buy transaction into a fund that is in the IPO period after logging in to Oracle FLEXCUBE INTERNET BANKING by specifying the following information The unit holder ID under the CIF account for which the transaction is being put through The ID and ISIN Code of the fund in which the transaction is being requested The ID of the product mapped to the selected fund in which the transaction is being requested only if applicable The mode of the transaction amount or units the value of the transaction and the currency for the transaction The processing mode for the transaction either gross or net For certificate option funds in which the unit holder has requested for certificates the applicability of single certificates For Letter of Int
291. versed and where the maker date of the original transaction is not the same as maker date of the reversed transaction and original transaction is allocated will be picked up IPO Subscription e Sum IPO by Amount e Sum Subscriptions by Amount e Sum IPO by Units Latest NAV e Sum Subscriptions by Units Latest NAV Redemptions e Sum Redemptions by Amount e Sum Redemptions by Units Latest NAV Switch In e Sum Switch transactions by Amount where fund passed is the Switch In fund and convert this amount to FBC of the Switch In fund e Sum Switch transactions by Units where fund passed is the Switch In fund Latest NAV of the Switch Out fund converted to FBC of the Switch In fund Switch Out e Sum Switch transactions by Amount where fund passed is the Switch Out fund e Sum Switch transactions by Units Latest NAV of the Switch Out fund one ORACLE IPO Subscription Reversal e Sum Gross Amount In FBC of the original transaction Redemption Reversal e Sum Net Amount in FBC of the original transaction Switch In Reversal e Sum Switched In Amount of the original transaction where fund passed is the Switch In fund Switch Out Reversal e Sum Net Amount in FBC of the original transaction where fund passed is the Switch Out fund 3 28 1 2 Dividends Dividend payout Criteria for dividend record consideration e Amendment Reversal not happened e Freeze Holdings done e is available e Dividend is
292. vided this would map to the corresponding entity s BIC as ORACLE Amount Mandatory Outgoing The load amount in terms of the fund base currency PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based RelatedPartyDetails Optional This is information related to an intermediary Identification Proprietary Identification Mandatory Outgoing Identification of the agent agency branch AO or IFA as maintained in FCIS ExtendedRole Optional In case of entity the values provided in this field can be AGENT AGENCY BRANCH IFA BROKER or AQ If none of these values are specified then system will look for the specified entity An error will be thrown if more than one entity type has the same name 3 18 Redemption Multiple Order Cancellation Instruction This message is sent by an instructing party to an executing party There may be one or more intermediary parties between the instructing party and the executing party The RedemptionMultipleOrderCancellationInstruction message is used to cancel the entire previously sent order message and all of the individual orders that it contained There is no amendment but a cancellation and re instruct policy A cancellation instruction must always be of the same family of message i e switch redemption or sub
293. vided in the attribute id ORACLE Outgoing If the tag GrossOrNet carries the value G the amount will be passed under this tag The transaction currency will be passed as a tag attribute ForeignExchangeDetails Optional This is information related to currency exchange or conversion Incoming If the Transaction Currency is different from the Fund Base currency FCIS will use the information provided to override the exchange rate The Exchange Rate Source will be defaulted from the Bulk Transaction Maintenance for the bulk client SWIFT Outgoing If the transaction is a cross currency transaction the exchange rate details will be provided in the message The following sub tags are mandatory e UnitCurrency This will be the transaction currency e QuotedCurrency This will be the fund base currency e ExchangeRate This will be the exchange rate for the transactions PhysicalDeliverylIndicator Mandatory This tag indicates whether or not the financial instrument is to be physically delivered Outgoing This indicator will depend on whether or not fund is scrip based CashSettlementDate Optional Incoming Outgoing Both the Incoming and Outgoing indicators will be the Transaction Settlement Date Paymentinstrument Optional The payment instruments can be cheque credit transfer direct debit investment account or payment card FCIS would not support cheque payment card as mode of payment in th
294. y BENEFICIARYDOB Date of Birth of the beneficiary BENEFICIARYADDRESS Address of the beneficiary BENEFICIARYRELATION Relation to Primary Holder BENEFICIARYPANNO Pan Number of the beneficiary BENEFICIARYFORM60 4 if Form 60 is available else it should be 0 BENEFICIARYUIN In case of Corporate the UIN lt gt GETUHDETAILS Res xml 7 24 Refer to the sample XML for a full list of the elements of a request and its response ORACLE Transaction Cancellation Customer Unit holder can cancel transactions through Oracle FLEXCUBE INTERNET BANKING Transaction cancellation is not allowed after the cut off time 7 1 23 3 Request Element The table below describes the important elements of the request XML Level Request DTD Field Value Element Transaction REVERSE TXN FCISTXN SCODE Identifies the external system that is sending the request For example HDFC XREF Running Serial Number REQUESTDATE RRRRMMDD CID CIF Number FUNDID TXNTYPE TXNNUMBER The Transaction number which is to be reversed Refer to the sample XML for a full list of the elements of a request and its response lt gt Reverse Transaction Req xml 7 1 23 4 Response Element The table below describes the important elements of the response XML Level Response DTD Field Value Element Transaction REP

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