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ICE Clear PTMS User Guide

1. 3 Page 0 of Connected All position transfers in a pending status will be authorized by the clearing house The Transfer Review screen will be monitored throughout the day and should a position transfer require additional margining ICE Clear Europe reserves the right to issue an intraday margin call as per current operational procedures Ice 5 4 Challenging Position Transfers If a Member is the recipient of a position transfer that they DO NOT agree e g if the quantity side is incorrect or they do not know the transfer altogether the user can challenge the transaction by clicking in the checkbox marked C Challenge Trade Review Short Codes AP Group Review Transfer Review gl aj cir lt lt lt gt gt 1 M soh Discard Unsa Transfer Review The new status after clicking the challenge option will be UAC Unmatched Allocated Challenged Transfers in this condition will not clear during end of day processing The creating member must cancel the transfer Alternatively they can leave it in the UAC status and the transfer will remain uncleared overnight and appear for two more business days to allow the associated Members to confer and determine if the transfer is valid This procedure also applies to transfers where no action has been taken i e neither accepted challenged nor cancelled At the end
2. Alloc Dest Meth Member ee w a AAA A aAaAaaraia lt l fk BN Nh aDpnaanwx x Bi x Ice 3 7 2 Marking Trades with Destination information If the user wishes to mark trades for give up and can provide the trading member that the trade is intended for that information can be added in PTMS under the Dest Member column A user can also add the Account Position Account Dest O C ICEU and CTI IFUS and IFED that trade is intended for under the columns Dest Acct Dest Pos Dest O C ICEU and Dest CTI IFUS and IFED Account respectively If a user inserts any Dest Information in the fields provided the trade will be automatically marked for Give up i e enter a G into the Alloc Meth column PRICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL v Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard fay Q cir lt lt lt gt gt 1 v 9 999 Discard Unsaved Changes Save Split Apply Trade Summary Trade Review 3 Acct Pos CTI AP Alloc Dest Dest Dest GU Trade Matched ATOM Acct GRP ID Meth Member Pos Acct CTI Memo Date Date Trader y FC
3. O C ICEU Rate ID exchange at the time the trade was entered ATOM Used by to assign execution brokerage processed through ATOM from one trader Trader to another IFUS Only Trader Trader mnemonic Opp Member Opposite Member Counterparty for BLK TASB CRS trades Opp Trader Opposite Trader Counterparty for BLK TASB CRS trades Deal ID Unique identifier for trade Orig Order Original Order ID when transaction was entered Order ID Alloc Method Allocation Method Editable field enter G to Give Up trade or A to include trade into Average Price Group AP Grp ID Average Price Group ID in which the trade is to be included in Dest Member which Member they want the trade to be Account Reference to be applied to the trade Dest Pos Destination Position Account For Give Ups only The user can specify here the Acct recipients Position Account to be applied to the trade Destination Member This field is used for give ups The user can specify here rE Destination CTI For Give Ups only The user can specify here the recipients CTI IFUS and n lied h d IFED to be applied to the trade Dest O C ICEU Destination Open Close indicator For Give Ups only The user can specify here the recipients Open Close indicator to be applied to the trade View hidden See section 2 4 2 GU Memo Free text field in which a memo can be added to the trade being given up Price Ind Price Indicator Final Price is
4. b After selecting Change Logfile Location PTMS will display the current destination where the logfiles are written hae Change Logfile Location Save In My Documents ie My Data Sources My Music CA My Pictures CI My Shapes CI My Videos SightSpeed Recordings CI WebEx File Name CADocuments and SettingsikweihMy Documents Files of Type lw Save Cancel Using this window select the directory and location available to your computer where you require the log files to be stored After the location has been defined select the Save button to save these preferences After clicking Save PTMS will display a confirmation message identifying the location selected Note The user must have access to the directory selected for this function Message G You have sucessfully changed the log file location to C Documents and Settings kweil My Documents Your change will take effect on the next log in The log files will not be directed to the new location until the next login to PTMS If the user continues in PTMS without logging out the files will be written to the original default location l A S User Guide Page 6 J CE PTM Ice 2 3 Screen Layout The various PTMS screens are accessible via tabs at the top of each screen Once logged in the user will be defaulted to the last screen accessed by the user If accessing fo
5. Connected memor il For PTMS users will see outstanding transactions and associated count in the following categories Unregistered Trades Not Given Up ICEU SCT Unregistered Trades Not Given Up ICEU In progress AP Group Group not yet submitted to ACT for Allocation Uncleared Transfers Transfers no yet Accepted by the receiving firm For ACT users will see outstanding transactions in the following categories fT ry TA AQ llama f Ae D if 1 i Ta CAOr IINA L Ly F IIVO UL J ser auiqe gt Give up Perspective Unallocated A group in ACT that has not yet been allocated to the take up firm Under Allocated A group that has been partially allocated A remainder has yet to be allocated Outstanding Allocations Give ups that have been fully allocated but have yet to be claimed by the take up firm Rejected Allocations Give up allocations that have been rejected by the take up firm Pending Reversal Requests A Give up reversal request that has not yet been confirmed by the take up firm SCT Top Day Unallocated ICEU SCT Top Day Under Allocated ICEU gt Take Up Perspective Outstanding Claims Trades given up to your firm that have not yet been claimed SCT Top Day Outstanding Claims ICEU SCT Top Day Unregistered Claims ICEU Pending Reversal Requests Requested reversals not yet confirmed E f Z A rage 4g w Ice 8 1 Dashboard Functions As users review outstanding trans
6. gad Coes n Displaying 10 records Page 1 of 1 10 records found Ez After the user has displayed the transfer transactions on the screen various actions can be taken to affect the transactions 5 1 Total Buys and Sells At the bottom of the Transfer Review screen PTMS displays a total volume for buys and sells for all trades displayed on the screen and for trades selected on screen O O Please note that the totals do not include volume on cancelled transfers CNL ICE PTMS User Guide Page 33 Ice 5 2 Create Position Transfer PTMS allows users to transfer a position from one Trading Member to another through use of the Create Position Transfer screen This feature can be used to move positions in aggregate or individually from member to member Position transfers can only be created at the original trade price ICUS only or the previous night s settlement price To create a position transfer the user selects Add Position Transfer from the toolbar at the top of the Transfer Review Screen The following window will appear PRICE CLEAR US Create Position Transfer Trade Details PosAcct CTI UserMe TradeDate QTY BuySell Cont Period PosAcct CTI O C User Me sasan e Ie e m i Trade Details Status Acct Pos Accel CTI UserM Trade Date QTY Buy S Exch Comm Cont Period PiC Strk Price TM Acct PosAcel CTI O C UserM Fa
7. Displayed transactions volume Buy 49 Sell 43 ao a Online Connected Memory Displaying 60 records Page 1 of 5226 313521 records found C Onine __ a ati l ICE PTMS User Guide Ice 6 1 Search for Previously Cleared Transactions PTMS maintains two previous business days of cleared trades for a user to select from The user MUST select the Cleared Date they wish to review and then click the Search button PRICE CLEAR Post Trade Management System for User PIMS Print Export Help Exchange ALL Trading Member ALL Current Clearing Date Ideas Trade Review Short Cotes AP Group Rewew Transter Review i Previously Cleared Transactions Dashboard HGC cir lt lt 4 gt gt 50 Cleared Date Discard Unsaved Changes Make Adjustment Previously Cleared Transactions i Trade B sel pirine CRS fect AP rack in Aect Date 06 Sep 2012 GRP ID iG il a tl ie Online Connecties Memon ff Once the data has been retrieved the user can refine their search using the additional filters at the top of each column This screen will not automatically refresh or load trades based on settings in your profile If the user alters their search criteria they must click the Refresh button to refresh the search The columns displayed for each transaction are as follows COLUMN DESCRIPTION Trade Date The trade date of the transaction Quantity of trade
8. be NS a ae hd kel aaah es A M4 hov zossssa 13890568 REG B Jmm a t4tov 2058279 4490146 REG B beem AS 14Nov 2052933 13854239 REG B Jnzoi2 s nma A4Hov n 2052687 13833236 REG B Jma a ms 14 ov 2058089 19800112 REG B Janza wO tt A4 Mov 2057604 13769856 REG B Mar20i2 ame 14Nov 2056978 3680000 REG B Janza mam Manov zos70 10722212 REG B smaa nat 14 ov 2058052 1008232 REG B Janza 1 ms A4Nov 2056318 13687480 REG B Jmm a m Manow 2ose1sa 13601794 REG B Deco O wms O 4tlov 2056124 4482036 REG B Jmm alma o 14Nov n 2056104 4482036 REG B Jma mas o 14Nov 2050059 2856760 REG B pem ama O 14ov 2055604 2085638 REG B vezm dns O t4tlov 2055575 6641400 REG B Jn20i2 tS MURE 1Alov 2055622 13624328 REG B veem almas J 14Nov w 2055167 13606004 REG B apr si mes O 14lov 2055151 13606553 REG B apr aimes O 14Novn 2054055 13568745 REG B vec G ma O Manou oseca 3109r REG B smana O ama O CE a e gang 14Hov 4577716 14Nov 13482049 REG 14Nov 13481928 REG 14HNov 4301188 REG 14Novw 13413975 REG 14Nov 13412139 REG 14Nov 13342544 REG 14Nov 6104010 14Novw 13269378 14HNovw 13264256 Jan 2012 12 113 26 Dec 2011 1 114 36 May 2012 q 111 01 Dec 2011 114 37 Jul 2012 110 55 Jan
9. PTMS User Guide Page 22 Ice 3 7 Give Up Functionality The allocating user can give up a trade by either marking the trade for Give up via PTMS or via FIXML Give up API messages through use of a Member s back office middle office system Further management of the Give up can be done via ACT Through this screen users have the ability to mark trades for Give up or review trades that have already been marked for give up When marking for Give up the user can also add the following information Dest Member Dest Acct Dest Pos Account Dest CTI IFUS and IFED Dest Open Close ICE Clear EU Give up Memo 3 7 1 Marking a trade for Give up To mark individual trades for Give up the user must highlight inputs allocation method of G in the Allocation Method column or alternatively input destination member information This will identify the trade as being marked for give up The user must then click the SAVE button and PTMS will create a corresponding message for ACT To mark multiple lines for Give up highlight a series of lines by simultaneously pressing Ctrl and individually selecting the lines After all lines are selected enter a G in the column header edit field and click the APPLY button This will place a G on all of the selected trades After the trades have been marked click SAVE to finalize the changes Post Trade Management System for User Clearing House PTMS Print Export Help
10. c c c eI 7 i T E T p T REA i 11 Sep 2 s 11 5Ep 2 wwe 14 SEP 2 GU TEST nee 11 S p 2 GU TEST wwe 11 Sep 2 GU TEST u 11 Sep 2 a 11 S p 2 11 Sep 2 11 Sep 2 AJOLLA hiele PNM NN NK A Give up Memo can also be added to the trade at this point Once the user is happy with the Give up details entered they must click Save in order to submit the trades to ACT for claiming Alternatively if the details entered are incorrect and the user wishes to clear the Give up details before saving they can either delete each individual field or simply click the Discard Unsaved Changes button Please note that updates made to any trade made in ACT will not be reflected in PTMS For further information on the give up process please refer to the act user guide Ice 3 8 Average Price Functionality Trades that consists of Trade Type REG BRX and ECR also containing the same Trade Date Commodity Contract Period Side buy or sell Trader and Position Account can be grouped together via the Average Price functionality Please note only one trader can be associated with an average price group and can be either the executing trader or an ATOM Trader assigned to the trade s with ATOM Trader taking precedence If the grouped trades have varying prices PTMS will calculate the aver
11. us Contract Period Mar 2015 Price 20 Put Call Strike Dest Member Dest Acct Dest Pos Acct Dest CTI Dest O C Dest Memo C3 Trader ATOM Trader Lots to be Allocated Buy O Sell O CLEAR ROW CANCEL OK If the user makes a mistake they may highlight the row and click the Clear Row button This will remove only that row of allocation and the removed quantity will be added back to the top row quantity Clicking the Cancel button will discard all changes and return the user to the Trade Review screen After the split has been processed the original line will remain in view on the screen it will be highlighted in black to indicate that it is no longer available for modification A refresh of the screen will remove the record from the screen Ty 4 he Te lrA A ee E a Ta a a After the refresh the new splits will appear as new trade lines in PTMS reflecting the updates that were input via the Split Multiple Allocationns window The Parent Trade ID column will be populated with the Trade ID of the original trade and the resulting splits will be given new Trade ID s __ Trades that have been marked for Give Up can no longer be managed via PTMS The user must access ACT to manage this trade further Trade marked for Average Pricing can also not be split the user must remove the Average Price Indicator Alloc Meth A from the trade before it can be Split ICE
12. 2 4 3 Print The data displayed can be printed by selecting Print from the toolbar above the search criteria panel There are two options for printing print screen and print table Print screen will print the data currently displayed and any search criteria used to return the data set The print table selection will print the data set only but not the search criteria Use page setup to change the page type size and printer designations PA ICE CLEAR Post Trade Management System for User Clearing House PTM Print Export elp l Print Screen i 1 Trading Member aL v Current Clearing Date Print Table l Page Setup 5 F F Tra oxrn reri COdes AF Group Rewiew Transfer Rewiew Prewoush Cleared Transactions Dashboard elake F Trade Review Trader Cont Period Ka Ka a a a a ICE PTMS User Guide Page 10 Ice www theice com 2 4 4 Export To export the retrieved data set click the Export from the toolbar above the search criteria panel PTMS will prompt the user to specify a file name for the new file and allow the user to specify the location for the file After entering the file name and specifying the location click SAVE The displayed data will be saved to the specified location in excel format i nagement System for User Clearing House 2 4 5 Ideas To submit feedback to ICE Clear regarding the system functionality click the Ideas button o
13. 29 Ice 4 1 Review Details This opens a new window with the details of each trade included in the group This window can also be opened simply by double clicking on the group line on the main screen Trades can be removed from the group from this window simply highlight the trade you wish to remove from the group and click Remove from Group x AP Group Detail View of AP1 for Trade Date Comm Buy Sell ContPeriod Strk PIC Avg Price Rnded Price Unit Res Total Residual Override Price Acct PosAcct CTI Trader Memo UserMemo Status KC 10 Dec 2012 168 3100000 168 30 3 75 37 50 C I Price Order ID Deal ID Trader Trade ID Ent Trdr ID Session ID F 171 05 240610003365 923811100001 2335 102136 UKECOM2 rbsgl fx1 171 05 240610003365 923810100001 2335 102135 UKECOM2 rbsgl fx1 168 2 240610003364 83117815280 2335 102132 UKECOM2 rbsgl fx1 167 5 240610003363 8678733 2335 102131 UKECOM2 rbsgl fx1 167 65 240610003361 8496003638 2335 102130 UKECOM2 rbsgl fx1 Save Submit Remove from Group This will remove the Group ID from this particular trade and will update the Trade Review screen accordingly The trade will remain marked for Average Pricing A in Alloc Meth column The Average Price details of the group will then recalculate with the Trade removed 4 2 Submit Group When the group is ready to be submitted to ACT for further processing the user will nee
14. Final No Price is not final Populated for AMK MMK TAS TASB Sprd Spread Indicator Specifies if the trade is a leg of a spread trade Srat EINK Strategy Link ID Code Strategy Code Composite Code Composite Code Pub Flao Publish Indicator Flac Status The current status of the trade Will either be MAA Matched Allocated Accepted or CNL Cancelled Srce Source origin of a trade E Electronic X Off Exchange e g Block Trade Exec Venue Execution Venue for trade Aggr Ind Aggressor Indicator Y Yes if the trade hit or lifted resting orders N No if the trade was a resting order and was hit or lifted Parent Trd The Original Trade ID before trade was split Trade Date Date and time the trade was created YYYY MM DD HH MM SS U Date and time the trade was matched YYYY MM DD HH MM SS Update User Specifies the username of the last person to update this trade Update Time Date and time the trade was last amended YYYY MM DD HH MM SS Ent Trdr ID The traders operator ID Trader Free text field to add any additional information about this particular trade Field Memo can be edited in Trade Review and Trade Details screen Field is not editable on previously cleared trades User Memo Free text field to add any additional information about this particular trade Field can be edited in Trade Review and Trade Details screen on trades that have not been marked for give up Field is not editable on pr
15. allocated when viewed by the From Member The To Member will see the trades on their transfer review screen ready to Accept or Challenge Ice 5 3 Accepting Position Transfers If a Member is the recipient of a position transfer that they agree whether it is from another Member or an in house account transfer the user must check the Accept box for it to clear The user can adjust the filters to display To transfers only This will limit the transfers displayed to just those where the user s selected trading member needs to accept or challenge After the transfer has been accepted the new status will be PND Pending the clearing house authorization If the transfer did not already have the correct account information this can be updated before or after the transfer is accepted they must click the SAVE button to finalize the change It should be noted that transfers cannot be split between different accounts If the transfer was accepted erroneously the user will still have the option to challenge And the alternative applies if the transfer is challenged by mistake the option to accept is still available PA ICE CLEAR Post Trade Management System for SEF Exchange Trading Member ALL nA Position Transfer Verification Previously Cleared Transactions Trade Review Group Review Transfer Review M SoH Discard Unsavet Trader ie
16. saved to the local computer for subsequent connections to PTMS After the user has completed entering the PTMS user id and password and entered the proxy settings proxy user id and password press login to simultaneously login through the specified proxy server and into PTMS ff DIT R VAINAS da i ALY AArY C e www theice com 2 2 Log File Location settings PTMS creates a log file to assist in the diagnosis of a user s interaction with PTMS By default these log files are stored to the user s documents folder on the C drive of the user s computer A typical location would be C Documents and Settings username ptms iceclear The location will always be the default location described above If the user has restrictions that require this log file to be written to an alternate location the following actions may be taken After logging into PTMS click the menu item PTMS on the toolbar at the top left corner of the screen Select Preferences and then Change Logfile Location from the drop down menus MARICE CLEAR Post Trade Management System for User Clearing House PIMS Print Export Hey Preferences Ch i Bas Change Password ALL hd Current Clearing Date Trade Review Short Codes AP Group Review Transfer Rewiew Previously Cleared Transactions Dashboard im Discard Unsaved Changes Save Spit Appt Trade Summary Trade Review Trace Buy In aowe UTOIWIKGDYY
17. three of the following upper case lower case numbers and or special characters Ice 2 1 Proxy settings After entering your user ID and password PTMS will begin the login process If a firewall or proxy conflict is detected the user will receive an error and will be unable to login PTMS is configured to run through a browser and connect with no configuration changes for the Member If your firm has a firewall setting or a proxy server that prevents users from accessing PTMS the firm s security team can configure the proxy settings allowing user access to PTMS Click on the Proxy Settings link from the login screen to update the configuration file for the PTMS application After clicking the Proxy Settings button the proxy settings window will appear The proxy information must be entered on this window and provided by the PTMS user s internal IT or security department The proxy information fields include Proxy Host Proxy Port Proxy User and Proxy Password MA ICE CLEAR Post Trade Management System E Version L ICE cear User ID Password Proxy Host Proxy Port Proxy User Proxy Password Login Cancel Proxy Settings The proxy setting information will identify the physical internal server and port to be accessed for external communications The proxy user and password will identify the user to the internal server This information will be
18. updates can only be made when the accociated give up group within ACT remains unallocate or unclaimed Once partially of fully claimed no further updates to given up the trade will be permitted Ice www theice com 3 5 Mass Removal Feature To mass remove incorrect data from user editable fields for a group of trades first select the group or trades to be edited Eae MWM P P l ATEST oc 2 jes TEST TEST TEST TEST TEST TEST TEST TEST TEST AP1 AP1 AP1 AP1 AP1 AP1 AP1 AP41 OB OB Om Oma NN haaa NAD Right click on the column title for the column that data needs to be removed from A menu of actions will be displayed e Save Layout Save Layout As arst c 2 TEST AP1 TEST AP1 la TEST AP1 TEST AP1 TEST AP1 TEST AP1 TEST AP1 TEST AP1 TEST NN aa aA NA a AEE Click the Remove Field Name Column Data selection Save Layout remove Aloe mon column aata A confirmation menu will be displayed with a notification detailing the amount of trade records to be updated A This action would remove Alloc Meth for the selected 9 record s To continue with the Mass Removal of data click OK To stop the mass removal of data click Cancel ICE PTMS User Guide Page 19 Ice www theice com After selecting OK the trades being updated will be highlighted Click Save to finalize the changes or click Discard
19. user is changing the account or position account on the trade the transfers will automatically be matched allocated and accepted when reviewed on the transfer review screen Ice If the user wishes to modify a portion of a previously cleared transaction the quantity entered quantity can be less than the original quantity cleared but the user must enter an additional line item with the original clearing information to finalize the transactions os IDE CLEAR Drrake Adjpisimoent Oreabe Fue uss eect Originating Sine Oppose Sins a hag Ca Oty Dpp Member Opp Acct Dpp Pes fect Opp CT Op Leer Memi ms Z 60 op TEST 2 E 4 ISSR MANUAL Adl Remove ee ptn O opiy Opp Menber Opp Acct OppPox Ace Grii Grier D a772i side Biy ary 100 TF hec 20 12 ws Acct Pos Acct 3 CT erir iz56 Trade Dare 20 Aug 2012 Liter Meteo Opiate Sates Total Quantis 100 Sukni Cancel 6 5 Modification of Previously Cleared Trades If the user wishes to create an average price group from previously cleared trades the user can highlight the trades to be added to the average price group and enter the group id or new group ID if the trade was part of a prior day submitted AP Group in the AP Group ID field After clicking the Save button PTMS will assign the trade to the specified group and also mark the trade as A in the Alloc Meth indicator 6 5 1 Adding Previously Cleared Trans
20. 2012 113 34 Jan 2012 113 1 Feb 2012 112 47 Dec 2011 114 67 Feb 2012 Please note that the totals do not include volume on cancelled trades CNL ICE PTMS User Guide Page 15 Ice www theice com 3 4 Multiple Line Update PTMS allows a user to update multiple trade records simultaneously Enter the relevant Account Position Account CTI O C Rate ID C3 Trader ATOM Trader Allocation Method AP Group ID Destination Member Destination Account Destination Position Account Destination CTI Destination O C GU Memo Trader Memo and User Memo into any of the editable column header fields Next highlight contiguous rows by left clicking the first row of data to highlight the trade record Hold down the Shift key on the keyboard and scroll to the last row of data to modify and then click the last line with a left mouse click All rows between the first mouse click and the second mouse click will be highlighted After the trades have been selected and data entered into single or multiple edit boxes the user must click on the Apply button located on the toolbar above the data display panel PRICE CLEAR Post Trade Management System for User Clearing House PIMS Print Export Help Exchange ALL Trading Member ALL ha Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard Take o gt eE Trade Review sell Cont Comm Period
21. 223 XXX 224 XXX 227 OX EG 1228 KAR G i231 XXX G PRF XAX G To resize a column place the cursor on the edge of the column heading until a double headed arrow appears At the appearance of the double headed arrow click the left mouse button and hold it then extend or contract the column width by moving the mouse right or left To alter all the columns to the same size right click on the column header and select Pack Columns PRICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard A aly cir lt lt lt gt gt 4 iy 504 Discard Unsaved Changes Save Split Apply Trade Summary Trade Review Trade Parent Order Buy Sell Cont Comm Pic CRS TT Code Acct Pos Sy ID Trd ID Period Es CRS wl c eI vd E vt aie Save Layout As Select Layout gt I Delete Layout gt ene Pack Columns Ill Displayed trades volume Buy 1006 Sell 1440 ene O ETOM Displaying 50 records Page 1 of 5 205 records found y ICE PTMS User Guide Page 9 Ice www theice com Additionally unneeded columns can be hidden from a user s view by right clicking on t
22. E E EE 11 2 4 5 YS aS EEEE EEE esa E E E E E E E E nausea 11 3 Trade Review Screen sessssssssussansnsnsunsnsnsnnunsnsnsnnunsnsnonnunsnsnnnnnnnnnnennnnnns 12 3i Trade SUMMAFY sigan caduaenecsvoceusanioamaraseenecnesseenwmuauensasu diesem seiguewrantaviusenedew sau 14 32 Volume OF BUYS and SOUS cecansenaeiaatenunsawnncseseasanariaweia TA 15 So SUAS INS UG aS ria a a a E a taste atid 16 3 4 Multiple Line Update cc eeccccceeeeeeseeeeee seen nen eeeeeeeeseeeeeessennnanneeeeessnseeeenanes 17 3 5 Mass Removal Feature ccccccccsccccccuecesccuceuteeenseuceuteeeneeuueuteenneeugeuteesneeugeuresngs 19 PO SIL FUNCHOMAIILY sansetsacescosscmatacdansainetestsaniwienranudaahroosenstauniawbauiiacnrans tants 21 3 7 Give Up FUNCTtIONAILY ccc cece cece eee e eee eee eee ed Dennen e nee EEE ESSE 23 3 7 1 Marking 2 trade for GIVG UD scicssspesimistatatnieianeaiaiadsa tara E in e ier EED rii ea 23 3 2 Marking Trades with Destination information s s sssssssssssssssrrsrrnsrrrnnrsnrrennrnrrnnrenns 24 3 8 Average Price Functionality ssssssssssnsnssnsnsensssonensnnesnnnssnnnrnnsnrensnrnnenrenennnnne 25 F eD ete S A ee eer etre ree 27 4 AP Group Review Screen ceessccccocsncccsees suntdetaeanss cei aunacetananteeeacepecedeseneteeicene 28 Adl Review Detalls au sstueacsenuuaniaacevandanbevepecanauencseniwenianecsaneseduteneonanuanreeseutnatinedeaniens 30 A ADNE GOUD i a e E a tress 30 5 Transfer Review SCreen cccccccsccssccuuccueeeuse
23. ICE Clear Canada can be requested through ICE Clear Canada Operations iccaops theice com or 204 925 5017 Access to the ICE Clear Europe Systems can be requested through ICE Clearing Operations iceuops theice com or 44 0 20 065 7600 Access to ICE Clear U S systems can be requested through ICE Clear U S iceclearus theice com or 312 836 6777 2 Logon to System To log into PTMS click on the applicable link ICCA https ptms caclearing theice com client ICEU https ptms euclearing theice com client ptms jnlp ICUS https ptms usclearing theice com client ptms jnlp The links can also be accessed through the respective clearing organization s technology pages which are available at www theice com or by clicking the applicable link below ICCA https www theice com clear canada technology ICEU https www theice com clear europe technology ICUS https www theice com clear us technology After clicking the link to launch PTMS the following Login Screen will be displayed PA ICE CLEAR Post Trade Management System A Version L ICE ciear User ID Password Login Cancel Proxy Settings Enter your assigned PTMS User ID and Password User IDs and passwords are case sensitive and must be entered exactly as created Upon first login to PTMS you will be required to change your password for security purposes The password must be a minimum of seven characters and contain at least
24. ICH e a r OO e l Del 202 k Dec 2012 DX Dec 2017 Dec 2012 z Dee 2012 DX Displ d trad B 48218 Sell 956 1 Sell 3f isplayed trades volume Buy pis eT eas OH Memon M Displaying 1622 records Page 1 of 1 16 This will update all of the selected lines with the information entered into the header boxes Once the lines have been updated the user must click the Save button located on the toolbar above the data display panel Prior to clicking the Save button the trades will be shaded in yellow This shading indicates that the trades have been altered but the data has not been saved to the PTMS database Trade Review Sel Cont Comm Period Leic a Ba 10 Tec 2042 Dx 130 Dec 2012 nx 13 Der 2M2 Ox 130 o Dee 2042 nx ox F E mi a o a es at ee ICE PTMS User Guide Page 17 Ice The following standard ICE Exchange business validation rules are applied to all trade updates e For ICEU the Position Account will be defaulted to U unregistered for all trades where the Allocation Method is updated to G e When marking for Give up if the Destination Member is entered it must be a valid Member If an invalid Member is entered the following error message will appear heel Invalid Destination Value Invalid Destination Value 7136196 Destination Firm is not a valid firm When a trade is marked for Give Up and then saved further
25. ICUS Used by to assign execution brokerage processed through ATOM from one trader to another Only TT Trade Type REG Regular BLK Block Trade EFP Exchange for Physical EFS Exchange for Swap TAS Trade at Settlement CRS Cross Trade MMK 8 30 Minute Marker AMK 4 30 Minute Marker TASB TAS Block The trader mnemonic associated with the transaction The source of the original transaction Electronic E Off Exchange X Indicator that identifies a transaction as being part of an average price group A or give up transaction G Allows for editing of previously cleared outright transactions calculated by PTMS 1 cleared outright trades cleared outright trades cleared outright trades The destination CTI for a trade or transaction Allows for editing of previously cleared outright IFED trades Dest O C ICEU Destination Open Close indicator For Give Ups only The user can specify here the recipients Open Close indicator to be applied to the trade View hidden initially See section 2 4 2 Pub Flag Published Flag indicating whether this a published or unpublished trade Y Published N Unpublished The trader on the opposite side of the transaction transfers only The relative direction of the transfer To will be displayed for transfers that are for the selected Trading Member to receive From will display on those transfers that the user has created Description of the transfer type POS ito
26. Ice Global markets in clear view ICE Clear PTMS User Guide Version 7 6 September 2014 This material may not be reproduced or redistributed in whole or in part without the express prior written consent of IntercontinentalExchange Inc Copyright IntercontinentalExchange Inc 2014 All Rights Reserved Ice Date Version Description sd thor 9 Sept 2011 Initial draft Nazareen Mahomed 14 Nov 2011 4 1 Updates All changes are highlighted in green Nazareen e Memo field is editable Page 14 Mahomed e Volume of buys and Sells Page 16 33 40 5 Oct 2012 Updated to reflects enhancements and changes pertaining to the Marc 6 0 release MacQuarrie 6 5 release MacQuarrie 7 0 release MacQuarrie 7 5 release MacQuarrie 7 6 release MacQuarrie Ice Table of Contents L PA GFOCGUGCU CMs sev cctacsenaanee tcresucaaeecutitietaiess ennai mesesuaainnaaes otanauannsiessunanvaaeestane 4 Z LOGON tO SY SUID serria carder da nacccec bxest secquetccentdusiceudameiccucaeeetsnceemecsictseeeeudarne 4 Zak PROXY SOUCINGS E EEE E E P TE EPEE EE 5 22 LOG File Location SSEUINGS orreri riuni AE N 6 r o eeN LAVOE E E A A E EE 7 24 SCreen Navigatie pen ogecsecredatneeredacenscsoneseaccdacscaeydadedarctataeseodecepasedaceccendadsiecstes 8 2 4 1 Se E S e A A aT 8 2 4 2 Column Location Size and VIEW sssesssssessssessssnsnnsnnnnnnsnnnnnnnsnsnnnnsnnsnsnnsnnnnenennnnnnnne 9 2 4 3 PICMG a E A E aero 10 2 4 4 ERDO Erer aO AEEA E E E
27. Submit button to add the new Short Code to the list of active short codes Ice www theice com 7 2 Managing Short Codes ey Discard Unsaved Changes save Apply Create Remove Short Codes ahorn Code Criteria ohiont Code Details Code Y Dest Dest Pos Acct TI 99 BANANA Users also can manage and update Short Codes within the Short Codes screen A single Short Code can be updated by inputting the new Short Code details then clicking the Save button Multiple changes can be accomplished at one time First enter the relevant short Code details into any of the editable column header fields Next highlight contiguous rows by left clicking the first row of data to highlight the trade record Hold down the Shift key on the keyboard and scroll to the last row of data to modify and then click the last line with a left mouse click All rows between the first mouse click and the second mouse click will be highlighted After the Short Codes have been selected and data entered into the multiple edit boxes the user must click on the Apply button located on the toolbar above the data display panel Short codes can also be deleted by highlighting the short code then clicking the Remove button If it is determined that none the updates are required click the Discard Unsaved Changes button 7 3 Applying a Short Code Once the Short Code has been added the instructions associated with the short code can be in
28. US and IFED and opposite user text PA ice CLEAR US Create Adjustment Create Adjustment Originating Side Opposite Sides TM 984 Opp Qty Opp Member Opp Acct Opp Pos Acct Opp CTI Opp O C Opp User Memo O a84 PARENT Ic jla Mi USER MANUAL Add Remove Orig Trd ID 345605 0 Opp Member Opp Acct Opp Pos Acct Opp CTI Opp O C Opp User Memo Orig Order ID 4091347 32 984 PARENT c 4 USER MANUAL Side QTY Exch Comm Cont Period Pos Acct CTI OC Trade Date 04 Aug 2014 User Memo Opposite Sides Total Quantity 32 Cancel The user must enter the corrected information onto the top entry line they must then click ADD button The new transfer details will appear in the lower pane If the user has made adjustment to the entire trade Originating side quantity is equal to opposite side quantity The user must click SUBMIT to create the adjustment This action will create two transactions An identical transaction as the originally cleared transaction Buy Sell side will be reversed will be created as well as a new transaction with the updated information will be created These new transactions will appear on the Transfer Review screen for additional management If the trading member was modified a new transaction claiming the new member will also be generated If the trading member on the transaction has not changed the
29. Unsaved Changes to disregard the mass removal request Data will be removed ICE PTMS User Guide Page 20 Ice 3 6 Split Functionality The split functionality allows the user to assign allocate portions of a trade to more than one account Member To engage the split feature simply double click on a trade record from the Trade Review screen The split screen can also be invoked by clicking on a trade record to highlight the line and then clicking the Split button located on the toolbar above the data display panel Exchange Trading Member aL ly Current Clearing Date Trade Review Short Codes AP Group Rewiew Transfer Rewiew Prewioushy Cleared Transactions Dashboard aeree E ferns cranes sve svu Jy rae summen After double clicking the highlighted line or clicking the Split button PTMS will display a pop up window entitled Multiple Allocation This screen is used to split a larger trade into one or many different accounts PRICE CLEAR US Multiple Allocation Trade ID 276238 Trade Date 05 Aug 2014 Acct TEST Pos Acct C CTI 4 O C O Trader 985 Trader Memo OPPTRTXTEIURK us Contract Period Mar 2015 Price 20 Put Call Strike Dest Member Dest Acct Dest Pos Acct Dest CTI Dest O C Dest Memo C3 Trader ATOM Trader Lots to be Allocated Buy O Sell O CLEAR ROW CANCEL OK The top area of the split allocation window details the ori
30. a predefined set of instructions Please refer to Section 7 for additional information Acct The account assigned to the trade Editable field Pos Acct The position account assigned to the trade Editable field Customer Type Indicator is used to identify the customer type for the specified and IFED customer code Select the appropriate CTI from the drop down list 1 for Floor trader personal account 2 for proprietary house accounts 3 for executions for other floor trader s personal accounts and 4 for any customer non member accounts Open Close indicator indicates whether trade is opening or increasing an outstanding position or closing or decreasing an outstanding position If an Open Close indicator is not provided at point of trade execution the system will default indicator will be Open View hidden initially See section 2 4 2 An editable field used by the execution firm that allows the executing and claiming firm to identify how the trade was executed The rate identifier is passed through on all subsequent trade and give up messages as well as to eGAINS Refer to Appendix 4 for a list of valid rate identifiers View hidden initially See section 2 4 2 C3 Trader Used to designate the third party broker mnemonic for ICUS compliance purposes IFUS Only The C3 broker is provided only when a member trader executes a trade for an account of another trading member who is trading and on the floor of the
31. action to AP Group The trade will be displayed on the Group Review screen with any other trades with the same Trade Date Commodity Side Expiration Strike for Options Put Call designation for Options and Group ID The user will be able to manage the Average Price Transaction from the Group review screen See Group Review 6 5 2 Marking a Previously Cleared Transaction for Give Up It is also possible to give up previously cleared transactions in the same way as you would a top day trade All the same columns are available to enter Give Up details Dest Member Dest Acct Dest Pos Account Dest CTI IFUS and IFED and Give Up Memo When a Previously Cleared Transaction has been marked for give up and saved it will pass the trade through to the ACT system for further processing J i VAJN AJ A VW VV v VV VV VV w7 yw theice com 7 Short Codes The Short Codes screen is used by traders clerks and back office users to facilitate the creation modification and or removal of rules that automate account information updates as well as add Give up allocation instructions to trades within the PTMS system Each rule is defined and assigned a unique Short Code When a short code is applied to a trade the rule associated with it is automatically applied thus providing PTMS users a quick and efficient method to update the associated account information as well as provide Give up allocation instructions Short Codes and their rule
32. actions for their firm and or division each user can access the outstanding transactions quickly within PTMS and ACT in order to perform further management of these transactions To do so click the applicable hyperlink within the outstanding transactions Count column Outstanding Claims After clicking the Count link the user will be navigated to the PTMS or ACT where the selected outstanding transactions will be displayed After management of these transactions a user can refresh the Dashboard screen so that it provides the most up to date view This can be accomplished by clicking the Refresh button which is available towards the top of the screen on the right hand side Last Updated Time 10 Oct 2012 12 32 04 The dashboard screen will also automatically update on its own every five minutes To determine the last time the Dashboard had been updated the last update time is displayed and located next to the Refresh button Furthermore users can export a Give up Activity report from the Dashboard screen Reports Give up Activity Report To export a Give up Activity report click the Gitve up Activity Report button found at the bottom of the Dashboard screen PTMS will prompt the user to specify a file name for the new file and allow the user to specify the location for the file After entering the file name and specifying the location click SAVE The Give up activity report will be saved to the specified loca
33. age price to 7 decimal places it will also calculate the residual price per lot PTMS allows the average price to be overwritten via the API and GUI Trades can be marked and submitted for Average Price groups via PTMS or via the API To mark a trade for average pricing via the GUI the user must highlight the line and enter an A in the Alloc Meth column and with a user assigned ID in the AP Group ID field To mark multiple lines for averaging highlight a series of lines by simultaneously pressing Ctrl and individually selecting the lines After all lines are selected enter an A and AP Group ID in the column headers and click the APPLY button at the top of the menu This will place an A and the AP Group ID in the respective columns on all of the selected trades After the trades have been marked click SAVE to finalize the changes PRICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL v current Clearing Date Trade Review Cont Comm i AP Alloc Dest Period Acct GRP ID Meth Member Rae Rie m Jan 2013 Jan 2013 Jan 2013 May 2013 May 2013 Oct 2012 Sep 2012 Oct 2012 7 iziii O EJEJEJ H N Trades cann
34. applied to the data by selecting the drop down icon in the header row and selecting the filter to apply to the data Trade Rewiew Short Codes AP Group Reviews Transfer Review Prewoush Cleaned Transactions Dashboard Discard Unsaved Changes Save Spit Apply Trade Summary Trade Review Trade Parent ID Tra Jan 2013 Mar 2013 Mar 203 Ice www theice com Common and or repetitive searches can be saved for later use by right clicking on any column header and selecting Save As and specifying a name for the filter Saved searches can be selected by right clicking on any column header and selecting Select Search Saved search can be deleted by clicking the column header and selecting Delete Search Hide Faramt Tra ZAIMA Show Columns amp Tarimo laronasa Save Layout AG0lOnT Save Lapo As Sebeet Lpo Jarta san Ai Jeb S004 szga dabii 14 Jube Tubs fii TIJU 14 Juha_ Pod abet Tidus 14 Juba TJ igen LECS a 4 amp de Ott paene mazi a Save Search PET Jaz p p t plpa SEE T zz T 2 4 2 Column Location Size and View The location and size of each column on all PTMS screens can be tailored to suit each user s personal preference To move a column left click on the column header and hold the mouse button down drag the column to the desired location and release the mouse button ID Parent Trade ID Trading Member i
35. ation UA Unmatched Allocated Status of the position transfer in the From Member s screen which Transfer has not been accepted by the opposite member A Notification Not Input U Unmatched Allocated Transfer U Matched Unauthorised PEND Matched Allocated Pen Status of transfer that has been submitted to Clearinghouse for Notification ding Clearinghouse approval approval epted Clearinghouse Clearinghouse Clearinghouse Status of alleged position transfer in To Member s Screen which has not been accepted TRS To Member has to input opposite side of the trade to Accept the allege PTMS Member has to select the Accept box M A ICE PTMS User Guide Page 56 Ice APPENDIX 5 APPLICABLE TRADE TYPES IFEU and IFUS FIXML CODE TRADE TYPE BLK EFP
36. blish short code criteria F i gt r AC AAr gt 1 in rT Dan A A F N o USEr UU CA agde 4 L VINI VW NA UTA AU we N N DCI DESCRIPTION A user assigned short code to be used to apply Give up allocation instructions within the Trade Review or Split screen The code can be a combination or alpha and numeric characters The same customer code can be used multiple times as long as each instance of the code has unique criteria associated with it The execution firm associated with the trade Specifies that PTMS will only apply the associated clearing information when the defined trader is present on the trade record Specifies that PTMS will only apply the associated clearing information when the defined commodity is present on the trade record Specifies that PTMS will only apply the associated clearing information when the defined account is present on the trade record Mice CLEAR Create Short Codes PosAcct CTI C3 Trader User Mar pee eN e A jes Dest Memo ACC es AUU Clear Add Short Code Criteria Short Code Details z Exp Date Failure Reason Thi Trader Comm Acct Acct Pos Acct CTl C3 Trader User Memo DestMember DestAcct DestPos Acct Dest CTI Dest Memo SC 1 UPDATES GIVE UP c 4 cLam meE 123102020 I gt Number of Short Codes 1 Copy Entry ClearEntry Cancel Submit Next define th
37. d to add CTI IFUS and IFED and Account to the AP Group and click Save the option to Submit will then be available Simply highlight the group line and click the Submit button ACCOUNT When an Average Price Group is initially created it will have a status of I In Progress this will update to S Submitted after the Submit button is clicked When the group is in S status no trades can be added or removed from the group If the group is Submitted in error the user will need to access ACT in order to re open the group Please see ACT User Manual for further information Whether the Group has been submitted or is still in progress it will remain on the Group Review screen for TWO days Ice 5 Transfer Review Screen This screen allows the selected Member user to review accept challenge or create a position transfer for top day clearing After accessing this screen the user can filter criteria to focus their search to a specific set of transactions or they can review all transfers that have been created by their associated Members or by other Members that are transferring to the selected Member PTMS will display all transfer trades that meet the filter criteria entered For each transaction the following information will appear COLUMN DESCRIPTION Select to Accept a transfer MAA status MAC status Trade ID The trade ID associated with the transfer a unique id for th
38. e line item displayed O gt lt m The relative direction of the transfer To will be displayed for transfers to your selected From To trading member From will display on those transfers that you have created The Member selected to Transfer the position from Opp Member The opposite trading member associated with the transfer adjustment Trade Date The date of the transfer defaults to current business day QTY Quantity of contracts being transferred Long or Short originally traded instrument commodity transfer Price The price of the transfer P C The Put or Call designation options only for the transfer Acct The account assigned to the transfer editable field Pos Acct The position account associated to the transfer adjustment CTI IFUS and IFED Customer Type Indicator is used to identify the customer type for the specified customer Ice code Select the appropriate CTI from the drop down list 1 for Floor trader personal account 2 for proprietary house accounts 3 for executions for other floor trader s personal accounts and 4 for any customer non member accounts Open Close indicator indicates whether trade is opening or increasing an outstanding position or closing or decreasing an outstanding position C3 Trader ICUS Used to designate the third party broker mnemonic for ICUS compliance purposes O C ICEU The C3 broker is
39. e short code details These are the instructions that will be executed by PTMS when the Short Code has been applied to a trade The following short code details can be used to define account information updates and if needed further Give up allocation instructions FIELD DESCRIPTION The account that the trade will clear in Position Account The position account associated to the transfer adjustment CTI The relative direction of the transfer To will be displayed for transfers to your selected trading member From will display on those transfers that you have created C3 Trader ICUS Used to designate the third party broker mnemonic for ICUS compliance purposes The C3 broker is provided Ice only when a member trader executes a trade for an account of another trading member who is trading and on the floor of the exchange at the time the trade was entered User Memo _ _ o o User Memo User provided text added to the transaction Destination Member The destination member that the trade will be given up Destination Account The destination account that the trade will be given up Destination Position Account The destination position account of the firm that the trade is given up Destination CTI IFUS and IFED The price of the transfer Destination Memo User provided text added to the Give up allocation which can be reviewed by the claiming firm Expiration Date The date that the Short Code is will expire and n
40. eviously cleared trades Ice www theice com 3 1 Trade Summary The trade summary is accessed via the Trade Review screen and displays trades aggregated by Commodity Commodity and Month or Commodity Month and Price Mici CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Trade Review Short Codes AP Group Review Transfer Review Previously Geared Transactions Dashboard pado i ae i i Z B RE i i amp O ioe 4 4 4 Jed 22 ale X a uses eSexeesessseee z z z z z 0 siz 2 z2 2 f NN N aN Se NN WN AG a eo PN See Se es i Displayed trades volume Buy 16386 Sell 17279 r E Displaying 991 records Page 1 of 1 991 records found 7 y PRICE CLEAR Trade Summary Trade summary can be filtered by Trading Member Trader Commodity Contract Period Price Account Pos Acct O C Rate ID Dest Member Dest Acct Dest Pos Acct Dest CTI Dest O C Buy and Sell Select the aggregation parameter by selecting the tick box in the header row of the trade summary screen ICE PTMS User Guide Page 14 Ice www theice com 3 2 Volume of Buys and Sells At the bottom of the Trade Review screen PTMS displays a total volume for buys and sells for all trades displayed on the screen and for trades selected on screen Trade Review Trade Trade Deal Cont Date ID ID Period m IES
41. ganane 48 7 3 Applying a Short Code viccssccsivtntansincanaesencesawsdaaawsaniaestacsdensweesesdsdawstesaenesinasiaws 48 S PIM Dac nDO erran E EEEE NEEESE ST 49 Sd De Doar FOCU ace ae te E 50 9 System Alerts sanccsveaseqcuadansasseaaangessdacsaunseabsaausdaaiecscadseadsaturasessaaaeeessaaeiacens 51 9 1 Informational Alerts sessssssasesensnsrrnrnnnnrnrnrnrnrnnrnrnrnrnnnnnnrnrnrnrnnrnerrnrnrnnrnrnrnne 51 2 EATS Fy StS es oer saree vanes E N at vawaew A E E EA 51 IO LOO ise ees cee re E ees enecereteenrerceesecuretessronesenccesesesarasncteneeoe 52 LL APP NI mncciaececstncacotagnanwanimceseneseaaauss A 53 Ice 1 Introduction The Post Trade Management System PTMS is used to manage the clearing of trades executed on ICE Futures Canada IFCA ICE Futures Europe IFEU ICE Futures U S IFUS and IFED and ICE OTC trading platform This document will describe how PTMS is used by Clearing Members and Exchange Members that access the ICE Clearing Systems to manage the clearing process of trades executed on the above mentioned trading platforms Please note for brevity the term Member is used throughout this document to refer to both Energy Clearing Members and Exchange Members that access the ICE Clearing Systems Each PTMS user will be issued a unique user ID and password A user will have screens available for processing trades that have been executed on the ICE Futures and ICE OTC trading platforms based on their permissions Access to
42. ginal trade The trade details include Trade ID Trade Date Account Position Account CTI O C Code Trader Trader Memo Buy or Sell Trade Quantity Exchange Commodity Contract Period Put Call and Strike On the first line of the edit grid the total quantity will appear in the QTY column The Destination Member Destination Account Destination Position Account Destination CTI Destination O C code and Destination Memo will appear along with C3 and ATOM Trader for ICE Clear US members On the first line of the edit grid the total quantity will be displayed the user can change this quantity and enter the desired quantity to be assigned to a specific account or they can update the Destination Member to another Member This will mark that part of the split to be given up once the split is saved Alternatively enter a quantity on the second line of the edit box please note that the new quantity must be less than the total quantity of the original trade the top line quantity will automatically reduce by this new amount so the total quantity remains the same The Dest Member Dest Acct Dest Pos Account C3 Trader and ATOM Trader will default to what the original trade values associated with the trade If needed these fields can be updated to as required C e www theice com MA ICE CLEAR US Multiple Allocation a Trade ID 276238 Trade Date 05 Aug 2014 Acct TEST Pos Acct C CTI 4 O C O Trader 985 Trader Memo OPPTRTXTEIURK
43. he top of the specific column to be hidden then selecting Hide Selected Column Columns that are hidden from a user s view can be re displayed by right clicking the top of any column then selecting Show Column A list of hidden columns will appear Select the specific column to be added back to the user s view or choose All Columns to simultaneously re display all hidden columns Orig Trd ID ff Show Columns gt Exch E Save Layout Save Save Layout As As All Columns Columns Oct 2014 K i f i ave Searc Oct 2014 Li a 22 Mar 2015 J Pack Columns 22 Sep Mar 2015 d 22 Sep Mar 2015 23 Sep Once a user has customised a screen layout it can be saved by right clicking on any column header and selecting Save As and specifying a name for the filter Saved layouts can be selected by right clicking on any column header and selecting Select Layout Saved layout can be deleted by clicking the column header and selecting Delete Layout 14 Jubz Tidy fiii TI Juk TI Juhz Tidy Viduka 11 Jule 14 Jubz_ LESTIET Jub2044 hill SH dik Shi i maton Jeb FeZn haii Jub S04 PET dait i Save Layout 4 Lapoui As i Esteet Layout ol Save Search Aw plt eae e a Sz 2 Siz z z z z Select Search Delta Search Pack Cajuns
44. hrough FIXML messaging This screen will display all Average Price groups that have been created by the user and the status of the group The screen also allows the user to review and remove individual components of an average price group and to submit groups to ACT for Give up ICE CLEAR Post Trade Management System for PTMS Print Export Help c i I Exchange Trading Member Select v urrent learing Date Ideas l Ice l Trade Review Short Codes AP Group Review i Transfer Review Previously Cleared Transactions Dashboard A alr lcir lt lt lt gt gt 1 M sof Discard Unsaved Changes Save Apply Review Details Submit Cont Period Kaje yi wo fy 2599 Mar 2014 75 2300000 215970 Mar 2014 75 3800119 215974 Mar 2014 75 1826439 215964 Mar 2014 75 4501887 215957 Mar 2014 75 6100000 Displaying 26 records Page 1 of 1 26 records found Connected O Memory Each column displayed represents the details of the Average Price group and will display the following items COLUMN DESCRIPTION Unique ICE assigned ID The residual cash difference per contract quantity unit between the rounded average price and the actual average price Override Price A price submitted by the executing firm that overrides the PTMS calculated Actual Average Price for the applicable group The Overr
45. ide Price becomes the new Average Price on Subsequent give up transactions associated with the group Account Reference for group Ice www theice com CTI IFUS and IFED Customer Type Indicator is used to identify the customer type for the specified customer code Select the appropriate CTI from the drop down list 1 for Floor trader personal account 2 for proprietary house accounts 3 for executions for other floor trader s personal accounts and 4 for any customer non member accounts Trader Trader mnemonic associated with the AP Group Trader value is used as ing criteria in creating the trade Free text field for back office users in which a memo can be added to the trade being given up S Submitted to ACT Function buttons along the top allow the user to manage the average price groups Post Trade Management System for User Clearing House PTMS Print Export Help Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard A cir 4 iy so Discard Unsaved Changes Save Apply Review Details Submit AP Group Review GRP Cont Override Acct ID Period Price al on a fe Kale 101005 Jan 2013 20 9500000 101014 Jan 2013 20 1500000 101018 Jan 2013 21 0500000 102146 Mar 2013 177 3500000 Displaying 47 records Page 1 of 1 47 records found Connected O Memory I ICE PTMS User Guide Page
46. if a SELL Exchange in which the trade was executed View hidden initially See section 2 4 2 The position account that was recorded on the cleared transaction CTI IFUS and IFED Customer Type Indicator is used to identify the customer type for the specified customer code Select the appropriate CTI from the drop down list 1 for Floor trader personal account 2 for proprietary house accounts 3 for executions for other floor trader s personal accounts and 4 for any customer non member accounts O C ICEU Open Close indicator indicates whether trade is opening or increasing an outstanding position or closing or decreasing an outstanding position If an Open Close indicator is not provided at point of trade execution the system will default indicator will be Open Rate ID An editable field used by the execution firm that allows the executing and claiming firm to identify how the trade was executed The rate identifier is passed through on all subsequent trade and give up messages as well as to eGAINS Refer to Appendix 4 for a list of valid rate identifiers View hidden initially See section 2 4 2 Ice C3 Trader ICUS Only Used to designate the third party broker mnemonic for ICUS compliance purposes The C3 broker is provided only when a member trader executes a trade for an account of another trading member who is trading and on the floor of the exchange at the time the trade was entered ATOM Trader
47. ilure Reason Clear Entry Cancel The user inputs transfer information in the fields provided along the top of the window The user enters the following information for each transfer From Trading Member From Account From Position Account From CTI IFUS and IFED From User Memo Optional Original Trade Date Quantity Buy Sell Commodity Contract Period MMM YYYY or DD MMM YYYY P C flag Options only Strike Options only Price To Trading Member To Account To Position Account To CTI IFUS and IFED To O C code ICEU To User Memo Optional Ice After the information has been entered click the ADD button to add the information to the main entry pane Trade Details To Side Acct Pos act CTI UserMemo Trade Date QTY BuySell Comm ContPeriod Pic Strk_ Price Acct Pos Acct CTI User Memo D 4 10 Sep 2012 100 se oct 2012 19 98 TOSIDE Trade Details Status Acct ey Acct CTl UserM Trade Date Bu Pos Acct CTI User M Failure Reason por laron ios Sep 2012 c 4 10 Sep 2012 100 Once the desired transfers have been added to the entry window they can still be edited by simply clicking in the cell you wish to update and then make the correction The edit line will retain the information entered If the user wishes to add m
48. ld like to cancel this transaction Yes No Ice www theice com 6 Previously Cleared Transactions The Previously Cleared Transactions screen allows the users to review and manage trades from the previous TWO business days This will allow the users to correct and adjust trades that may have cleared in the incorrect account position account combination In particular it allows the user to rectify any trades that cleared in an incorrect Position Account D for ICEU or C H for ICUS It also allows ICUS users to update the CTI code and ATOM trader affiliated with a trade If need be trades from this screen can also be given up or added to average price groups PR Ice CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL v Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard g Q M cir lt lt lt gt gt h r sof Cleared Date Discard Unsaved Changes Make Adjustment Reverse Save Apply Previously Cleared Transactions Dest Dest Member Pos Aci Eae 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 07 Sep 2012 4 i
49. n APT Average price transfer REV ersal ADJ ustment transfers of previous day trades Original Order ID Original Order Id the original order id associated with the underlying PTMS trade available for transfers of previous day trades Final status associated with previously cleared transaction Ice www theice com 6 2 Total Buys and Sells At the bottom of the Previously Cleared Transaction screen PTMS displays a total volume for buys and sells for all trades displayed on the screen and for trades selected on screen Previously Cleared Transactions Trade Trade Txfer From To Cont Date ID Type Period Sees aa aaa a 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 11 Nov 2011 2012 97 75 Jun 2012 97 75 Jan 2012 97 75 Jun 2012 125 0 32 May 2012 125 0 32 Feb 2012 125 0 32 Apr 2012 97 75 Jan 2012 125 0 32 Apr 2012 125 0 32 11 Nov 2011 Mar 2012 125 0 32 11 Nov 2011 Mar 2012 97 75 a r a mran O a aa 11 Nov 2011 2os7504 Rot 8 MMov 2011 2047503 Jo Rete 11 Nov 2011 2047502 R Jazo o oa 11Mov 2011 2047501 R apon 11Mov 2011 207500 R mama 2 2047499 2047498 no r r r r r r r r r 2037213 20343974 20343973 11 Nov 2011 2034972 isplayed transactions volume Buy 90 Sell 1159 Selected transactions volume Buy 36 Sell 750 a isplaying 29 records Page 1 of 1 29 records f
50. n the right hand side of the screen This will open up a text box where users are able to enter and submit the feedback PIMS Print Export Help Exchange Trading Member ALi Current Clearing Date vd Hide Ideas Trade Review Short Codes AP Group Review Previously Cleared Transactions Dashboard El cir lt r zz Discard Unsaved Changes Trade Summary ICE PTMS User Guide Page 11 Ice 3 Trade Review Screen The Trade Review screen allows a user to review and manage trades that have been executed on the ICE Futures Canada ICE Futures Europe ICE Futures U S and ICE OTC trading platform The trades can now be marked for give up split into different accounts or included in an Average Price Group Through this screen the Account and Position Account can also be added amended on trades which have not been marked for give up The following columns will be displayed under this tab COLUMN TradeID Sell Comm Cont Period _ Strk O P C i O Price CRS Pos Acct CTI IFUS COLUMN Trade ID Sell Exch Exchange on which the trade was executed View hidden initially See section 2 4 2 Comm Cont Period Strk P C Price Trade Type REG Regular BLK Block Trade EFP Exchange for Physical EFS Exchange for Swap TAS Trade at Settlement CRS Cross Trade MMK 8 30 Minute Marker AMK 4 30 Minute Marker TASB TAS Block CRS Code An editable field used to input a predefined short code that initiates
51. o OPPTRTXT8YRCJ Price 1 Trading Member 986 Dest CTI User Memo Trade Type EFS Opp Member 985 Dest O C Cross Trade Trade Date 05 Aug 2014 Opp Trader 985 Giveup Memo Cabinet Trade Ind Matched Date 05 Aug 2014 11 37 29 Last Update User mmacq manual Rate Identifier J Entering Broker Last Update Time 05 Aug 2014 12 16 26 Entering Broker Company Show Audit Details Close Save The full audit details of a trade are viewed by selecting the Show Audit Details button Update User Update Time cese aest ron aent C3 Trader ATOM Trade ere AP GRP ID Dest Membet Dest Acct Jest Pos Ac tradeimpor 05 4ug 201 TEST mmacq mia 05 Aug 201 1 mmacq ma 05 Aug 201 TEST1 mmacq ma 05 Aug 201 TEST2 mmacq ma 05 Aug 201 TEST3 mmacq ma 05 Aug 2014 TEST3 4 If a trade has not been marked for Give up the user will be able to update the CTI IFUS and IFED Account or Position Account field and or mark the trade for give up or an AP Group via this view Any updates made in this window must be saved before exiting the screen Updates are saved via the Save option ICE PTMS User Guide Page 27 Ice 4 AP Group Review Screen The AP Group review screen allows the Member user to review modify and manage Average Price groups that have been created from the Trade Review screen or t
52. o longer be applicable A user has the option to establish a Short Code that does not contain short code details however it is recommended that at least one detail be provided when establishing a Short Code Once the short code criteria and details have been input click the ADD button to add the Short Code to the review section To start over click the Clear button Short Code Criteria Short Code Details Trader Comm Acct Acct Pos Acct CTI C3 Trader User Memo Dest Member Dest Acct Dest Pos Acct Dest CTI Dest Memo 99999 NEVA c 4 Sc 1 UPDATES 998 w GIvE uP C 4 CLAIN ME 12131 2020 Exp Date The Short Code will appear in the entry area This gives a user an opportunity to review the Short Code prior to final submission If a change needs to be made to the Short code it can be done so at this time The short code can also be copied so it can be used in the creation of additional short codes click the Copy Entry button Also if it is determined that the Short Code is not needed it can be removed by clicking the Clear Entry button Short Code Criteria Short Code Details Exp Date Failure Reason Code Th Trader Comm Acct Acct Pos Acct CTI C3 Trader User Memo DestMember DestAcct DestPos Acct DestCTl Dest Memo a a p 99999 NEW 50 1 UPDATES GIVE UP C 4 cCLAM ME 12302020 Number of Short Codes 1 Once the Short Code s have been verified click the
53. of the second business day the transfers will be removed from PTMS A transfer can be challenged if the user has accepted the transfer in error The status of the transfer will be changed to MAC Matched Allocated and Challenged If the From Member does not cancel the transfer by the end of the business day the transaction WILL CLEAR at the end of the day as if it had been accepted Transfers that have been accepted and are subsequently challenged must then be cancelled in order to avoid the clearing cycle To Members are advised to contact the From Member if they have challenged a previously accepted transfer to ensure that it is cancelled 5 5 Cancellation of a Transfer If a transfer is created in error the transfer may be cancelled under the following conditions the transfer has been challenged by the opposite member or e the transfer has a status of UA trade has not been accepted by the opposite member If the transaction is eligible for cancellation the creating firm can click on the record to highlight the transaction then click in the checkbox under the column heading CXL PTMS will display a warning message If the user clicks Yes the status of the trade will be set to status CNL Cancelled If the user clicks No the transfer will be reset to the previous status Cancel Trade A No further changes can be made after this transaction is cancelled Are you sure you wou
54. ore position transfers they can edit any or all of the fields for the new entry If they wish to clear the edit line the user can click the Clear button located at the top of the window pane next to the Add button This will clear the information entered in the edit line only bunt Position Account User Text Opp If the user wishes to remove a specific entry from the window the user must highlight the entry line within the transfer entry window and click the Clear Entry button at the bottom of the window This action will remove the entry from the window If the user has entered several transfers and wishes to copy a specific line the user can highlight the desired line and click Copy Entry The information displayed on the line item within the transfer pane will be copied to the edit line The user can modify or edit this entry and click Add to add it to the entry window After the user has entered all position transfers into the entry window they can finalize the creation of the position transfers by clicking the Submit button This will validate the entries and create the new transfers Alternatively if the transfers are not needed at this time the user can simply click Cancel and the transfers will not be created and the Add New Position Transfer window will close comyenry cieareniy cancer T T Submit The status of these transfers will be initially marked as UA unmatched
55. ot be split after they have been marked for average pricing Unable to plit i Gi Allocation marked for Average Pricing cannot be split When a trade is marked for average pricing the following fields will become un editable as they only apply to trades marked for Give Up e Dest Member e Dest Acct e Dest Pos Account Ice e Dest CTI IFUS and IFED e Dest O C ICEU e Give up Memo Trades may be marked as Average Price eligible when the order is created from the front end trading platform These trades will appear in PTMS as marked for average pricing i e the Alloc Meth column will be populated with A The AP Group ID to which the trade is intended to be part of can also be specified via the front end trading platform which will reflect in the Group ID column in PTMS Trade Review screen Users can unmark trades that have been marked for average pricing by simply removing the A in the Alloc Meth column and clicking the Save button This action this will also remove the group ID if one had been entered Once a the AP Group ID has been added and saved it will create the Average Price Group ready for review and submission to ACT These Average Price Groups can be viewed in the Group Review screen PLEASE REFER TO GROUP REVIEW SCREEN SECTION FOR FURTHER INFORMATION Ice www theice com 3 9 Trade Details To view the trade details of a specific trade click on the Trade ID number highlighted in blue and unde
56. ound ICE PTMS User Guide Page 41 Ice 6 3 Reversing a previously cleared Position Transfer If the user has identified a transfer that must be reversed the user must highlight the transaction and click the action button along the menu bar at the top of the screen titled REVERSE This action will cause PTMS to display a confirmation window as shown below PA ICE CLEAR Reversal Transfer X This action will reverse the selected transaction Trade ID 7138463 Opposite Trading Member YYY If the user wishes to continue clicking OK will create a transfer that can be viewed in the Transfer Review screen with Transfer Type REV the opposite party will then need to accept this transfer for it to clear or challenge if they do not agree the reversal To return to the screen without creating the reversal transaction the user can press CANCEL No additional transfers will be created if the user has clicked the cancel button Ice 6 4 Create an Adjustment If the user has isolated a previously cleared transaction that was cleared in error and needs to be corrected the user can select or highlight the trade and click MAKE ADJUSTMENT This will launch a new window with details of the selected trade displayed in the left portion of the panel Originating side The user has the ability to modify any of the following modifiable fields Quantity opposite member opposite account opposite position account opposite CTI IC
57. ouse approval RejectAlocation OOO OOS Rejected REJ Reject Allocation Initiated Reverse RRV Request Reversal of a Claimed Allocation Unallocated UA Group is un allocated Allocation Qty 0 Unclaimed Un claimed Pending Allocation ICE PTMS User Guide Page 53 Ice APPENDIX 2 TOP DAY TRADE STATUS TRS gt gt ACT PTMS MAPPINGS TRS Code PTMS ACT Code UR Unregistered Trade U Position Acct Unassigned position account trade has not been allocated or assigned to a position account RT Registered Trade Position Acct in PTMS or Trade that is assigned to a position account or has been allocated and C in ACT successfully claimed Unmatched Allocation Allocated ACT A UA Unclaimed ACT UC Unmatched Claim Unclaimed ACT Not Allocated Unallocated ACT Matched Split C Claimed ACT Unmatched Parent No PTMS ACT Equivalent NA di i t Available for Final Transition L ice www theice com APPENDIX 3 Rate Identifier Codes Price at Execution price added at initial order entry trade middle office or time of give up ICE PTMS User Guide Page 55 Ice www theice com APPENDIX 4 POSITION TRANSFERS TRS gt gt PTMS MAPPINGS Registered notification MAA Matched Allocated Acc TRS Status of internal position transfer epted PTMS Status of internal and external transfer where it is an external transfer it has been accepted by the opposite member Unmatched notific
58. played After logging into PTMS the user can then select the applicable Exchange and Trading Member combination they wish to view trade details for LAIVAIVAT tA AIPA AAM e VV V VVV L ISILGS UUI 2 4 Screen Navigation All PTMS screen navigation is similar and can be managed by using the buttons at the top right of the screen and filter criteria on each column Use the scroll bar at the bottom of the screen to view additional columns The tab menu bar allows the user to execute search filters and navigate through the data displayed using the following icons refreshes screen with latest data available based on the current search criteria ah executes the search based on search criteria selected clears search criteria O E navigates to the first page of data i navigates to the previous page gt navigates to the last page v navigates to the page number entered sH sets the number of lines per page 2 4 1 Sort and Filters To sort the data displayed in ascending order click on the red arrow The blue arrow will be displayed in the header row to denote that the column has a sort applied to it To change the sort to descending order click the arrow again and the blue arrow above will change direction Data can be sorted by any of the visible columns Trade Review f AP Group Review Transfer Review 2 l cue s lt L I so Trade Review Filters can be
59. provided only when a member trader executes a trade for an account of another trading member who is trading and on the floor of the exchange at the time the trade was entered User Memo User provided text added to the transaction Trader associated with the underlying PTMS Trader trade available for transfers of previous day Opp Member The opposite trading member associated with the transfer adjustment Txfer Type A description of the type of transfer POS ition REV ersal ADJ ustment The current status of the transfer UA Unmatched Allocated UAC Unmatched Allocated Challenged MAA Matched Allocated Accepted by both parties MAC Matched Allocated Challenged by receiving Member CNL Cancelled by creating Member REJ Rejected ICEU Created Date Orig Trd ID Original Trade Id the original trade id associated with the underlying PTMS trade available for transfers of previous day trades Status Orig Order ID Original Order Id the original order id associated with the underlying PTMS trade available for transfers of previous day trades For each line item three fixed checkboxes appear on the left side of the screen The column headings are A Accept C Challenge and CXL Cancel These checkboxes can be active depending on the current status of a transfer and the role the Member has in relations to the transfer If the selected Trading Member is the recei
60. r the first time the Trade Review screen will be the default screen displayed The tabs across the top right of the screen identify the screens available to the PTMS user PAICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange ALL Trading Member ALL Current Clearing Date 4042641 405260 4 The screens available are as follows 1 Trade Review Displays all top day trades for the selected Member and management thereof Including trade account management marking for Give Up and Average Pricing Short Codes Allows for the addition of user defined short codes which are used to quickly and efficiently mark trades for Give up and allocate them Group Review Average Price AP Group management screen From this screen AP groups can be submitted to ACT for Give Up processing Transfer Review Position Transfer management and creation screen Previously Cleared Transactions Displays all T 1 and T 2 trades for the selected Member including defaulted trades Adjustments for Previous and Prior day business can be executed from this screen Dashboard Provides Member staff with a summarized view of outstanding transactions sorted by status within both PTMS and ACT The screen also allows the users to select a group of transactions Once a group is selected the user will be navigated to the applicable application and the applicable transactions will be dis
61. rlined as per below MA ice CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL v Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard alake e 9 Trade Review Trade Parent Order Buy Sell Cont Comm Pic i Pos cTl AP Alloc ID Trd ID Period Acct GRP ID Meth vE a Cela telco Celica e elie ed ca ma Kale mi P a a ela ma MA wll ll 11172747 n e p 2h 110287 11182524 10 110265 11182435 ae 2013 mc 110168 11175457 Jan 2013 SB REG E Displayed trades volume Buy 890 Sell 1705 aie i Connected Memory f Displaying 50 records Page 1 of 59 2911 records found Clicking on the above link will open an additional window which will provide the trade details for that specific trade PRICE CLEAR US Trade Details Trade ID 152651 Code Deal ID 5113729 Parent Trade ID Buy 105 Account Orig Order ID 5113729 Price Ind Sell Position Account Order ID 5113729 Spread Ind Exchange CTi Alloc Meth G Aggressor Ind Commodity DX OIC AP Group ID Status Contract Period Dec 2014 C3 Trader Dest Member Source X Strike 76 ATOM Trader Dest Account Entering Trader ID fem 686 Put Call P Trader 986 Dest Pos Acct Trader Mem
62. rt messages are broadcast to users to convey critical information regarding PTMS ICE Clear Europe and or ICE Clear U S These alerts will restrict the user from any PTMS activity until the alert message has been acknowledged The Emergency alert will be displayed in the center of the PTMS application screen This pop up window will display the alert message and an OK button To acknowledge the alert and clear the notification from the screen click the OK button Critical Alert Fri Feb 18 10 58 41 GMT 2011 AN TEST ALERT PTMS will be shutting down at 7 PM if you have any questions please contact ICE Clear Europe AAA MMMM MMMM TEST ALERT If additional emergency notifications are sent they will be displayed in the order they were received After acknowledging the earliest the next more recent will be displayed If the user logs out and logs in at a later point in the same trading day if the alert message is still a valid alert it will be redisplayed Ice www theice com 10 Logout To log out of PTMS click on the PTMS menu in the upper left corner of the screen and select Exit from the menu You can also log out of PTMS by clicking the X in the upper right corner of the PTMS screen and then Yes to the Exit dialogue PIMS Exit Are you sure you want to exit ICE PTMS User Guide Page 52 L Ice www theice com 11 Appendix APPENDIX 1 PTMS ACT CODES PEND MatchediAlocated Pending Clearingh
63. s are defined and maintained at the user level PRICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange IFUS M Trading Member ALL Current Clearing Date Trade Review Short Codes fap Group Review l Transfer Review Previously Cleared Transactions Dashboard i mn E y Discard Unsaved Changes Save Apply Create Remove Short Codes Short Code Criteria Short Code Details Code Trader Comm Acct 99 BULLS C BEARS 99 BANANA C ORANGES Connected Memory Displaying 2 short codes 7 1 Create a Short Code To create a new short code click the Create button found at the toolbar above the data display panel Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard rn I NJ g Discard Unsaved Changes Save Apply create remove The create Short Code entry window will appear First if needed input the Short Code Criteria that will be used to validate if a short code can be applied to a trade Short Code criteria is optional a user can decide to establish some or no criteria in creating a short code The criteria defined for a short code must match the applicable information on trade for which the short code instructions will be applied If the criterion does not match the short code instructions will not be executed The following information can be used to esta
64. tion in Excel Format Ice 9 System Alerts ICE Clear administrators have the ability to send alert messages to users of the PTMS system These messages are displayed on the screens to notify the user about PTMS news information or notifications concerning ICE Clear Europe and or ICE Clear U S Two distinct message types can be sent by ICE Clear administrators Informational and Emergency 9 1 Informational Alerts The informational message alert is a small balloon message that appears in the lower right corner of the PTMS screen These alert messages will not restrict usage of the PTMS screens The information contained in the alert is sent to notify the user of non critical updates regarding PTMS ICE Clear Europe and or ICE Clear U S 7 TEST Message Brent TAS Price updates have been published TEST Message Connected Memory 02 18 11 11 01 The user does not have to react immediately to this alert The alert message will stay fixed in the bottom right corner of the screen until the user clicks on the alert Clicking on the alert will delete the message If more than one message alert appears they will appear sequentially starting at the bottom of the page As each alert is acknowledged the alert messages will be removed If no action is taken the alerts will remain until the user logs off If the user logs in and the alert is still valid or active it will be redisplayed 9 2 Emergency Alerts Emergency ale
65. uucceuseeuseuuueuuueesneeuueeutesnnsegueeures 31 Dek POCA BUYS GING SCS wiuanceatateantwnacaacasaareataaaanamirs EEN 33 5 2 Create Position TransSfer ccccccccccccccssecccecccceccuueeeeeeseeeeeeegucueeeeueeeeennnnsesagggggs 34 S3 Accepting POSIEIOM Transfers ca rasranarratcqwerecesaerusninceraskraetesi aeuvaaecaosuaeeeen carats 36 5 4 Challenging Position Transfers ccccccccccccccccccccccccccccccccccccccccccccssccsscssssssseegs 37 5 5 Cancellation Of a Transfer ccccccccccceceseeeeeeeeeeeeeeeeeeeeeeeeeeegggueeeeeeeeeennnnseeeaggggs 37 6 Previously Cleared Transactions ccccccc cece cece cece ee eeeeeeeeeeeeeeeeeeeeeeeeeeeenneaas 38 6 1 Search for Previously Cleared TranSactiOns ccccccceeeeseeeeeeeeeeeeeseeeeeeeeeegeeeeeenes 39 G2 WOtal BUYS aNd SES risiini ninae aaia heini 41 6 3 Reversing a previously cleared Position Transfer cccceeeeeeeeeeseeseeeeeeeeeeeeeeeeeees 42 Ot JC POSRS ail AGS Ge E aaan ceri eve veesssoeewens ger vaenacee N 43 6 5 Modification of Previously Cleared Trades cccccccccceeeeeeee ence eee eeeeeeeeeeeeeeeeeennees 44 6 5 1 Adding Previously Cleared Transaction to AP Group ccccccccceeeeeeeeeeeeeeeeeeeeeeeeeeeennnes 44 6 5 2 Marking a Previously Cleared Transaction for Give UD s sessssesssrersnrensnrenrnrenrenrenenene 44 Z NOn COIE e a E E A A A 45 Ful E E EE e COGS e E E E E E E A EES 45 Tue Manading SNOT COC acs ronaatnnnnteiesaasasnsaeasencsaneunseeactunaenstaenenencdria
66. ving entity the TO Member initially the A and C boxes will be active If the selected Trading Member is the creator of the transfer the From Member the CXL checkbox unless accepted will be active Ice www theice com MA ice CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member aL v Current Clearing Date Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard 2 Q v Cir lt lt lt gt gt gt 1 z so Discard Unsaved Changes Accept Selected Challenge Selected Cancel Selected Add New Position Transfe Transfer Review Le CXL Status Acct Trader Comm PIC From To Buy Sell QTY Cont Price Strk CTI Pos c3 Card T Period Acct Trader D c m ria a vi ele elie Fie we ele we ele eG Hy wl a I Mar 2013 442804 07 Mar 2013 442802 07 Dec 2012 442817 07 Dec 2012 442815 07 Dec 2012 i i OC O 42an or Dec 2012 442811 07 Dec 2012 442816 07 Dec 2012 442814 07 Dec 2012 442812 07 Dec 2012 442810 07 Yuan IOCIS 3 a A WOOO hy nnn gt Displayed transfers volume Long 240 Short 260 Selected transfers volum thai
67. voked by inputting the Short Code into the applicable trade s code field available within the Trade Review or Split screens then clicking the Save button Dest GU CTI Memo O I First locate the trade with matching criteria within the Trade Review or Spilt screens Pos CTI AP Acct GRP ID i el _ Second input applicable Short Code into the code field and click the Save button The Short Codes instructions will not be automatically applied Code Acct Pos CTI AP Dest Dest GU Acct GRP ID Pos Acct CTI Memo a eS es ee ee a set NewaccouT c 4 co 998 GWEUP c O a CLAM ICE PTMS User Guide Page 48 oe fie OE A a a ai am C eC ANAIAS TN QICA CAM WWW le iCe COT 8 PTMS Dashboard The PTMS Dashboard gives users a quick overview of all outstanding un matched PTMS and ACT transactions for the user s primary firm and if applicable division s in a single view PRICE CLEAR Post Trade Management System for User Clearing House PTMS Print Export Help Exchange Trading Member Current Clearing Date Ideas e Last Updated Time 10 Oct 2012 12 32 04 a Trade Review Short Codes AP Group Review Transfer Review Previously Cleared Transactions Dashboard l In Progress AP Groups Uncleared Transfers Count Unallocated Transactions 1419 Allocations Outstanding Allocations

ICE Clear PTMS User Guide

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