GOTX Back Office Supervisor
description
Transcript of GOTX Back Office Supervisor
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GOTX Back Office Supervisor
Trading
GO TX Wealth Management SystemChittagong Stock Exchange
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Table of ContentsGO TX Overview
Registration
Administration
Brokerage
Settlement
Accounting Statements
Accounting Transactions
Stock Accounting
Reports
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GO TX Overview
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GO TX System HierarchyMultiple participants
Hierarchy of offices for each participant
Only one office at the top level (the Head or National Office)
Multiple offices at subsequent levels
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GO TX System HierarchyParticipant defines the number of levels in the hierarchy
3 Default levels:
National
Regional
Branch
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UsersEmployees are referred to as ‘Users’
Types of users
Dealers
Office Supervisor at each office hierarchy level
National Level
Regional Level
Branch Level
Risk Supervisor
Head office only
Back Office Supervisor
Head office only
System Administrator
Head office only
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Levels Back office supervisor screens have three levels of viewing
My Level: Displays the data of the logged-in back office supervisor and offices below.
i.e. Results for all offices of the participant is displayed.
My Office: Displays the data of the office to which the back office supervisor belongs.
i.e. Results for the participant’s head office alone is displayed.
Other: Displays the data of a particular office, by selecting an Office ID.
i.e. Results for a particular office of the participant is displayed.
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GO TX System HierarchyPre-defined set of facilities for each role
Facilities may be enabled or disabled
Multiple roles for an employee
Scope of users’ authority is restricted
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Log on
Access through User ID and Password
Restricted number of attempts
Automatic session expiry
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Change Password
Force Change of Password on first time logon
Reset password to be requested in case of expiry
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Registration
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Client RegistrationClient Fills in the Application
Personal Detail (Name and Address)
Identification Detail – Image upload
Signature Proof
Signed Form for Depository Account
Nomination Detail
Supervisor Verification of Client Detail
Entry in CDBL System
Upload from CDBL system to GO TX
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Registration FormOnline or Manual
Manual form to be fed into system
Office nearest to investor to be selected
Head office assigned if office not selected
Unique registration number assigned
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Registration Monitor
Consolidates registration requests:
In Progress
Activated
Rejected
Drill-down from Head Office to Dealer
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Registration Approval
Registration requests
Client additional requests
Request Status
Request history
Verification Details
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Ageing Report
Processing time of a request
View by duration
Viewed for
Office
Dealer
Date range
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Password Print
Print encrypted passwords
Verification process complete
Password printed on carbonized stationery
Password mailed next morning
Investor is activated
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Investor MaintenanceView list of investors
View investor profile
Investor information
Personal information
Bank information
Depository information
Identity proof information
Photo card identity information
Add investor
Update investor details
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Investor Activation
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Administration
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BO Calendar
List of working days in a month for BO and exchange
Half days and holidays also displayed
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Client SupportOrders Book
Trade Book
Limits
Cash Statement
Stock Statement
Payin/payout statement
Networth
Positions
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Brokerage
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OverviewBrokerage category assigned for each investor
Category contains brokerage plans for Equity trades in the following:
Each plan associated with a scheme
Plan may contain slabs
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OverviewInvestor-level Overrides may be set for
Category
Stock / Underlying
Discount
Expiry
Plan-level Overrides may be set for
Basket
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Brokerage Master
Brokerage schemes pre-defined
Create new plans
Add / Update slabs
Set basket override
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Brokerage Category
Add brokerage category
Add scheme and plan to brokerage category
Update brokerage category
Delete brokerage category
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Brokerage Override
Override brokerage schemes
Set for
Investor category
Stock
Override can be removed or cancelled
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Tax View
Percentage of taxes levied by the exchange
Howla
Laga Charges
Advance Income Tax
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Brokerage MIS
Brokerage charges
Views
Office (drill-down)
Investor
Group data according to:
Settlement number
Date
Scrip
Brokerage scheme
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Top Brokerage
Highest contributors towards brokerage
Offices
Investors
Computed for a date range
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Levies and Taxes
Aggregation of levies and taxes
Views
Investor view
Office view (drill-down)
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Brokerage Recompute
Reset the brokerage
Recompute the brokerage
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Settlement
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Order Book
Equity Orders for all investors
Orders placed through GO TX
Current status of active orders
Final Status of inactive orders
Historic data
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Trade Book
Historic data
Download to file
Screen view
Dealer Trades
All trades
All Equity Trades for
Traded orders
Average traded price
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Trade Summary
Equity Trades for
Aggregated for exchange
Drill-down from exchange to investor
Turnover and number of trades
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Net Position
Consolidated Trade Position
Aggregated for
Investor
Stock (drill-down)
Displayed for a trade date
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Trade Modification
Trade modification requests
Option to change the investor code
Audit trail to track changes
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Accounting Statements
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GL Master Groups
List of master groups
Add / Update / Delete groups
Change sequence of groups
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GL Bank Map
List of GL accounts related to banks
Add new bank detail
View details of each bank
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Chart of Accounts
List of accounts maintained in GO TX
Types of accounts – Bank, Assets, Liabilities
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Trial BalanceTrial Balance of the participant
Lists the debit balance and credit balance accounts
Market view for Equity
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Balance SheetLists the total assets and liabilities
View the networth of the
Participant
Region
Office
Market views for Equity
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Receivables
Lists investors who have account receivable balance
Type of receivables
Client receivables
Client margin held
Investor shortage
Client interest charges
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Payables
Lists investors who have account payable balance
Type of payables
Client payables
Investor cash book
Investor membership
Prepaid brokerage
Online cash book
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Bank Book
Lists the broker’s bank accounts
Separate accounts for every product
Check the current balance in a account
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Voucher Details
Displays details of a voucher
Account code
Investor/ Office code
Transaction description
Debit/ Credit
Reference details
Bank account
Reversal date and number
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General Ledger
View general ledger of all accounts
View for a level or an office
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Client Ledger
Displays all investor accounts
Details of ledger accounts for an investor or range of investors
Link to voucher details for each entry
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Ledger Details
Details of ledger accounts
Parent Ledger Account
Child Ledger Account
Views
Summary view
Detailed view
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Combined Ledger
Display for a single investor or range of investors
Single date or a range of dates
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Sub Ledger Party Master
View the list of parties associated with each sub ledger
View the details of each party
Add / Delete parties for a sub ledger
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Sub Ledger Master
Specific to a participant
Addition / Deletion by HO only; view for others
Add / Delete new sub ledger
View party details for the sub ledger
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Equity Changes
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Cash Flow Statement
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Accounting Transactions
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Client Deposits
Post ledger entries for cheques cleared on behalf of the investor
Reflects cheques received into participant’s bank account
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Client Payments
Post entries related to investor’s cheque payments
Reflect cheques issued from participant’s bank account
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Journal Entry
Post a journal entry
Double entry system
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Bank Transfers
Post entries
Cheques issued from participant’s bank account
Cheques received into participant’s bank account
Fund transfers
Cheque returns
Cheque cancellation
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Bank Reconciliation
Lists discrepancy between bank books and GO TX bank book
Reconcile bank books with GO TX bank book
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Accounting PeriodDisplays the accounting period
Displays audit status for the year
View audit status for groups
General
Equity
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Voucher Types
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Voucher Types
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Client Receipts
Lists the cheques submitted by investor to the broker
Back office process the cheques and accepts/ rejects them
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Client Withdrawals
Lists the cheques submitted by investor to the broker
Back office process the cheques and accepts / rejects them
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Cheque Print
Facility to print cheques for client payments
PDF file generated that can be printed on pre-printed stationery
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Stock Accounting
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Pay In
View stock owed to
Investors
Exchange
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Auction Rate
Shows auction rate for given settlement type and date
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Reports
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Report TypesStocks
Scrip Ledger
Inward & Outward Register
Trades
Institutional Trades
Turnover Report
Trade Confirmation
Client Trade Analysis
Contract Register
Sauda Book
Client Trade Summary
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ReportsSettlements
Valan Report
Ageing report
Client Statements of Account
Auction Square Off
Client Position Summary
Compliance
STT Year End Report
Client Account Statement
Client Margin Funding
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ReportsAccounts
Receipts & Payments
Rec/Pay Voucher
Voucher Report
Bank Register
Journal Register
Branch Control Account Register
Creditor/Debtor
Trial Balance
Cheque No Details
Cash Book