Transparency: Exceptions 3rd January 2018 Version 1.0

Transparency Reporting: Exceptions Table This guide covers the following aspects of the NEX Regulatory Reporting Portal… Transparency Reporting: Exceptions Table Transparency Reporting: Exceptions by Reason 19 November 2018 Confidential

Transparency Reporting: Exceptions Table As with other tables in the Portal, users may specify multiple criteria in order to filter the results displayed on screen. To filter on Message ID or Client reference, complete values must be entered. When filtering on dates, both the Submitted Start Date and Submitted End Date fields must be complete for results to be returned. If filtering on time, both the hours and seconds should be completed. While it’s possible to search on Time Submitted From and/or Time Submitted To, the corresponding Date Submitted value should also be populated. The Exceptions page is designed to show key information for all outstanding rejections from the APA. The data table provides the core information for exception handling, displaying the principal fields which were submitted by the Client, along with the reason(s) for the validation failure(s). The most recent rejections show at the top of the table. Once all criteria are set, users should click ‘Apply’ to see the results At any search the filters can be cleared using the ‘Reset’ button i ii Hovering over either the Client Reference or Message ID values, users are presented with the option to copy the value to their clipboard for user elsewhere (for example to use in filtering). If there are more than 20 exceptions, users can (i) increase the number of rows per page from 20 to 50 or 100 using the dropdown or (ii) navigate through the pages. 19 November 2018 Confidential

Transparency Reporting: Exceptions by Reason The Exceptions by Reason bar chart provides an overview as to the cause of the most recent 100 exceptions to be flagged by the APA within the last 24 hours, along with the exception reason(s) so trends can be inferred. If no exceptions have been recorded within the last 24 hours, the results will be blank 19 November 2018 Confidential

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