Transaction Reporting: Sources 18 December 2017 Version 1.0

Transaction Sources: Today Transaction Sources: All This guide covers the following aspects of the NEX Regulatory Reporting Portal… Transaction Sources: Today Transaction Sources: All Transaction Sources: Record List Transaction Sources: Grouped Failure View Transaction Sources: Record Level inc. Audit Trail 24 November 2018 Confidential

Transaction Sources: Today (Default) Initially users are presented with a summary of the status of records submitted today on a regime basis. Clicking anywhere on the regime summary line takes the user to an expanded view for a breakdown by source (file). 24 November 2018 Confidential

Transaction Sources: Today (Expanded) If a file has ingested successfully, it will show as ‘Complete’. Files can also show as ‘Processing’ if they are still being ingested, or ‘Error’ if NRR has been unable to process them. Errors may be due to unexpected file format for example. We recommend contacting Operations for further information on ‘Error’ files as action may be required to resolve. The table shows a breakdown by state for records from all sources submitted by the organisation so far today. Hovering over the tooltips next to each state provides a description of what the state represents. Any value greater than zero in this expanded table acts as a hyperlink, allowing the user to drill into the records in that state from that particular source for additional granularity. From this expanded view, users can drill into all records from a source either by clicking the Sourcename or the Original Row Count figure for that source. 24 November 2018 Confidential

Transaction Sources: All Initially the ‘All’ view is filtered on a regime and will default to show sources submitted over the last 3 days. These filters can be updated using the dropdown and calendar options. Users may also filter on partial (beginning) or complete source name and the source state. Clicking on the ‘All’ tab allows users to see previously submitted sources, ordered by ingestion date descending. As with the ‘Today’ view, this page provides a breakdown by status of the records per source. Users can drill into underlined numbers to view the data from that source in a particular state, or click the source name or Original Row Count number to view all records from that source. i ii If the search returns more than 20 results, 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 or increase the number of results per page using the paging options. 24 November 2018 Confidential

Transaction Sources: Record List In this example, the user has clicked on the number of records in ‘Regime Accepted’ for a particular source. The view is very similar regardless of which state has been selected. Clicking on the source name here will present the same list but for all records in that same source, regardless of the state they are in. Alternatively the user may select ‘Sources’ to go back to the Sources page, or press the browser back button. Hovering over the Transaction Reference No. or Trade ID (depending on the regime) provides the user with the option to copy the value or to open the full details of the record in a new tab/window. Alternatively, the user can click anywhere on the line to view the full record details in the current browser tab. As with other pages, the user may navigate through the returned list of records using the paging options. 24 November 2018 Confidential

Transaction Sources: Grouped Failure View By clicking anywhere on an entry in the Grouped Failure view, users can view the key details associated with the records which failed for that particular field and reason. As with the Record View, hovering over the Transaction Reference No. or Trade ID (depending on the regime) provides the user with the option to copy the value or to open the full details of the record in a new tab/window. Alternatively, the user can click anywhere on the line to view the full record details. From the Grouped Failure view, users see a summary of fields which have failed, together with the reason for the failure and number of records affected by each issue. This is designed to readily show common failure reasons across the file and identify the underlying issue(s). When drilling into failed states (Validation and Eligibility), users have the option, in addition to the record list view, to see the record grouped in terms of the failures. This alternative view is reached by clicking the toggle to ‘Grouped View’. At any stage, users can toggle back to the ‘Record View’. 24 November 2018 Confidential

Transaction Sources: Record Level View Users with the relevant edit entitlement are able to edit failed or rejected records by correcting the values of the necessary values and submitting their changes. Failed fields are highlighted in the relevant section to guide users in this. Any changes can be discarded in place of submitting. Where records have been rejected by the endpoint, the rejection reason will be detailed in this separate box between the record header section and the records details. At the record level, users are presented with a summary of key details including the source name; row number of the record from the source; current state of the record; timestamp of when the record was ingested by NRR; and for MiFID records which have reached the relevant state, confirmation as to which NCA the record has or will be sent to. This is referred to as the Header section. For failed or rejected records, users may edit the values in any field which isn’t greyed out. Reasons why particular fields failed NRR validation will show below the highlighted failed fields to indicate the potential issue. Once all necessary fields have been edited, users may then either ‘Submit’ their changes or ‘Discard’. Before submitting, users will be asked to confirm that they wish to proceed and may choose to revert rather than submit. Submitting changes will set the record back for processing in the NRR HUB and the changes will be recorded in the audit log for the record. Users may select an individual section of the record by clicking the section name e.g. Transaction Details, or may click the ‘Expand All Sections’ button. Once at least one section has been expanded, the ‘Expand All Sections’ button changes to ‘Collapse All Sections’. 24 November 2018 Confidential

Transaction Sources: Record Level View (Audit Trail) The Audit Log tracks a record through the system from ingestion to it’s terminal state, recording all changes to the data on a timestamped basis. This includes tracking the record through the various HUB and ARM states, through to endpoint responses. When filed or rejected records are updated via the GUI, the details of the change, along with the timestamp and user performing the update are all recorded and immediately visible in the Audit Log. 24 November 2018 Confidential

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