Presented By : Sreedhar V

An end to end integrated solution with an ERP platform of Microsoft Dynamics NAVISION o A single platform that provides overall visibility across different financial products a client has subscribed for o Volume and financial implications of trade transactions including rejections and shortfall o Facility to perform parameter based risk analysis on specific clients including portfolio liquidation o Various MIS reports and analysis patterns for making effective decisions

Finance Trade Credit Appraisal Credit Disbursement Trade Settlement Accounting Risk Management Loan Application Kit Central Data Repository Broker Back Office Depository Participant Third Party Vendor Banks Stock Exchange KYC & Income dtls Trading ID Trade Details Stock Collateral Corporate Action Info Bank Statement Price & Volume feeds Sanctioned Credit Accept/Reject Client Trades Stock Holding Movement Interest Calc Books of Account Portfolio Liquidation Risk and RBI repots Data Interface Channel Input Layer Process Layer Output Layer

To cover the back office process starting from capturing customer portfolio information to setting up of customer KYC and approval of limits towards trade processing and management of risk and liquidation Effectively manage, and control the risk on portfolios towards various types of transactions done by its customers Detailed KYC and Client approval process Funding of poor quality of Trades

Honoring un-qualified Fund/Security withdrawal. Delay in clients net worth monitoring. Delay in corrective action/ recovery. Non detection of clients abnormal operational behavior

Multi level Credit Approval Sanction/Welcome Letter Generation Auto Mail Alerts Trade Acceptance Trade Rejection Securities Payin/Payout Funds Payin/Payout DP Reconciliation Shortage/Auction Marking DP Slip (Physical/Soft copy) Task Assignment to RMs Corporate Action Handling Credit Appraisal Credit Disbursement Trade Settlement Portfolio Liquidation Scrip Categorization House/Client Level Restrictions Margin Receipt Tax Deducted At Source Profit and Loss Statement Client Categorization Funds Withdrawal (Normal/FnO) Accounting Risk Management

Loan Request entry Loan approval with help of multilevel approval hierarchy After approval, customer creation for on-going transaction Mailers to customer at various stage of loan activation Sanction letter Welcome letter Rejection letter Closure letter Interest rate reduction letter Interest rate increase letter

Daily EOD status mailers to customers and respective braches Client KYC DSA Master DSA Referral Pay out Document attachments PoA DP and Bank Mapping

Scrip master update Customer DP account maintenance POA/ Pledge status update Daily reconciliation of POA/pledge account Trade process acceptance as per customer exposure

Slip generation at various stages in POA and pledge Pay-in slip Off-market transfer slip Pledge confirmation slip Pledge closure slip Pledge invocation slip Scrip withdrawal request creation and approval process Auction Handling Corporate Action upload Daily NAV upload

Customer bank account maintenance In case of trade transfer letters for bank as per bank format Pay-in letter Pay-out letter Amount withdrawal request and approval process Interest calculation on daily basis Interest posting as per agreement (Monthly/quarterly/half-yearly/yearly)

Interest on interest or interest only on net loan choose facility per client wise Various bank letters as per transaction type RTGS letter NEFT letter Transfer letter Cheque printing

Category differentiation for scrip Scrip valuation on basis of scrip category Client category to decide max benefit Liquidation process Liquidation of client in case of shortfall: Liquidation trade in pro-clients account Transfer of scrip/ pledge invocation as per liquidation quantity Distribution of liquidated amount as per client liquidation after trade acceptance Allow special privileges for specific clients to help discounting features

House level restriction to restrict all client to more excess quantity Client level restriction effective, which will decide quantity to be part of net value calculation Scrip & Cash release approval mechanism Shortfall reports and mailers Risk categorization and auto mailers on status.