GOTX Office Supervisor GO TX Wealth Management System Chittagong Stock Exchange GOTX Office Supervisor Trading

Table of Contents GO TX Overview Registration Monitoring Trading Activity Risk Monitoring Settlement Accounting

GOTX Overview

GO TX System Hierarchy Multiple participants Hierarchy of offices for each participant Only one office at the top level (the Head or National Office) Multiple offices at subsequent levels

GO TX System Hierarchy Participant defines the number of levels in the hierarchy 3 Default levels: National Regional Branch

Users Employees are termed ‘Users’ Each user is associated with an office 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 System Administrator The employees of the broker are referred as users. The type of users are: Dealers, Office Supervisor, Risk Supervisor, Back Office Supervisor and System Administrator. Office Supervisor can be created at national, regional and branch levels of hierarchy Risk supervisor, Back office supervisor and system administrator can be created at head office level only.

Levels Supervisor screens have three levels of viewing My Level - Displays the data of logged-in supervisor and offices below e.g. Branch Supervisor: Displays only branch data Regional Supervisor: Displays data of regional office and all branches in the region National Supervisor: Displays data of the entire participant My Office - Displays the data of the office to which logged-in supervisor belongs Other - Displays the data of a particular office e.g. Branch Supervisor: will be able to select branch office ID only Regional Supervisor: will be able to select any branch in the region National Supervisor: will be able to view any office of the participant

GOTX System Hierarchy Pre-defined set of facilities for each role Facilities may be enabled or disabled Multiple roles for an employee Scope of users’ authority is restricted

Log on Access through User ID and Password Restricted number of attempts Automatic session expiry

Change Password Force Change of Password on first time logon You need to change the password at first login The password should be between 6 and 12 characters. The password should contain at least one number and one special character. Previous passwords cannot be used. The password validity and number of re-try attempts is decided by the broker. The password needs to be changed on expiry. The password can be changed before expiry too, for your security purposes. Force Change of Password on first time logon Reset password to be requested in case of expiry

Registration

Client Registration Client 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

Registration Form Online 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 The client fills in the registration form manually or online For the manual requests, broker makes online requests The investor is assigned a dealer from office specified in his request Dealers contact the clients and obtain their Bank, DP and identification details The supervisor verifies and record the data in database Once the back office supervisor approves the request, the client becomes an investor

Investor Maintenance View 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 profile Add products to existing investor This screen lists the investors. Data can be filtered according to supervisor level, office wise or investor wise. View investor profile Add investor Add products to existing investor

Monitoring Trading Activity

Logon Monitor Drill down views All those logged into GO TX Office Individuals Logon history All those logged into GO TX Investors Employees Application type Browser logins DWS logins This screen is used to view the number of investors and users logged into goTX The split count of browser logins and DWS logins can be viewed. The information is presented at office level first, then drills down to individual view. The logon history for individuals can be seen.

Trade Monitor Trading activity through GO TX Investors and dealers Provided the supervisor a consolidated view of the trading patterns in the office Data will be displayed according to the level of the user logged-on user Trading activity through GO TX Investors and dealers Drill-down from participant-level to investor-level

Order Book Equity Orders for all investors Orders placed through GO TX Data displayed only for 2 days. Historic data can be viewed only after market hours. All orders expire at the end of the day. Equity Orders for all investors Orders placed through GO TX Current status of active orders Final Status of inactive orders Historic data

Trade Book All Equity Trades for Traded orders Average traded price Data displayed only for 2 days. Historic data can be viewed only after market hours. All Equity Trades for Traded orders Average traded price Historic data Download to file Screen view Dealer Trades All trades

Trade Summary Equity Trades for Aggregated for exchange The result displayed depend upon the level of the logged in supervisor. A summary of all trades is displayed. Data is displayed separately for NSE and BSE. From the offices displayed, you can drill down to investor level to see the individual trades Equity Trades for Aggregated for exchange Drill-down from exchange to investor Turnover and number of trades

Brokerage MIS Brokerage charges Views Group data according to: Displays the brokerage charges for the investor Office View: Consolidated brokerage for various levels in broker’s office hierarchy Investor View: Brokerage charges for the investor Brokerage charges Views Office (drill-down) Investor Group data according to: Settlement number Date Scrip Brokerage scheme

Top Brokerage Highest contributors towards brokerage Displays the top contributors towards the brokerage View the top offices and investors The top contributors can be viewed for Equity, Equity Derivative and Currency Derivatives Can view up to top 50 performers. Highest contributors towards brokerage Offices Investors Computed for a date range

Levies and Taxes Aggregation of levies and taxes Views Investor view Consolidated view of the STT, SEBI fees, Stamp duty and turn over tax Details can be viewed either investor wise or office wise Aggregation of levies and taxes Views Investor view Office view (drill-down)

Client Views Order Book Trade Book Positions Margin Statement Cash statement Stock Statement Payin Payout Statement Networth

Risk Monitoring

Investor Risk Parameters View only for Office Supervisor Delivery Trading Factor Stocks in BEN account used for Margin Cash Receivable used for Margin Allow cash withdrawal Stock Margin allowed for Delivery Credit Margin allowed for Delivery Ignore Margins for Institutional positions Trading factors used in deciding the margin held. Trading limit available will depend on the trading factors. Percentage of stock value provided as margin depends on the Broker Margin held for short sell is also set by the Broker.

Client-wise MTM MTM updated real-time Monitor MTM at office level and investor level Drill down from office level to investor level Stock-wise view per investor available

Credit Risk - Credit Audit Lists investors with additional credit Supervisor who granted/ decreased credit Amount of increase/ decrease This screen shows you the list of investors to whom additional credit has been given or reduced for the current day. The supervisor who has either granted or removed additional credit is displayed along with the code of the investor and the amount.

Settlement

Contract Notes Summary of all contract notes available Document confirming the trades for and behalf of an investor in equities Generated for each settlement type for equities Contract note is a document confirming the trades for and behalf of an investor For equities one contract note is generated for each settlement, in each exchange. For derivatives only one contract note is generated for all the trades in a day.

Corporate Actions List of Corporate Actions from the exchange Operations performed View a corporate action Add a corporate action Modify a corporate action Delete a corporate action Cash Benefit Add View details Stock Effect

Accounting

Client Receipts Lists the cheques submitted by investor to the broker This screen lists the cheques submitted by investors to the brokers This details will be given to the back office either online or through a file The back office process and either accepts or rejects the cheque Lists the cheques submitted by investor to the broker Back office process the cheques and accepts / rejects them A Supervisor can add a receipt

Client Withdrawals Cash withdrawal requests of investors This screen displays the withdrawal requests of the investors. This details will be given to the back office either online or through a file The back office process and either accepts or rejects the cheque Cash withdrawal requests of investors Back office process the cheques and accepts / rejects them. A supervisor can add a payment

Statements Client Ledger General Ledger Ageing Report Balance sheet Trial Balance Receivables Payables

Client Details Details of ledger accounts Views Parent Ledger Account Child Ledger Account Views Summary view Detailed view This screen is used to view the summarized and detailed view of the parent ledger accounts and their sub accounts.

Balance Sheet Lists the total assets and liabilities View the networth of the Participant Region Office Market views for Equity Itemized statement listing the total assets and total liabilities To view the networth of the participant, region or an office at any given time Can be viewed for equity, equity derivative and currency derivative markets separately

Trial Balance Trial Balance of the participant Lists the debit balance and credit balance accounts Market view for Equity The trial balance lists the debit balance and credit balance accounts Trial balance can be viewed for participant, region or an office Can be viewed for equity, equity derivative and currency derivative markets separately

Receivables Lists investors who have account receivable balance Provides a list of investors having an account receivable balance Types of receivables Client receivables Client margin held Investor shortage Client interest charges Lists investors who have account receivable balance Type of receivables Client receivables Client margin held Investor shortage Client interest charges

Payables Lists investors who have account payable balance Type of payables Client payables Investor cash book Investor membership Prepaid brokerage Online cash book Provides a list of investors who have an account payable balance Type of client payables Client Payables Investor cash book Investor membership Prepaid brokerage Online cash book

General Ledger View general ledger of all accounts To view the general ledger of a particular account All accounts maintained at office have general ledgers View general ledger of all accounts View for a level or an office