Table of Contents GO TX Overview System Masters System Users System Instruments System Risk

GO TX Overview

Getting Started To start using GO TX, information about the following activities need to be done Preloading of data by Indigo TX Bank masters Depository participant masters Stock masters Settlement calendars

Getting Started Loading of master data by broker Broker offices Users of the system Investors Participant’s bank accounts Participant’s DP accounts Setting of rules and parameters by the broker System parameters System risk parameters Exchange risk parameters Stock risk groups Investor risk categories

GO TX System Hierarchy 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 referred to as ‘Users’ Types of users Traders Office Supervisor at each office hierarchy level National Level Branch Level Risk Supervisor Head office only Back Office Supervisor Head office only System Administrator Head office only

Levels System Administrator screens have three levels of viewing My Level: Displays the data of the logged-in system administrator 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 system administrator 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.

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 Reset password to be requested in case of expiry

System Masters

Participant Bank List of banks registered with the participant Add a bank Delete a bank

System Parameters GO TX settings for broker View trade dates Parameters may be updated as per broker requirement Maximum logon attempts Dormancy factor Password validity (days) Password re-use

Settlement Calendar Participant can only View settlement calendar

Exchange Holiday Participant can only view the exchange holidays

System Users

Office Master Create offices for the participant 3 levels of offices View office details Modify / Delete Office details Activate / Suspend Office

User Maintenance Display the list of users in an office Add / Update a user View a user’s details Suspend or activate a user

Menu Maintenance View the available menus for a user Customize the menus Restrict access according to the roles assigned

Registration Approval Registration requests Client additional requests – Bank, DP, Product Request Status & Request history Verification Details

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 details

User Password Reset User passwords Enter the user code Enter the new password Re-enter the new password

Investor Password Reset the investor’s password System to generate the password immediately

System Instruments

Equity Displays the stocks traded on the exchange View stock information

System Risk

Global level parameters Applicable for all investors for a participant Parameter value can be changed after trading hours Not all parameters are applicable for CSE

Exchange Risk Margin for the participant Provided by Exchange Parameters Buy/Sell exposure limit Gross Exposure limit Net Exposure limit

Equity Group Risk Risk parameters defined for a group of stocks Add stock group Set risk parameters for each group Cannot be updated during trading hours

Investor Category Risk Categories pre-defined in the system Parameters defined for a category Each investor assigned a category Category parameters can be modified

Investor Risk Override the risk category for an individual Set parameters for the individual Provide additional credit Change an investor’s category

Trader Risk Mandatory for each Trader Limits set on Buy/Sell exposure Gross exposure Net exposure