Table of Contents

1. About this Manual

  • 1.1 Introduction
  • 1.2 Related Documents
  • 1.3 Audience
  • 1.4 Organization
  • 1.5 Conventions followed in this Manual
  • 1.5.1 General Conventions
  • 1.5.2 Keyboard Conventions
  • 1.6 Glossary of Icons
  • 1.7 Abbreviations and Acronyms
  • 1.8 Getting Help

    • 2. Maintaining Customer Information

  • 2.1 Customer Maintenance Detail Screen
  • 2.1.1 CIF Flow
  • 2.1.2 Invoking Customer Maintenance Detail Screen
  • 2.1.3 Individual Dtls Tab
  • 2.1.4 Corporate Dtls Tab
  • 2.1.5 Corr.Address Dtls Tab
  • 2.1.6 Permanent/Registration Address Tab
  • 2.1.7 Client Preferences Tab
  • 2.1.8 Identification Dtls Tab
  • 2.1.9 Alternate Language Dtls Tab
  • 2.2 Customer Maintenance Summary Screen
  • 2.2.1 Retrieving CIF Profile in Customers Maintenance Summary Screen
  • 2.2.2 Editing CIF Profile before Authorization
  • 2.2.3 Viewing CIF Profile before Authorization
  • 2.2.4 Deleting CIF Profile before Authorization
  • 2.2.5 Authorizing CIF Profile for Customer
  • 2.2.6 Amending CIF Profile for Customer
  • 2.2.7 Authorizing Amended CIF Profile for Customer
  • 2.2.8 Saving CIF profile in Customers Screen
  • 2.3 CIF Address Maintenance Screen
  • 2.3.1 Invoking CID Address Maintenance Screen
  • 2.4 CIF Address Summary Screen
  • 2.4.1 Retrieving CIF Address Record
  • 2.4.2 Editing CIF Address Record before Authorization
  • 2.4.3 Viewing CIF Address Record before Authorization
  • 2.4.4 Deleting CIF Address Record before Authorization
  • 2.4.5 Authorizing CIF Address Record for Customer
  • 2.4.6 Amending CIF Address Record for Customer
  • 2.4.7 Authorizing Amended CIF Address Record for Customer
  • 2.5 CIF Address - Fund Maintenance Details
  • 2.5.1 Invoking CIF Address - Fund Maintenance Details Screen
  • 2.6 CIF Address Fund Summary Screen
  • 2.6.1 Retrieving CIF Address – Fund Record
  • 2.6.2 Editing CIF Address – Fund Record before Authorization
  • 2.6.3 Viewing CIF Address – Fund Record before Authorization
  • 2.6.4 Deleting CIF Address – Fund Record before Authorization
  • 2.6.5 Authorizing CIF Address – Fund Record for Customer
  • 2.6.6 Amending CIF Address – Fund Record for Customer
  • 2.6.7 Authorizing Amended CIF Address – Fund Record for Customer

    • 3. Managing Investor Accounts

  • 3.1 Customer Information
  • 3.1.1 Maintaining Customer Information
  • 3.1.2 Maintaining Investor Accounts
  • 3.1.3 Identifying Unit Holder Account in System
  • 3.1.4 Specifying Mandatory Information for New Account
  • 3.1.5 Defaulting of Information for CIF Unit Holder Accounts
  • 3.1.6 Specifying Additional Information for New Account
  • 3.1.7 Choosing Template for Automatic Replication
  • 3.1.8 Maintaining Stop Status on Unit Holder Account
  • 3.1.9 Maintaining IRS Notifications on Unit Holder Account
  • 3.1.10 Saving New Account
  • 3.2 Unit Holder Maintenance Details Screen
  • 3.2.1 Invoking Unit Holder Maintenance Details Screen
  • 3.2.2 Individual Dtls Tab
  • 3.2.3 Corporate Details Tab
  • 3.2.4 Contact Dtls Tab
  • 3.2.5 Client Preferences Tab
  • 3.2.6 Bank Dtls Tab
  • 3.2.7 Intermediary Dtls Tab
  • 3.2.8 KYC Details tab
  • 3.2.9 Document Dtls Tab
  • 3.2.10 Add Info tab
  • 3.2.11 UH Signature Tab
  • 3.2.12 Related Parties tab
  • 3.2.13 FATCA Audit Log Tab
  • 3.2.14 UH KIID Compliance Tab
  • 3.2.15 Delivery Dtls Button
  • 3.2.16 Beneficiary Dtls Button
  • 3.2.17 Joint Holder Dtls Button
  • 3.2.18 Nominee Dtls Button
  • 3.2.19 Member Dtls Button
  • 3.2.20 Alternate Language Dtls Button
  • 3.2.21 Director Details Tab
  • 3.3 Unit Holder Maintenance Summary Screen
  • 3.3.1 Retrieving Unitholder Account
  • 3.3.2 Editing New Accounts
  • 3.3.3 Modifying Account through Editing
  • 3.3.4 Viewing New Accounts
  • 3.3.5 Deleting New Accounts
  • 3.3.6 Authorizing New Account
  • 3.3.7 Amending Authorized Account through Information Change
  • 3.3.8 Authorizing Amended Unitholder Accounts
  • 3.4 UH Category Parameter Screen
  • 3.4.1 Invoking UH Category Parameter Screen
  • 3.5 UH Category Parameter Summary Screen
  • 3.5.1 Retrieving UH Category Parameter
  • 3.5.2 Editing UH Category Parameter Details
  • 3.5.3 Deleting UH Category Parameter Details
  • 3.5.4 Authorizing UH Category Parameter Details
  • 3.6 Account Type Maintenance Details Screen
  • 3.6.1 Invoking Account Type Maintenance Details Screen
  • 3.7 Account Type Maintenance Summary Screen
  • 3.7.1 Retrieving Account Type in Account Type Maintenance Summary Screen
  • 3.7.2 Editing Account Type Record
  • 3.7.3 Viewing Account Type Record
  • 3.7.4 Deleting Account Type Record
  • 3.7.5 Authorizing Account Type Record
  • 3.7.6 Amending Account Type Record
  • 3.8 Financial Intelligence Centre Act (FICA)
  • 3.8.1 Maintaining Financial Intelligence Centre Act
  • 3.9 Escheatment Tracking
  • 3.9.1 Tracking Escheatment Process
  • 3.10 Export of Unit Holder Information
  • 3.10.1 Exporting Unit Holder Account Information

    • 4. Setting up Investor Preferences

  • 4.1 Income Distribution Setup Screen
  • 4.1.1 Maintaining Investor Distribution Setup Details
  • 4.1.2 Invoking Income Distribution Setup Screen
  • 4.1.3 Payment Details Tab
  • 4.1.4 Reinvestment Details Tab
  • 4.1.5 Routing Details Tab
  • 4.2 Income Distribution Setup Summary Screen
  • 4.2.1 Retrieving Income Distribution Setup Record
  • 4.2.2 Editing Income Distribution Setup Record
  • 4.2.3 Viewing Income Distribution Setup Record
  • 4.2.4 Deleting Income Distribution Setup Record
  • 4.2.5 Authorizing Income Distribution Setup
  • 4.2.6 Amending Income Distribution Setup
  • 4.2.7 Authorizing Amended Income Distribution Setup Details
  • 4.3 Unitholder Deal Maintenance Detail Screen
  • 4.3.1 Setting Up Deal for Investor
  • 4.3.2 Invoking Unitholder Deal Maintenance Detail Screen
  • 4.4 Unitholder Deal Summary Screen
  • 4.4.1 Retrieving Deals for Investors
  • 4.4.2 Editing Deals for Investors
  • 4.4.3 Viewing Deals for Investors
  • 4.4.4 Deleting Deals for Investors
  • 4.4.5 Authorizing Deals for Investors
  • 4.4.6 Amending Deals for Investors
  • 4.4.7 Authorizing Amended Deals for Investors
  • 4.5 LOI Adjust Proc Screen
  • 4.5.1 Defining Letters of Intent
  • 4.5.2 Non-fulfilling of Letter of Intent
  • 4.5.3 Setting up Letter of Intent Options for Investor
  • 4.5.4 Invoking LOI Adjust Proc Screen
  • 4.6 Unit Holder LOI Setup Details Screen
  • 4.6.1 Invoking Unit Holder LOI Detail Screen
  • 4.7 Unit Holder LOI Setup Summary Screen
  • 4.7.1 Retrieving LOI Setup Options for Investor
  • 4.7.2 Editing LOI Setup Options for Investor
  • 4.7.3 Viewing LOI Setup Options for Investor
  • 4.7.4 Deleting LOI Setup Options for Investor
  • 4.7.5 Authorizing LOI Setup Options for Investor
  • 4.7.6 Amending LOI Setup Options for Investor
  • 4.7.7 Authorizing Amended LOI Setup Options for Investor
  • 4.8 UH Non Tax Limits Detail Screen
  • 4.8.1 Setting Up Non-Tax Limits for Eligible Investors
  • 4.8.2 Processing of Non-Tax Limits for Investors
  • 4.8.3 Invoking UH Non Tax Limits Detail Screen
  • 4.9 UH Non Tax Limits Summary Screen
  • 4.9.1 Retrieving Non-Tax Limits for Investor
  • 4.9.2 Editing Non-Tax Limits for Investor
  • 4.9.3 Viewing Non-Tax Limits for Investor
  • 4.9.4 Deleting Non-Tax Limits for Investor
  • 4.9.5 Authorizing Non-Tax Limits for Investor
  • 4.9.6 Amending Non-Tax Limits for Investor
  • 4.9.7 Authorizing Amended Non-Tax Limits for Investor
  • 4.10 Unit Holder IRRF Preference Detail Screen
  • 4.10.1 Setting up IRRF Preferences for a Unit Holder
  • 4.10.2 Invoking Unit Holder IRRF Preference Detail Screen
  • 4.11 Unit Holder IRRF Preference Summary Screen
  • 4.11.1 Retrieving IRRF Preferences for Investors
  • 4.11.2 Editing IRRF Preferences for Investors
  • 4.11.3 Viewing IRRF Preferences for Investors
  • 4.11.4 Deleting IRRF Preferences for Investors
  • 4.11.5 Authorizing IRRF Preferences for Investors
  • 4.11.6 Amending IRRF Preferences for Investors
  • 4.11.7 Authorizing Amended IRRF Preferences for Investors
  • 4.12 Unit Holder NPI Preference Detail Screen
  • 4.12.1 Invoking Unit Holder NPI Preference Detail Screen
  • 4.13 Unit Holder NPI Preference Summary Screen
  • 4.13.1 Retrieving NPI Payment Preferences for Investors
  • 4.13.2 Editing NPI Payment Preferences for Investors
  • 4.13.3 Viewing NPI Payment Preferences for Investors
  • 4.13.4 Deleting NPI Payment Preferences for Investors
  • 4.13.5 Authorizing NPI Payment Preferences for Investors
  • 4.13.6 Amending NPI Payment Preferences for Investors
  • 4.13.7 Authorizing Amended Payment Preferences for Investors
  • 4.14 Fund UH Category Minimum Holding Period Details Screen
  • 4.14.1 Invoking Fund UH Category Minimum Holding Period Details Screen
  • 4.15 Fund UH Category Minimum Holding Period Summary Screen
  • 4.15.1 Retrieving/Viewing minimum holding period at Fund/UH category/
    transaction level
  • 4.15.2 Editing Minimum Holding period at Fund/UH Category/
    Transaction Level
  • 4.15.3 Deleting Minimum Holding Period at Fund/UH Category/
    Transaction Level
  • 4.15.4 Authorizing Minimum Holding Period at Fund/UH Category/
    Transaction Level
  • 4.15.5 Amending Minimum Holding Period at Fund/UH Category/
    Transaction Level
  • 4.16 UH Status Change Detail Screen
  • 4.16.1 Closing an Unit Holder Account
  • 4.16.2 Invoking UH Status Change Detail Screen
  • 4.17 Unit Holder Status Change Summary Screen
  • 4.17.1 Retrieving Status Change
  • 4.17.2 Editing Status Change
  • 4.17.3 Viewing Status Change
  • 4.17.4 Deleting Status Change
  • 4.17.5 Authorizing Status Change
  • 4.17.6 Amending Status Change
  • 4.17.7 Authorizing Amended Status Change
  • 4.18 Auth Rep Maintenance Detail Screen
  • 4.18.1 Invoking Auth Rep Maintenance Detail Screen
  • 4.19 NotePad of Entities Detail Screen
  • 4.19.1 Invoking NotePad of Entities Detail Screen
  • 4.20 NotePad of Entities Summary Screen
  • 4.20.1 Retrieving Entity NotePad Information
  • 4.20.2 Editing Entity NotePad Information
  • 4.20.3 Viewing Entity NotePad Information
  • 4.20.4 Deleting Entity NotePad Information
  • 4.20.5 Authorizing Entity NotePad Information
  • 4.20.6 Amending Entity NotePad Information
  • 4.20.7 Authorizing Amended Entity NotePad Information

    • 5. Managing Brokers

  • 5.1 Broker Type Detail Screen
  • 5.1.1 Creating Broker Groups
  • 5.1.2 Invoking Broker Type Details Screen
  • 5.2 Broker Type Summary Screen
  • 5.2.1 Retrieving Broker Type in Broker Type Summary Screen
  • 5.2.2 Editing Broker Types
  • 5.2.3 Viewing Broker Types
  • 5.2.4 Deleting Broker Types
  • 5.2.5 Authorizing Broker Types
  • 5.2.6 Amending Broker Types
  • 5.2.7 Authorizing Amended Broker Types
  • 5.3 Broker Maintenance Detail Screen
  • 5.3.1 Maintaining Individual Brokers
  • 5.3.2 Specifying Mandatory Information for Creating Broker Record
  • 5.3.3 Saving Broker Record
  • 5.3.4 Invoking Broker Maintenance Detail Screen
  • 5.3.5 Broker Details Tab
  • 5.3.6 Broker Add Info Tab
  • 5.3.7 Broker Contact Info Tab
  • 5.3.8 Broker Bank Details Tab
  • 5.3.9 Broker Legacy Details Tab
  • 5.3.10 Broker Preference Tab
  • 5.4 Broker Maintenance Summary Screen
  • 5.4.1 Retrieving Broker Records in Broker Maintenance Summary Screen
  • 5.4.2 Editing Broker Records
  • 5.4.3 Viewing Broker Records
  • 5.4.4 Deleting Broker Records
  • 5.4.5 Authorizing Broker Records
  • 5.4.6 Amending Broker Records
  • 5.4.7 Authorizing Amended Broker Records
  • 5.4.8 Amending Broker Details after Transaction Unitization
  • 5.5 Transaction Broker Amendment Screen
  • 5.5.1 Invoking Transaction Broker Amendment Screen
  • 5.6 Broker Payment Currency Preference Detail Screen
  • 5.6.1 Invoking Payment Currency Preference Screen
  • 5.7 Broker Payment Currency Preference Summary Screen
  • 5.7.1 Retrieving Broker Currency Preference Summary
  • 5.7.2 Editing Broker Currency Preference
  • 5.7.3 Viewing Broker Currency Preference
  • 5.7.4 Deleting Broker Currency Preference
  • 5.7.5 Authorizing Broker Currency Preference
  • 5.7.6 Amending Broker Currency Preference
  • 5.7.7 Authorizing Amended Broker Currency Preference
  • 5.8 Broker Migration Screen
  • 5.8.1 Processing Broker Merger
  • 5.8.2 Invoking Broker Migration Screen
  • 5.9 Broker Migration Summary Screen
  • 5.9.1 Retrieving Broker Migration Summary
  • 5.9.2 Viewing Broker Migration
  • 5.10 Broker Journal Detail Screen
  • 5.10.1 Maintaining Accounting Journal for Broker
  • 5.10.2 Invoking Broker Journal Detail Screen
  • 5.11 Broker Journal Summary Screen
  • 5.11.1 Retrieving Journal Entry in Broker Journal Summary Screen
  • 5.11.2 Editing Journal Entry
  • 5.11.3 Viewing Journal Entry
  • 5.11.4 Deleting Journal Entry
  • 5.11.5 Authorizing Journal Entry
  • 5.12 Income Distribution Setup Screen
  • 5.12.1 Setting Up Income Distribution Options for Brokers
  • 5.12.2 Invoking Income Distribution Setup Screen
  • 5.12.3 Payment Details Tab
  • 5.12.4 Reinvestment Details Tab
  • 5.12.5 Routing Details Tab
  • 5.13 Income Distribution Setup Summary Screen
  • 5.13.1 Retrieving Income Distribution Setup Options for Brokers
  • 5.13.2 Editing Income Distribution Setup Options for Brokers
  • 5.13.3 Viewing Income Distribution Setup Options for Brokers
  • 5.13.4 Deleting Income Distribution Setup Options for Brokers
  • 5.13.5 Authorizing Income Distribution Setup Options for Brokers
  • 5.13.6 Amending Income Distribution Setup
  • 5.13.7 Authorizing Amended Income Distribution Setup Details
  • 5.14 Raise Broker Commission Screen
  • 5.14.1 Invoking Raise Broker Commission
  • 5.14.2 Calculating VAT Amount
  • 5.15 Commission Payment Status Change Screen
  • 5.15.1 Invoking Commission Payment Status Change Screen
  • 5.15.2 Search Results Tab
  • 5.15.3 Exchange Rate Source Tab
  • 5.15.4 Exchange Rate Maintenance Tab
  • 5.16 Broker Commission Payment Screen
  • 5.16.1 Invoking Broker Commission Payment Screen
  • 5.17 Minimum Commission Payment Amount Maintenance Screen
  • 5.17.1 Invoking Minimum Commission Payment Amount Maintenance
  • 5.18 Minimum Commission Payment Amount Maintenance Summary Screen
  • 5.18.1 Retrieving Minimum Commission Payment Amount Maintenance Summary
  • 5.18.2 Editing Minimum Commission Payment Amount
  • 5.18.3 Viewing Minimum Commission Payment Amount
  • 5.18.4 Deleting Minimum Commission Payment Amount
  • 5.18.5 Authorizing Minimum Commission Payment Amount
  • 5.18.6 Amending Minimum Commission Payment Amount
  • 5.18.7 Authorizing Amended Minimum Commission Payment Amount

    • 6. Function ID Glossary