5. Interfaces with External Systems

Oracle FLEXCUBE Investor Servicing (FCIS) provides a facility to effect data exchanges and transfers with external systems. You can import exchange rates or NAV from an external system, or export transaction and dividend information to any external accounting system. The external system may be a file system or an application.

The data exchange can be effected through an interface with the external system. This interface consists of the following components:

You can process an interface in one of the following ways:

You can access the interface processing screens from the following menu categories in the Fund Manager component:

This chapter contains the following sections:

5.1 Setting up and Maintaining Interfaces

This section contains the following topics:

5.1.1 Invoking FCIS Interface Maintenance Detail Screen

To set up an interface definition, use the ‘FCIS Interface Maintenance Detail’ screen. You can invoke this screen by typing ‘UTDIFAC’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

Select ‘New’ from the Actions menu in the Application tool bar or click new icon to enter the details of the interface that you wish to maintain.

In this screen, you can:

Interface definitions for exporting the following information will be factory shipped:

5.1.2 Fields in Interface Maintenance Screen

Interface ID

Display Only

Every interface that you define is assigned a unique identification by the system, known as the Interface ID. This ID is generated by the system when you save a new definition, after you have specified all the information that is mandatory for the interface, in this screen.

When you retrieve an existing interface definition using the Find Screen, the ID of the retrieved interface is displayed in this field.

Description

255 Characters Maximum, Alphanumeric, Mandatory

Describe the interface in a few words, in this field.

Import-Export Type

Alphanumeric, Mandatory

You can define an interface to either import or export data. Choose the desired type from the drop down list.

Number of Files (Import-Export)

Numeric, Mandatory

Specify the number of files that must be imported or exported. For procedure based or table based interfaces, if the number of files is greater than zero, then the names of all the tables that will be impacted by the procedure or SQL string are displayed in the File Specifications Tab grid, in the lower portion of the screen.

Import-Export Basis

Alphanumeric, Mandatory

You can export data from any of the following database object types:

You can import data into any of the following database object types:

You can choose the required option from the drop down list, according to the type of interface.

Interface Code

Alphanumeric, Mandatory

The interface code identifies the two components or applications that are on either end of any interface definition. Any interface has a sending system that exports data and a receiving system that receives the exported data as an import.

Specify the interface code that identifies the sending and receiving systems for the interface, using the options in the drop down list. The interface code is captured for information purposes only.

The following table displays the different codes and the sending and receiving systems identified for each:

Interface Code

Sending System

Receiving System

I2F

FLEXCUBE-Investor Services

Operating System

C2I

FLEXCUBE-Securities

FLEXCUBE-Investor Services

I2C

FLEXCUBE-Investor Services

FLEXCUBE-Securities

F2I

Operating System

FLEXCUBE-Investor Services

I2I

FLEXCUBE -Investor Services

FLEXCUBE-Investor Services

SQL String/Command Line

2000 Characters Maximum, Alphanumeric, Mandatory when the Import-Export Basis is SQL

If you are defining a SQL-string or SQL Statement based interface, specify the SQL string or command line that is to be executed.

This field is enabled only if you specify the Import-Export Basis as SQL.

File Specification Required?

Mandatory

Choose ‘Yes’ if you wish to indicate that file specifications are required. Else choose ‘No’.

Split Column

This captures details of multiple files that are created for unique set of information and can uniquely identify the files. This option is available only if the Segmentation box is unchecked.

Auto Number?

Select the option to indicate whether the system should automatically generate sequence number for bulk import. The sequence number is automatically generated if you select ‘YES’.

Segmentation?

In cases where the information is spread over several files, check this option to upload all the files.

Enabled?

Check this box to enable the interface. An interface that is not enabled cannot be processed, and all jobs and tasks that are associated with the interface are not executed.

By default, when you define a new interface and save the definition in this screen, the interface is created as an enabled interface.

When you are editing the record of an interface in this screen, the only editing that is possible is enabling or disabling it, by checking or un-checking this box. All other fields in the screen are locked in Edit Mode.

Process per file?

Select the option to indicate whether the bulk upload file needs to be processed in a sequential manner. You can select either ‘Yes’ or ‘No’.

Auto Import Keystring?

All import and export tables have a key string column. The interface system imports the files into these tables with a specific key string. The import wrapper will pick up the records with the same key string and process them. This improves the multi user capability of interface system and also allows us to reuse the same header and trailer tables for most of the imports and exports.

Subroutine Name

Specify the name of the back-end procedure to be called by the system during interface execution. It is applicable only if import / export basis is procedure.

Export Data First?

Select the option to indicate whether the data needs to be exported first. You can select either ‘Yes’ or ‘No’.

5.1.3 File Specifications

Every interface involves a data exchange that could be of any of the following types:

For a data exchange that involves no file exports or imports, the Number of Files will be zero, and the file specification tab is not applicable for such exchanges. For exchanges that are procedure-based or SQL-based, and involve file exports or imports, the Number of Files is more than zero, and all tables in the FCIS system that are associated with the specified procedure or SQL string are displayed in the File Specifications screen, with each file having a serial File Number. You can edit any details (except the File Number) or add new tables.

File Number

Display Only

The serial number for the file that is involved in the data exchange is displayed here and it cannot be altered. When you add a new file or table name, it is given a new sequential file number.

No of segments

This represents no of segments to be uploaded.

Segment identifier

This indicates the value associated with the segment identifier to be uploaded.

Field Occurrence

This identifies the field corresponding to the segment identifier to be uploaded.

Field length

This indicates the length of the field to be uploaded.

Field Type

Select the type of the field from the drop-down list. The options available are ‘String’ or ‘Number’.

Segment Delimiter

Select the delimiter to be used for the different segments. The values possible are ‘comma’, ‘tilde’ or ‘dot’.

Table Name

Alphanumeric, Mandatory

The name of the table associated with the specified procedure that will receive imported data or contain the data that is to be exported is displayed here. You can edit this name, but it must correspond to a valid database table. You can use the drop down list to specify a new table name.

Criteria

Alphanumeric, Mandatory

Specify a clause that filters the data that is being exported or imported. For example, you can specify an SQL statement such as a Where clause here. The clause will look for and pick up all data that satisfies the Where clause, in the data that is being exported or imported.

Unique File Name

Optional

Choose 'Yes' to indicate that, only files that exactly correspond with the specified file name will be imported/exported. If you choose 'No', all the files that resemble the specified file name will be picked up for import. And for export, the file name generation will be based on the mask value given in the file name of the interface definition.

File Name

Alphanumeric, Mandatory

Specify the name of the file that will be involved in the data exchange.

For example, if the specified file name is nav.xls, and unique file name is 'Yes', only the file nav.xls will be picked up. If not, all files that bear the name nav*.* will be picked up.

File name generation will be based on the mask value given in the File name of the interface definition.

This feature is enabled if you have selected ‘Unique File Name’ field as ‘No’.

You can maintain the mask values as follows. The system will derive the value from Pkgglobal parameter.

Mask Definition (.txt represents sample file extension)

Value that will be replaced

$m$_filename.txt

moduleid_filename.txt

$u$_filename.txt

userid_filename.txt

$a$_filename.txt

agentcode_filename.txt

$b$_filename.txt

branchcode_filename.txt

$t$_filename.txt

<datetime>_filename.txt (date will be the Application date)

$d$_filename.txt

<date>_filename.txt (date will be the Application date)

$c$_filename.txt

<Customvalue>_filename.txt . Kernel will generate file­name and custom should be able to override the file name only if $c$ mask is maintained.

$v$_filename.txt

<SplitColumnValue>_filename.txt

SplitColumn mentioned in the maintenance will be used.

Maximum length of the file name will be limited to 100 characters without the extension. If file name length exceeds more than 100, then the system will consider the first 100 characters of file name from the left.

File Path

Alphanumeric, Mandatory

Specify the path in which the specified file will be found. Click the button alongside this field to browse to the desired location.

Archive Directory

Alphanumeric, Mandatory

Specify a location where the specified file may be stored or archived for future reference, after the data is either exported or imported. If you do not specify an archive directory, the file is deleted from the specified File Path once the interface is processed and the data exchange is done.

File Type

Alphanumeric, Mandatory

Select the type of file that is being exported or imported.

ASCII File Format

Alphanumeric, Mandatory for ASCII file types

Specify the format for ASCII files, either Fixed or Delimited.

Four Digit Year

Optional

Check this box to indicate that the year format in the date must be four digits.

Date Time Option

Alphanumeric, Mandatory

Select the date-time format that is applicable in the data that is being imported or exported.

Column Header on first line

Optional

Check this box to indicate that column headings must also be picked up in the export or import file, typically in an MS Excel Worksheet.

The Column Specifications button

Click the Column Specifications button in the File Specifications screen to specify the column details for the interface file. The Column Specifications Maintenance screen is opened in New Mode.

You can also indicate any or all of the following format specifications for the file in the File Specifications grid:

The default values for these specifications are given below:

Format Specification

Allowable

Default

Field Delimiter

Comma, colon, semi-colon, space, tab, null

Space

String Delimiter

Single and double quotation marks; null

Null

Date Format

DMONY; DMY; MDY; YMD; Registry Setting

Registry Setting

Date Delimiter

Hyphen, comma, space, forward slash, Regis­try Setting

Registry Setting

Decimal Symbol

Comma, space, null, period, Registry Setting

Registry Setting

Digit Grouping Symbol

Comma, period, space, null, Registry Setting

Registry Setting

Time Delimiter

Colon, semi-colon, space, null, Registry Setting

Registry Setting

5.1.4 Interface Parameters

Procedure-based interfaces will need certain parameters that you must specify for their execution. You can specify the same in the ‘Interface Details’ screen.

Parameter Name

Alphanumeric, Mandatory

Select the name of the parameter that is required for the procedure, from the drop down list. You can specify as many parameters as are necessary.

Standard

Optional

Check this box if the parameter you have selected is specific to the FCIS application. You need not specify a value for standard parameters.

Parameter Value

Alphanumeric, Mandatory

If you have selected a non-standard parameter, specify the value for the same in this field.

5.1.5 Fund(s) Selection Section

You may have defined some interfaces that require specific Fund IDs and fund families. You may indicate these funds or fund families in this tab.

Fund ID

Alphanumeric, Mandatory

Select the ID of the required fund for which this interface has been defined from the drop down list.

ISIN Code

12 Characters Maximum; Alphanumeric; Mandatory

Select the ISIN Code of the fund for which this interface has been defined, from the options provided. If you specify the ISIN Code of a fund, the ID of the fund is displayed in the Fund field.

Family ID

Alphanumeric, Optional

If the selected fund is an umbrella fund, select the fund family that the selected fund belongs to from the drop down list.

5.1.6 Specifying Column Details for Interface File

You can specify the actual columns or fields in the file that will be exported or imported or in the specified table, in the Column Specifications Maintenance screen. You can also define a sequence in which the data must be ordered.

You must specify the column details for the interface file before you can save an interface definition.

5.1.7 Column Specifications Maintenance Fields

Column Name

Display Only

The name of the column or field that is present in the table is displayed here.

Field Type

Display Only

The type of data that the field or column contains is displayed here.

File Number

Display Only

The sequential number for the selected file from the File Specifications Tab grid in the Interface Maintenance screen is displayed here. It represents the file for which you are specifying the column details in this screen. All the columns that are found in the specified table are displayed in the grid in this screen, with their details. Making changes to any of these details will result in a corresponding change in the output data. If you delete a particular row in the grid, then that column will not appear in the output data.

Field Length

Alphanumeric, Mandatory

The number of allowable characters that the field or column can contain is displayed here. You can alter this length.

Column Heading

The heading of the column or field in the table is displayed here. You can alter the heading.

Column Sequence

Mandatory

The Interface system allows you to maintain the sequence of fields in the export and import tables. This lets you reuse common tables for header and trailers. The import or export file need not be in the same sequence as the fields of the tables created for them

Select

Mandatory

Select Yes or No from the drop down list.

5.2 Interface Maintenance Summary Screen

This section contains the following topics:

5.2.1 Retrieving Record in Interface Maintenance Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘FCIS Interface Maintenance Summary’ screen by typing ‘UTSIFAC’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual record detail from the detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

5.2.2 Editing Interface Maintenance Record

You can modify the details of Interface Maintenance record that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

5.2.3 Viewing Interface Maintenance Record

To view a record that you have previously input, you must retrieve the same in the Interface Maintenance Summary screen as follows:

5.2.4 Deleting Interface Maintenance Record

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

5.2.5 Authorizing Interface Maintenance

An unauthorized Interface Maintenance record must be authorized in the system for it to be processed. To authorize a record:

When a checker authorizes a record, details of validation, if any, that were overridden by the maker of the record during the Save operation are displayed. If any of these overrides results in an error, the checker must reject the record.

5.2.6 Amending Interface Maintenance

After a Interface Maintenance record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.2.7 Authorizing Amended Interface Maintenance record

An amended Interface Maintenance must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

The subsequent process of authorization is the same as that for normal transactions.

5.2.8 Copying Attributes

If you want to create a new Interface Maintenance with the same attributes of an existing maintenance, you can copy the attributes of an existing Interface Maintenance to a new one.

To copy the attributes:

5.3 Online Execution of Interfaces

This section contains the following topics:

5.3.1 Invoking Online Interface Execution Screen

To execute or process an interface maintenance definition, use the ‘Online Interface Execution’ screen. You can invoke this screen by typing ‘UTSONLIN’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

All the interface definitions available for processing are displayed in the Available Interface Definitions box. You can select any or all of these to be executed by highlighting them in the Available box and using the arrow buttons to move them to the Selected Interface Definitions box. After you have made the desired selections, click the Execute button. You must indicate that you want to continue with the processing. The selected interfaces are processed, and the system displays a message to indicate successful completion of the processing. If any errors result, you can view the same using the View Interface Error Log menu item in the Data Entry menu of the Fund Manager component.

To exit the screen without processing any selected interface definitions, click the Close button.

5.3.2 Processing Excel Upload in Online Interface Execution Screen

The system will follow the following process for Excel Upload through ‘Online Interface Execution’ screen:

If ‘Unique File Name’ is ‘Yes’’ then the system will look for the exact file name (with extension(.xls/.xlsx)) mentioned in file name field and process it. For instance, If Txnupload.xls is mentioned then system will look for that exact file and process it. If Txnupload.xlsx is mentioned then system will look for that exact file and process it.

However if only file name is mentioned (without extension(.xls/.xlsx)) then the system will check if file with extension .xls is available. If available, then it will process it and stop execution. If not then it will check if file with extension .xlsx is available. If available, then it will process it and stop. If both files (with .xls/.xlsx) are not avaiable, then the system will display an error message as ‘File Not Found Error’.

For instance, if Txnupload is mentioned then system will first check for Txnupload.xls file. If it is available, then it will process it and stop execution. If it is not available, then the system will check for Txnupload.xlsx file. If it is available then it will process it and stop execution. If not available, then the system will display an error message as ‘File Not Found’.

If ‘Unique File Name’ is ‘No’ then the system will check if the file name mentioned has extension appended to it in the end. If Yes, then system will process only files starting with file name and for that particular extension.

For instance, If Txnupload.xls is mentioned then system will Query for all the files starting with name Txnupload for .xls extension (Only) and process it. If Txnupload .xlsx is mentioned then system will Query for all the files starting with name Txnupload for .xlsx extension (Only) and process it.

If ‘No’ Extension is mentioned in the file name then system will process all the files starting with file name for both extension (.xls/.xlsx). For instance, If Txnupload is mentioned then system will Query for all the files starting with name Txnupload for .xls extension first and process it. Then it will Query for all the files starting with name Txnupload for .xlsx extension and process it.

5.4 Re-Exporting Data

This section contains the following topics:

5.4.1 Invoking Re-Export Screen

If you want to re-export data that has already been handed-off to an external system, you will have to use the ‘Re-Export’ screen.

You can invoke this screen by typing ‘UTDREEX’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can search for a record that has been exported. Enter one of the following search criteria:

Export Type

Select Export Type created earlier.

AMC / Distributor ID

Select a distributor ID from the list.

Export From Date and Export To Date (DD/MM/YYYY)

Specify the period in which the file was exported.

Process ID

Enter the Execution ID of the export which has to be re-exported.

When you click ‘Search’ button, the export files that match the search criteria that you have entered, will be displayed.

5.5 Scheduler Services

This section contains the following topics:

5.5.1 Scheduler Services Description

Oracle FLEXCUBE Investor Servicing provides you with the facility of scheduling internal activities and having them executed as pre-programmed proceedings by the system. In the system, the Scheduler component facilitates such proceedings.

Typically, you can schedule any activity through the Scheduler Services. Some of these activities may be frequently occurring or recurrent activities, some activities may need to be initiated on demand, and some may be one-time activities.

To schedule activities using this Scheduler Service, you must

You may schedule jobs at a time-based frequency (simple or cron), or you may require them to be executed every time a business event occurs in the system. Accordingly, an event is an occurrence of a business proceeding in the system, such as allocation, or dividend declaration, or the End of Day procedures.

All business proceedings in the system that must be designated as events are pre-defined, according to the requirements at each installation, by the implementers. No new definitions of events are possible after this.

At the Security Management component, you can access all the Scheduler Services from the following menu categories:

5.5.2 Defining Jobs

A job is a business activity which the system performs repeatedly on timely basis. Oracle FLEXCUBE enables you to define a job and schedule it using ‘Job Maintenance’ screen. You can invoke this screen by typing ‘UTDJOB’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can specify the following fields in this screen.

Job Code

Alphanumeric; Mandatory

Specify the unique code to identify the Job.

Job Description

Alphanumeric; Optional

Specify a brief description of what the job is supposed to do.

Job Group

Alphanumeric; Optional

Specify the job group name to represent the same group of jobs for identification.

Job Type

Alphanumeric; Optional

Select the type of job from the drop-down list. The following options are available for selection:

Max Number Instances

Numeric; Mandatory

Specify the maximum number of instances that needs to be queued up.

If you maintain the max number instances as ‘0’,no instances are queued or parallel processed till the current running instance is completed.

Scheduler

Alphanumeric; Optional

Specify the name of the scheduler. The system defaults the name to ‘SchedulerFactory’. However, you can modify this name. This signifies the scheduler name which is configured as part of infra.

Trigger Type

Alphanumeric; Optional

Select the type of the trigger from the drop-down list. The following options are available:

Scheduler Type

Display

The system displays ‘Quartz’ as the scheduler type.

Priority

Alphanumeric; Optional

Select the priority on which the system should execute the jobs in the scheduler from the drop-down list. The following options are available.

If two jobs with different priorities fire at the same time, then system gives preference to the job with higher priority.

Message Queue

Alphanumeric; Conditional

Specify the default JMS queue to which a job needs to send message. You can specify this only if the job has to send messages to JMS.

Cron Expression

Alphanumeric; Mandatory

Specify the corresponding Cron expression for a job with trigger type as ‘Cron’. You need to do this to determine the time and interval of job firing.

Class or Procedure

Alphanumeric; Conditional

Specify the Java class file name if job type is ‘Java’ or the PL/SQL procedure name if the job type is ‘PL/SQL’. This denotes which java class or pl/sql procedure the system should call when a job fires.

Number of Submissions

Alphanumeric; Conditional

Specify the number of times a job can fire before it is unscheduled from scheduler. This applies only to trigger types maintained as ‘Simple’.

Interval

Alphanumeric; Conditional

Specify the time interval between jobs. This applies only to trigger types maintained as ‘Simple’.

Trigger Listener

Alphanumeric; Optional

Specify a java class as a trigger listener which will be notified of events such as before job fired, after job completed, misfired jobs.

Active

Alphanumeric; Optional

Check this box to set the job as active. The scheduler does not pick the inactive jobs for scheduling.

Ds Name

Alphanumeric; Optional

Specify the name of the database schema to which the job has to connect. This attribute is used in case of multi instance deployment of Oracle FLEXCUBE application.

Logging Required

Alphanumeric; Optional

Check this box to indicate that system should log each firing of job. This helps in logging the firing time of job and key log info as part of that firing. This also enables tracking of each job’s firing times and helps in identifying miss-fired jobs.

Startup Mode

Alphanumeric; Optional

Specify start up mode of the job from the drop-down list. The following options are available:

Parameter Details

You can specify the job specific parameters, which are passed to job class or procedure at runtime. The following details are captured here:

Parameter Name

Alphanumeric; Optional

Specify the name of the job parameter. The parameter name you specify here is passed to job class or procedure at run time.

Data Type

Alphanumeric; Optional

Specify the data type of the parameter.

Parameter Value

Alphanumeric; Optional

Specify the value of the parameter.

5.6 Job Maintenance Summary Screen

This section contains the following topics:

5.6.1 Invoking Job Maintenance Summary Screen

You can perform the following operations in the Job Maintenance Summary screen:

5.6.2 Retrieving Record in Job Maintenance Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Job Maintenance Summary’ screen by typing ‘UTSJOB’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the records with the specified details are retrieved and displayed in the lower portion of the screen.

5.6.3 Editing Record in Job Maintenance Summary Screen

You can modify the details of a record in Job Maintenance record that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

5.6.4 Viewing Job Maintenance Record

To view a record that you have previously input, you must retrieve the same in the Job Maintenance Summary screen as follows:

5.6.5 Deleting Job Maintenance Record

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

5.6.6 Authorizing Job Maintenance Record

An unauthorized Job Maintenance record must be authorized in the system for it to be processed. To authorize a record:

When a checker authorizes a record, details of validation, if any, that were overridden by the maker of the record during the Save operation are displayed. If any of these overrides results in an error, the checker must reject the record.

5.6.7 Amending Job Maintenance Record

After a Job Maintenance record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.6.8 Authorizing Amended Job Maintenance record

An amended Job Maintenance must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

The subsequent process of authorization is the same as that for normal transactions..

5.6.9 Scheduling Jobs

All jobs for scheduling are stored in a static data store and each job is associated with a name indicating where the job has to execute. Jobs are created in the Application Server and are scheduled based on this data.

Note

The job name should be unique across the schedulers available in the system.

When the application server starts, the job details from static data store will get cached. These cached jobs will then be scheduled using either the quartz or flux scheduler.

For example, the notification process can be handled by the job schedulers as follows:

5.6.10 Controlling Jobs

The details of jobs that are scheduled can be viewed using the ‘Job Details’ screen. In this screen you can pause or resume a job that has been scheduled. You can invoke the ‘Job Details’ screen by typing ‘SMSJOBBR’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

You can a search for a scheduled job by specifying any of the following:

Job Name

Alphanumeric; Optional

Select the name of the job that you want to search for from the option list provided.

State

Alphanumeric; Optional

Select the state of the job you want to search for from the option list provided. The following options are possible for Quartz schedulers:

Scheduler

Alphanumeric; Optional

Select the scheduler to which the job you want to search for has been assigned.

Job Group

Alphanumeric; Optional

Select the group to which the job you want to search for belongs, from the option list provided.

Next Fire Time

Alphanumeric; Optional

Select the time when the job is scheduled to be run next.

Click ‘Search’ button to view the details related to the job. You can pause a job by selecting it and clicking the ‘Pause’ button.

You can resume a paused job by clicking ‘Resume’ button and the job is scheduled for its next fire time.

A job can take any of the following states.

5.7 Interface with External Asset Management Systems

Oracle FLEXCUBE Investor Servicing provides a facility that enables you to effect data exchanges with an external accounting system. You can export transaction and dividend information to this accounting system and import the NAV or the NAV per unit from this external system. Typically, the accounting system is FLEXCUBE Securities.

You must perform the following in order to configure the system to effect the export or import of accounting system information:

To configure the system for the interface with FLEXCUBE Securities or any external accounting system, use the following screens available in the Browser:

5.8 General Ledger Setup

This section contains the following topics:

5.8.1 Setting up General Ledger Template

Oracle FLEXCUBE Investor Servicing provides the facility to set up a General Ledger for the purpose of generating accounting entries that would be passed at each event in the life cycle of a transaction.

The events at which the accounting entries could be required for a transaction are as follows:

Also, a set of theoretical entries could be required at initiation of the transaction.

For these accounting entries, the relevant reporting heads are to be mapped to each transaction. According to the components mapped and the setup in the system, the appropriate accounting entries / theoretical entries are passed at either the Distributor or AMC installation, for the funds for which the setup has been maintained.

You can set up the General Ledger by setting up an accounting template for each transaction type and transaction event, and then mapping the template for a fund-investment account type combination, so that the template comes into effect for transactions in the fund-investment type combination.

5.8.2 Invoking GL Template Detail Screen

You can set up a General Ledger Template for each event in the life cycle of a transaction of a certain type, in the ‘GL Template Detail’ screen. You can invoke this screen by typing ‘UTDGLTMP’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

Details Section

Template Id

Mandatory

Enter a unique id for the template that you are setting up.

Template Description

Mandatory

Enter a description for the template.

Business Event

Mandatory

Select the type of transaction/process for which the template is being defined.

Trigger Event

Mandatory

Select the event on which GL Extraction will be initiated. The Trigger Event could be Unitization, Authorization or Settlement.

Theoretical Entries

Mandatory

Select one of the options from the drop-down to indicate if there are entries that will be used for reporting only.

GL Currency

Mandatory

Select the GL Currency from the option list provided.

Product Level Apply

Indicate if the template is applicable at the product level or not from the drop-down list.

Note

You can maintain a GL Setup for more than one currency. This is done by choosing the option ‘All Currency’ against the field GL Currency. This allows you to maintain one GL for transactions carried out by the customer in different currencies. There will be a currency wise posting in the GL.

Component Account Details

Component Id

Mandatory

Select the component ids of the components that must appear as entries in the general ledger sub-accounts of the selected funds, for the selected business event.

All the loads that have been defined in the system will be included in the drop-down list. You can also select the option ‘VAT’.

Component Description

Mandatory

The description of the component id that you have selected will be displayed.

Debit/Credit

Mandatory

Indicate whether the entries arising due to the selected business event are to be deemed as positive (debit) entries or negative (credit) entries in the general ledger.

Primary Account Details

GL SetUp For

Mandatory

The GL set up may be defined for Payment, General Ledger, CASA or SAP. Indicate the same in this field.

Different fields are displayed, enabled or disabled depending on what option you choose. The same is explained below:

CASA

Entity

Mandatory

Select the primary initiating entity. It could be Unit Holder, Distributor, AMC or Fund.

Accounting Currency

Mandatory

Select the accounting currency for the primary entity from the option list provided. It could be the Fund Base Currency or the Transaction Currency.

Bank Branch

Mandatory

Select the bank branch from the option list provided.

Account Number

Mandatory

Select the bank account number from the option list provided.

Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Direct Debit

This field will be disabled for the option CASA.

GL

Entity

Mandatory

Select the primary initiating entity. It could be Unit Holder, Distributor, AMC or Fund.

Accounting Currency

Mandatory

Select the accounting currency for the primary entity from the option list provided. It could be the Fund Base Currency or the Transaction Currency.

Account Number

Mandatory

Enter the bank account number.

Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

SAP

Entity

Mandatory

Select the primary initiating entity. It could be Unit Holder, Distributor, AMC or Fund.

Accounting Currency

Mandatory

Select the accounting currency for the primary entity from the option list provided. It could be the Fund Base Currency or the Transaction Currency.

Account Number

Mandatory

Enter the bank account number.

Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Payment

Entity

Mandatory

Select the primary initiating entity. It could be Unit Holder, Distributor, AMC or Fund.

Accounting Currency

Mandatory

Select the accounting currency for the primary entity from the option list provided. It could be the Fund Base Currency or the Transaction Currency.

Bank Branch

Mandatory

Select the bank branch from the option list provided.

Account Number

Mandatory

Select the bank account number from the option list provided.

Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the transaction currency.

Direct Debit Applicable

This field will be disabled for the option Payment.

Contra Account Details

GL SetUp For

Mandatory

The GL set up may be defined for Payment, General Ledger, CASA or SAP. Indicate the same in this field.

Different fields are displayed, enabled or disabled depending on what option you choose. The same is explained below:

Depending on what you choose, certain fields will be displayed. The same is explained below:

CASA

Contra Entity,

Mandatory

Select the counterparty initiating entity. It could be Unit Holder, Distributor, AMC, Fund or Product.

Contra Accounting Currency

Mandatory

Select the accounting currency for the counterparty entity from the option list provided. It could be the Fund Base Currency ,the Transaction Currency or the Product Base Currency..

Contra Bank Branch

Select the bank branch from the option list provided.

Contra Account Number

Mandatory

Enter the bank account number.

Contra Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Direct Debit Applicable

This field will be disabled for the option CASA.

GL

Contra Entity

Mandatory

Select the counterparty initiating entity. It could be Unit Holder, Distributor, AMC, Fund or Product.

Contra Accounting Currency

Mandatory

Select the accounting currency for the counterparty entity from the option list provided. It could be the Fund Base Currency, the Transaction Currency or the Product Base Currency..

Contra Account Number

Mandatory

Enter the bank account number.

SAP

Contra Entity

Mandatory

Select the counterparty initiating entity. It could be Unit Holder, Distributor, AMC, Fund or Product.

Contra Accounting Currency

Mandatory

Select the accounting currency for the counterparty entity from the option list provided. It could be the Fund Base Currency, the Transaction Currency or the Product Base Currency..

Contra Account Number

Mandatory

Enter the bank account number.

Payment

Contra Entity

Mandatory

Select the counterparty initiating entity. It could be Unit Holder, Distributor, AMC, Fund or Product.

Contra Accounting Currency

Mandatory

Select the accounting currency for the counterparty entity from the option list provided. It could be the Fund Base Currency, the Transaction Currency or the Product Base Currency..

Contra Bank Branch

Select the bank branch from the option list provided.

Contra Account Number

Mandatory

Enter the bank account number.

Transaction Currency

Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Direct Debit Applicable

This field will be disabled for the option Payment.

5.9 GL Template Summary Screen

This section contains the following topics:

5.9.1 Invoking GL Template Summary Screen

Invoke the ‘GL Template Summary’ screen by typing ‘UTSGLTMP’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

You can perform the following operations in the GL Template Summary screen:

5.9.2 Retrieving Record in GL Template Summary screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the summary screen and specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve the individual record detail from the detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

For example:

You can search the record for Template ID by using the combination of % and alphanumeric value as follows:-

5.9.3 Editing GL Template

You can modify the details of a GL Template that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

5.9.4 Viewing GL Template

To view a record that you have previously input, you must retrieve the same in the GL Template Summary screen as follows:

5.9.5 Deleting GL Template

You can delete only unauthorized records in the system. To delete a record that you have previously entered:

5.9.6 Authorizing GL Template

An unauthorized GL Template must be authorized in the system for it to be processed. To authorize a record:

When a checker authorizes a record, details of validation, if any, that were overridden by the maker of the record during the Save operation are displayed. If any of these overrides results in an error, the checker must reject the record.

5.9.7 Amending GL Template

After a GL Template is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.9.8 Authorizing Amended GL Template

An amended GL Template must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module. The subsequent process of authorization is the same as that for normal transactions.

5.9.9 Copying Attributes

If you want to create a new GL Template with the same attributes of an existing maintenance, you can copy the attributes of an existing GL Template to a new one.

To copy the attributes:

5.10 GL Template Mapping to Fund – Investment Account Type Combination

This section contains the following topics:

5.10.1 Invoking GL Interface Setup Detail Screen

After authorized templates have been created, you can map the relevant template to a fund-investment account type combination, in the ‘GL Interface Set-Up Detail’ screen.

You can invoke this screen by typing ‘UTDGLISD’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

Fund Details Section

GL Reference Number

Specify a reference number for the GL. The field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund Id, Template Id, Component and Account Type. You can distinguish between them by entering a unique GL Reference Number for each.

Product ID

Select the Product to which the template is being mapped, from the option list provided.

Fund Id

Select the fund to which the template is being mapped from the option list provided.

ISIN Code

The ISIN Code of the fund that you choose will be updated in this field.

You could, alternatively, select the ISIN Code of the fund and the Fund Id will be updated.

Template Id

Select the template that you desire to map to the fund-investment account combination to.

Note

When you choose the Template Id, the following sections are displayed in the screen:

These have been explained in detail in the section ‘Setting Up a General Ledger Template’ in this chapter. Please refer to the same for more information.

Template Description

The description of the template is displayed when you select the Template Id.

Account Type

Select the investment account type for which the template is being mapped.

GL Currency

Select the GL Currency from the option list provided.

Note

For example, if you want to define a GL setup for a fund FUND1 for two account types CPFOA and Cash Direct, you can choose the option ‘All Account Types’ instead defining two different GL templates for each of the account types.

 

You can maintain a GL Setup for more than one currency. This is done by choosing the option ‘All Currency’ against the field GL Currency. This allows you to maintain one GL for transactions carried out by the customer in different currencies. There will be a currency wise posting in the GL.

5.10.2 Extraction and Generation of Event based Accounting Entries

A batch process extracts the relevant accounting entries according to the GL setup for the fund, and generates the accounting entries that would be passed, automatically at EOD.

For cash nominee accounts, no theoretical entries are generated at the AMC when the GL extract is generated, since these accounts are of the Distributor.

The System checks whether the transaction date is a holiday in any of the calendars. The settlement date (Contractual Settlement Date) is derived based on the mode of payment, payment lag maintained for the fund.

As of the unitization or allocation date, the theoretical (cash flow indicator) entries, if indicated in the GL maintenance, are generated. At the Distributor, the accounting entries generated for the underlying transaction reflect the movement of funds to Distributor, unit holder and fund accounts. At the AMC, the accounting entries generated for the underlying transaction reflect the credit or debit to fund investment, fund manager, Distributor, rounding and transaction charge account.

The payment date for the underlying transaction is also arrived at according to the transaction payment mode. The settlement process is initiated on the date on which payment clearing is performed, which is tracked as the Actual Settlement Date. At the Distributor, the accounting entries generated reflect the movement of funds between the fund receivable account and the Distributor. At the AMC, the accounting entries generated reflect the movement of funds between the fund account and unit holder pooled investment account.

For cash based transactions, the unitization and payment date are the same and both theoretical and actual entries are passed as on this date.

5.10.3 Regeneration of Extract

Once the accounting data passed due to a GL setup has been extract, you can re-extract and regenerate the data, if required.

To re-extract the data, you must provide the ID of the fund and the unit holder for which you wish to re-extract the data and the date range between which the data was extracted. If you do not provide a fund or unit holder ID, the data is re-extracted for entries generated within the date range specified.

After re-extraction, you can either regenerate the entries or generating a report containing the entries.

5.11 Accounting System General Ledger Setup

This section contains the following topics:

5.11.1 Invoking Accounting System GL Setup Detail Screen

You can use this screen in the Administration menu category of the Fund Manager component to

When you map each load component code (GL Account Code) to its corresponding charge code that is defined for the load in the external system, the load information in the exported transaction data is recognized and assimilated in the external system.

Invoke the ‘Accounting System GL Setup Detail’ screen by typing ‘UTDGLACM’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

When you open this screen, all the codes that have already been mapped are displayed.

GL Account Code

Alphanumeric, Mandatory

Select the account code in the FCIS system that must be mapped to its corresponding charge code in the external system. This is the GL Account Code that has been assigned to this load component in the Fund Load Setup record.

External Code

Alphanumeric, Mandatory

Specify the account code in the external system that corresponds to the selected FCIS system code.

5.12 FCIS – AWD Interface

This section contains the following topics:

5.12.1 FCIS-AWD Interface Description

At the end of a day’s batch processing, Oracle FLEXCUBE Investor Servicing will produce a file which contains all the transactions that have failed validation criteria. The FCIS – AWD Interface will assign a unique error code for each of the failed transactions and pass the file to another external system. This external system will translate the error codes into AWD Worktype and produces an AWD/RIP control file for AWD/RIP.

5.12.2 Maintaining Interface Specific Details

You need to maintain the external system AWD in the FCIS Data Mapping Maintenance screen with the code description as ERROR CODE. Consequently, the file that will be sent to AWD by FLEXCUBE Investor Services will have the header ‘AWD’.

Refer to the section ‘Maintaining Data Mapping’ in the chapter ‘Maintaining System Parameters’ for further details.

5.12.3 Interface Attributes

The FCIS – AWD Interface has the following attributes:

Trigger

EOD Activity

Transport Type

File System

File Type

Delimited

Header Row

No

Record Separa­tor

New Line Charac­ter

Field Separator

Comma

5.12.4 Process Workflow

The FCIS - AWD interface will fetch all the allocation errors that have occurred on transactions after all the validations. The interface will then transfer a file with the details in the required format. The interface will also provide the subscriptions, redemptions and income distributions for which the bank details are unverified.

5.12.5 File Format for FCIS – AWD Interface

The file which contains the errors that have occurred on transactions will be in the following format:

Field Name

Data Type

Details

Error Code

Number

The FCIS error code will be translated as per the data mapping maintenance.

Account Number

Character

The unit holder ID of the transaction.

Fund id

Character

The fund ID of the transaction.

Account Group No

Character

Product ID of the transaction. The value will be ‘UT’ if it is a unit trust transaction.

Account Group Type

Character

The product type of the product maintained in FCIS.

Surname

Character

The Last Name of the unit holder involved in the transaction

Date of birth

Number(8)

Unit holder’s Date of birth in YYYYMMDD format

Account Refer­ence Number

Character

The transaction number.

Date

Number(8)

Transaction date in YYYYMMDD format

5.13 EPU Upload

This section contains the following topics:

5.13.1 EPU Upload Processing

In EPU Upload, FCIS receives distribution rates for all non Money Market Funds from an external system. The frequency of the upload depends on the frequency of distribution rates declared for each fund.

5.13.2 Interface Workflow

When a file is received, the system processes a record only if there is no previous EPU entry (for the fund as on the distribution date) and the dividend record is unprocessed. If there is an EPU record already existing, the system displays an error message ‘Duplicate Record’. If the system does not find any duplicate records, it stores the data in tables and deletes the file.

5.13.3 Attributes

The attributes present in the EPU upload file interface are as follows:

Outgoing responses are not within the scope of this interface.

5.13.4 Message Format

Refer the chapter ‘Appendix B - Upload file formats – B’, Volume IV of Upload Format User Manual.

5.14 Tax Aggregation Interface

This section contains the following topics:

5.14.1 Tax Aggregation Interface Description

The Tax Aggregation Interface facilitates the export and subsequent import of all tax information relating to Annuity Income. The dispatch and receipt of the information is done on a monthly basis.

5.14.2 Interface Workflow

FCIS collates tax information across all lines of business every month only for clients with Annuity income. This is sent across to an application which checks if the tax payable by the client has been accurately calculated. The application then sends the accurate values of tax which will be updated in the designated tables in FCIS. There will be no processing of the data imported.

5.14.3 Attributes

The attributes present in the Tax Aggregation File interface are as follows:

The incoming information into FCIS is handled the same manner as the outgoing information.

5.14.4 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual.

5.15 Agent Reference File

This section contains the following topics:

5.15.1 Agent Reference File Description

The Agent Reference File is an import interface. The broker details like Broker Name, Broker Type, etc are updated in the FCIS using this interface. . The repository of OMIPAY, i.e., SAP, will send a file to the system which includes the broker details. These records are compared with the records present in the system. If there is any mismatch in the OMIPAY data, the system will be updated accordingly.

Note

This interface does not create new brokers; instead the existing broker details will be up­dated.

5.15.2 Interface Attributes

The attributes present in the Agent Reference File interface are as follows:

5.15.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.

5.16 Oracle Financial Interface

This section contains the following topics:

5.16.1 Oracle Financial Interface Description

Oracle Financial Interface is an export interface that will be done daily. The GL entries posted through out the day will be sent to the external system. The Oracle Financial Accounting System interface consolidates the journal postings and produces the accounts. All transactions and fees will be recorded in Oracle Financials General Ledger. This is an automated process that will run during EOD.

5.16.2 Interface Attributes

The attributes present in the Oracle Financial interface are as follows:

5.16.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.

5.17 Product-Fund- Asset Code Mapping Interface

This section contains the following topics:

5.17.1 Product-Fund- Asset Code Mapping Interface Description

For every Product – Fund ID combination, the system creates an Asset Code. For every valid Product and Fund ID available as part of Product Portfolio mapping combination, the system will generate an Asset Code. The system picks up the Asset Code for reporting purpose for the Global Order Placement Interface/Report.

The Global Placement Interface has been explained in detail in the section ‘Global Order Placement Interface’ of this chapter.

5.17.2 Executing Product–Fund–Asset Code Mapping Interface

The Product Fund Asset Code Upload supports the Product Fund Asset Code Mapping and is a file based upload.

You can execute the Product Fund Asset Code Mapping through the ‘Online Execution of Interfaces’ screen.

Refer the section ‘Online Execution of Interfaces’ in this chapter for details on executing the interface maintenance definitions.

5.18 Global Order Placement Interface

This section contains the following topics:

5.18.1 Global Order Placement Interface Description

The Global Order Placement is an export interface. This interface will extract policy transaction information like Investment amount (minus Initial Admin and Initial Broker fees), Disinvestment Amount etc. from FCIS and creates a text file which will be handed over to the different AMC. This interface is manually triggered.

You can also report the net value of the Initial admin and Broker Fee to the AMC/ UT along with the UT initial fee return value using Global Order Placement. Hence the exported files will contain both the net amount (Policy amount – Fees) and UT fee return value.

You can group the transactions based on the following:

Note

System will consider Internal Switches (switch in and switch out) as separate transaction types.

5.18.2 Batch Process for Global Order Generation

The Global Order or Manco Instructions is generated using the batch process. The system will check for all the transactions in this batch process, i.e., if there are fees attached to the policy transaction, the system will forecast the Initial Admin fees and Initial Broker fees using the Project Allocation procedure.

Project Allocation projects the allocation which contains the allotted units based on the price available from the global order. The forecasted fee values are received through the project allocation package.

You can calculate the investment amount using the following formula: Investment Amount = (Policy Transaction Amount) – (Initial Admin Fee) – (Initial Broker Fee).

Investments and Disinvestment Adjustments (Reversals), i.e., Buying and reversal of Selling, will be consolidated into a single value per day’s transactions. Similarly, Disinvestments and Investment Adjustments (Reversals), i.e., Selling and reversal of Buying will be consolidated into a single value per day’s transactions.

Note

Netting of Investments and Disinvestments is not allowed.

You can report the separate records for the transactions such as Investment Amounts, Disinvestment Amounts, Disinvestment Units, Switches In and Switches Out, for the same Manco Fund per day.

Following points can be used as reference:

5.18.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.