5. FATCA Reports

Oracle FLEXCUBE Investor Servicing provides FATCA related reporting facility. Following are the reports that are related to FATCA:

• FATCA Status Report
• FATCA Recalcitrant Report
• FATCA Chasing Date Report
• FATCA Document Status Report
• Authorized Representative Expiry Report

This chapter contains the following sections:

• Section 5.1, "FATCA Status Report"
• Section 5.2, "FATCA Recalcitrant Report"
• Section 5.3, "FATCA Chasing Date Report"
• Section 5.4, "FATCA Document Status Report"
• Section 5.5, "Authorized Representative Expiry Report"

5.1 FATCA Status Report

This section contains the following topics:

• Section 5.1.1, "Generating the FATCA Status Report"
• Section 5.1.2, "Contents of the FATCA Status Report"

5.1.1 Generating the FATCA Status Report

You can generate FATCA US Indicia report using ‘FATCA Status Report’ screen. This report provides information on the entities where US indicia is available in their records. To invoke the screen, type ‘UTR300’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

5.1.2 Contents of the FATCA Status Report

You can specify the following report parameters:

Entity Type

Select the entity type from the adjoining drop-down list. The options available are:

• All
• Unit Holder
• CIF
• Auth rep
• Agent
• Agency Branch
• Agency Officer
• IFA
• Broker Code

FATCA Classification

Select the FATCA classification from the adjoining option list.

Description

The system defaults the description.

FATCA Status

Select the status of FATCA from the adjoining drop-down list.

• All
• Pending Classification
• Pending Classification Partial
• Compliant
• Recalcitrant

The report contains the following details:

Header Section

Field	Description
Title	Name of the report
Report as on Date	Date as on which date the report is generated
Report Generation Date	Application date
Generated by	Maker ID

 

Detail Section

Field	Description
Entity Name	First name and last name of the corresponding UH
FATCA Classifica­tion	FATCA classification of the UH
FATCA Classifica­tion Reason	FATCA classification reason of the UH
FATCA Compliant	FATCA compliance status of the UH
FATCA Status	FATCA Status of the UH
Nationality	Nationality of the corresponding UH
Dual Nationality	Dual nation of the corresponding UH
Country of Birth	Country of birth of the corresponding UH
Country of Incorpo­ration	Country of incorporation of the corresponding UH
Country of Domicile	Country of domicile of the corresponding UH
Correspondence Address	Address lines 1 to 4 with name of the country, separated by comma
Alternate Address	Alternate address lines 1 to 4 with name of the country, separated by comma
Registered/perma­nent Address	Registered permanent address lines 1 to 4 with name of the country, separated by comma
Telephone Number1	Country code and the first telephone number
Telephone Number2	Country code and the second telephone number
Cell Phone Number	Country code and the cell phone number
TAX ID	TAX ID of the corresponding UH
TAX Circle	TAX circle of the corresponding UH
TAX ID Expiry Date	Expiry date of the Tax ID of the corresponding UH
Auth Rep ID	Authorized representative if any
Auth Rep Name	First and last names of the authorized representative
Auth rep US Indicia Available	Value in the field ‘US Indicia Available’ for authorized representa­tive CIF

5.2 FATCA Recalcitrant Report

This section contains the following topics:

• Section 5.2.1, "Generating FATCA Recalcitrant Report"
• Section 5.2.2, "Contents of the Report"

5.2.1 Generating FATCA Recalcitrant Report

You can generate FATCA Recalcitrant report using ‘FATCA Recalcitrant Report’ screen. This report provides information on total number of recalcitrant accounts in the records. To invoke the screen, type ‘UTR301’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

You can specify the following report parameters:

Entity

Specify the entity code for which the report is being generated. The option list displays following options:

• All
• Customer (CIF)
• Unit Holder (UH)
• Broker
• Authorised Representative
• Related Party (Auth Rep, Nominee and Joint Holder)

Select the appropriate one.

Once you have set the parameters, click ‘OK’ button. The system generates the report in MS Excel format.

5.2.2 Contents of the Report

The report contains the following details:

Header Section

Field	Description
Title	Name of the report
Report As On Date	Date as on which date the report is generated
Report Generation Date	Date on which the report was generated
Generated by	Maker ID

Detail Section

Field	Description
Entity Type	Individual / Corporate
Number of Recalci­trant Accounts	Total number of recalcitrant accounts
Total Holding Value	Total holding value of all the recalcitrant accounts

5.3 FATCA Chasing Date Report

This section contains the following topics:

• Section 5.3.1, "Generating FATCA Chasing Date Report"
• Section 5.3.2, "Contents of the Report"

5.3.1 Generating FATCA Chasing Date Report

You can generate FATCA Chasing Date report using ‘FATCA Chasing Date Report’ screen. This report provides information on all the entities whose chasing date has expired or will expire within a specific period mentioned in the report options. To invoke the screen, type ‘UTR302’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

Report As On

Specify the date as on which the report needs to be generated. You can use the adjoining date button to select the appropriate date from the calendar.

Entity

Specify the entity code for which the report is being generated. The option list displays following options:

• All
• Customer (CIF)
• Unit Holder (UH)
• Broker
• Authorized Representative
• Related Party (Auth Rep, Nominee and Joint Holder)

Select the appropriate one.

No of Days

You can include the entities with chasing date that are about to expire in a certain number of days. Specify the number of days here.

Once you have set the parameters, click ‘OK’ button. The system generates the report in MS Excel format.

5.3.2 Contents of the Report

The report contains the following details:

Header Section

Field	Description
Title	Name of the report
Report As On Date	Date as on which date the report is generated
Entity Type	The type of entity, whether individual, corporate, entity, broker or auth rep
Entity ID	The ID of the entity
No of Days	The number of days for which the documentation is pending
Report Generation Date	The date on which the report was generated
Generated by	Maker ID

Detail Section

Field	Description
Entity Details
Entity	Unit holder
Entity ID	ID of the entity listed
Document Details
Document ID	The document ID maintained as part of Entity FATCA Classification Maintenance
Document Name	Name of the Document (the document type maintained against each entity in the document maintenance)
Expiry Date	Date of expiry of that document

5.4 FATCA Document Status Report

This section contains the following topics:

• Section 5.4.1, "Generating FATCA Document Status Report"
• Section 5.4.2, "Contents of the Report"

5.4.1 Generating FATCA Document Status Report

You can generate FATCA Document Status report using ‘FATCA Document Status’ screen. This report provides information on the status of the FATCA documents. To invoke the screen, type ‘UTR303’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

You can specify the following report parameters:

Expiry Date

Specify the expiry date of the documents that should be covered the report. You can use the adjoining date button to select the appropriate date from the calendar.

Entity

Specify the entity for which the report needs to be generated. The option list displays the following options:

• All
• Customer (CIF)
• Unit Holder (UH)
• Broker
• Related Party (Auth Rep, Nominee and Joint Holder)

Once you have set the parameters, click ‘OK’ button. The system generates the report in MS Excel format.

5.4.2 Contents of the Report

The report contains the following details:

Header Section

Field	Description
Title	Name of the report
Report Generation Date	Date as on which date the report is generated
Expiry Date	Expiry date provided in the search criteria
Generated by	Maker ID

Detail Section

Field	Description
Entity Details
Entity	Entity name
Entity ID	ID of the entity listed
Document Details
Document ID	The document ID maintained as part of Entity FATCA Classification Maintenance
Document Name	Name of the document (the document type that will be maintained against each entity)
Expiry Date	Date of expiry of that document

For a given entity, you can find the details of multiple documents in the report.

5.5 Authorized Representative Expiry Report

This section contains the following topics:

• Section 5.5.1, "Generating the Authorized Representative Expiry Report"
• Section 5.5.2, "Contents of the Report"

5.5.1 Generating the Authorized Representative Expiry Report

You can generate Authorized Representative Expiry Report using ‘Auth Rep Expiry Report’ screen. This report provides information on the status of the authorized representatives that have expired or are going to expire on the date of report. To invoke the screen, type ‘UTR304’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

You can specify the following report parameters:

Date

Specify the date as on which you need to generate the report. You can use the adjoining date button to select the appropriate date from the calendar.

Auth Rep

Select the authorized representative for whom you are generating the report. You can select the appropriate one from the option list.

No of Days

You can include the authorized representatives that are about to expire in a certain number of days. Specify the number of days here.

Once you have set the parameters, click ‘OK’ button. The system generates the report in MS Excel format.

5.5.2 Contents of the Report

The report contains the following details:

Header Section

Field	Description
Title	Name of the report
Report Generation Date	Date as on which date the report is generated
Generated by	Maker ID

Detail Section

Field	Description
Entity
Entity	Entity name
Entity ID	Authorized representative ID
Document Details
Expiry Date	Date of expiry of the authorized representative
Linked UH Details	UH ID of the linked unit holder
Linked UH ID	Name of the linked unit holder
No of Days	The number of days left for expiry