2. Reports

Various reports can be printed at Fund Manager level. Transaction summary reports can be printed on a daily basis or at a regular frequency. This is invariably set up as a scheduled activity of EOD.

Typically, the following users or groups are authorized to access this function:

The reports that are available are:

Transactions Reports

Summary Reports of all transactions can be printed at regular intervals. Also a detailed listing of all the loads that were applied for the transaction can also be generated. The Load Listing report for every transaction gives the breakup of all the loads that were applied for the transaction and the resultant effect on the price and the final units allotted.

Performance Reports

Performance reports of top performing agency branches can be generated. This can be done for a single fund or across funds in the AMC. It can be based on either transaction units or transaction amounts. If the transaction type is not specified, then, by default, IPO Subscription, Subscription and Redemption transactions are taken into consideration.

Fund Data Reports

Fund based reports like Fund Rule, Fund Price and Entity Details can also be printed. Reports based on the loads (Fee / Incentive) can also be generated. Generation of Standing Instructions reminders and printing of Standing Instructions report are also done at Fund Manager level. SI reminder generation is one of the EOD activities.

Unit Holder Reports

This module also does printing of unit holder holdings and unit holder registers.

Checks that are to be given by the Fund Manager to the various entities are also generated.

The list of reports that you can generate, preview and print is as follows:

This chapter contains the following sections:

2.1 Unit Holder Register Report

This section contains the following topics:

2.1.1 Generating Unit Holder Register Report

This report will also have the provision for printing the mailing labels for the selected unit holders.

This report will print the Unit Holder ID, Name, Address, Contact number, type of investor, country of residence, total holdings, percentage of holdings, etc. This will be printed at the Unit holder’s request.

The input data required from the unit holder is Fund ID's, All Unit Holders/Top <N>, Investor Type. This report will be ordered by Unit Holder ID, Investor Type, Country of Residence, Agent, Holdings, and Zip Code. You can invoke the ‘Unitholder Register’ screen by typing ‘UTR00127’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

Totals of Number of Unit Holders, Total of holdings, Percentage of Holdings are computed and printed.

2.1.2 Contents of the Unit Holder Register Report

This report will contain all the unit holder details. It will also contain other details like total holdings and the percentage of the holdings.

2.2 Transaction Load Listings

This section contains the following topics:

2.2.1 Generating the Transaction Load Listings

This report will print all details for a given transaction number. It gives a detailed listing all the loads and the amount and the net price after load.

This report will print all load details for the given transaction number.

This report will be printed Daily (Printed at the End of the Day). This report will be ordered by Load ID.

Sub totals of total amount price after load, amount after load are computed and printed for the same.

2.2.2 Contents of the Transaction Load Listings Report

Transaction Number

Displays the transaction Number for which the load listings are being printed.

Transaction Date

Displays the date of the transaction.

Fund ID

Displays the fund for which the transaction had taken place.

Unit Holder ID

Displays the ID of the unit holder who made the transaction.

Transaction Units

Displays the units applied for in the transaction.

Transaction Amount

Displays the Amount applied at the time of the transaction.

Mode of Payment

Indicates whether the transaction amount was paid by Cash, Check, DD, etc.

Agent

Displays the code of the Agent where the transaction was made.

Branch

Displays the code of the Branch of the Agent where the transaction was made.

Broker

Displays the code of the Broker who was involved for the transaction.

Parent Broker

Displays the code of the Parent Broker who was involved in the transaction.

Base Price

Displays the Base Price on which the transactions were made. This Price does not include the load amounts.

Load ID

Displays the Ids of the Loads that are applicable for the transaction.

Load Type

Indicates whether the Load is a Fee or an Incentive.

From Entity

Displays the code of the Entity from whom the load is applicable for the transaction.

To Entity

Displays the code of the Entity to whom the load is applied for the transaction.

Processing Frequency

Displays the frequency at which the loads are processed.

Amount

Displays the Load amount applicable for the transaction.

Load to Price

Indicates whether the Load Amount is loaded to price or not.

Plus or Minus

Indicates whether the load amount is added or subtracted from the price.

Free Transaction

Indicates whether the transaction is a free transaction or not.

Price After Load

Displays the Transaction Price calculated after the application of the load amount to the Base Price.

Amount After Load

Displays the Amount calculated after the application of the load amount.

Units Allotted

Displays the actual number of units allotted in the transaction.

2.3 Creations/Liquidations Report

This section contains the following topics:

2.3.1 Generating the Creations/Liquidations Report

This report is the creation or liquidations order placed with the trustee by the AMC for each fund. Reports are printed for a given processing date (allocation date) and fund.

The ‘Creation Liq Details’ screen allows you to enter search criteria for the generation of a Creation/Liquidation Trading Report. You can invoke this screen by typing ‘UTR00210’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

In this screen, you must specify the following as mandatory sorting parameters for the generation of the report:

2.3.2 Contents of the Creations/Liquidations Report

The following details are displayed:

2.4 G2-G1 Unit Conversion Post Dividend Process Report

This section contains the following topics:

2.4.1 Generating the G2-G1 Unit Conversion Post Dividend Process Report

The system segregates funds into two buckets: Group 1 and Group 2. Set of units which have undergone distribution at least once are termed as ‘Group 1’ unit whereas set of units which are yet to receive any kind of distribution are termed as ‘Group 2’ units. This report shows the units conversion from G2 to G1 units at the transaction level, post distributions. This report also displays the zero distributions of all funds.

The ‘G2 -G1 Unit Conversion Post Dividend Process’ screen allows you to enter the search criteria for the generation of a G2-G1 Unit Conversion Post Dividend report. You can invoke this screen by typing ‘UTRDG1G2’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.4.2 Contents of G2-G1 Unit Conversion Post Dividend Process Report

Header Section

Title

Displays the name of the report.

Fund ID

Displays Fund ID for which the report is being generated.

Dividend Number

Displays the Dividend Number of the selected fund.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID.

Details Section

Date

Displays the date as of which the units were converted.

UH ID

Displays the identification number of the Unit Holder.

UH Name

Displays the name of the Unit Holder.

Fund ID

Displays the fund ID for which the distribution process is complete.

Fund Name

Displays the name of the fund for which the distribution process is complete.

Dividend Number

Displays the dividend number of the fund for which the distribution process is complete.

Total G1 Units

Displays the total G1 units.

No. of Units moved to G1 bucket as part of distribution process

Displays the number of units moved to the G1 bucket for the selected dividend number.

Transaction Category of Units

Displays the transaction category of units.The following options are displayed:

2.5 Swinging Price Report

This section contains the following topics:

2.5.1 Generating the Swinging Price Report

The Swinging Price for a fund is computed based on the net of sales value. The ‘Swinging Price’ report displays the net of sales value for the allotted transaction.

You can invoke this screen by typing ‘’UTRSPREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button. You can generate a report on adhoc basis for any date which is less than the application date. The system fetches records based on the specified date and not the current application date.If a future date is selected, then the system displays an error message.

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.5.2 Contents of the Swinging Price Report

Header Section

Title

Displays the name of the report.

Report Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

Fund ID

Displays the fund ID for which the swinging price report is generated.

Fund Name

Displays the name of the fund associated with the fund ID.

Swinging Price Basis

Displays the Swinging Price Basis associated with the fund such as mid, offer, or bid.

Threshold Basis

Displays the threshold basis as amount or percentage.

Threshold Value

Displays the Threshold Value for the semi swinging price basis fund.

Fund Corpus

Displays the fund corpus which is calculated as:

BOD outstanding units * NAV allocation date

Total Inflow

Displays the total inflow used to calculate the net sales value.

Total Outflow

Displays the total outflow used to calculate the net sales value.

Net Sales

Displays the net sales value which is computed as follows:

Total Inflow - Total Outflow

Price Basis Applied

Displays the price basis applied as offer, mid, or bid.

2.6 Dilution Levy Report

This section contains the following topics:

2.6.1 Generating the Dilution Levy Report

To view all the trades that have attracted dilution levy, you can invoke the ‘Dilution Levy’ report.You can invoke this screen by typing ‘’UTRDLREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button. You can generate a report on adhoc basis for any date which is the current date or less than the application date. If a future date is selected, then the system displays an error message.

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.6.2 Contents of Dilution Levy Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

Transaction Date

Displays the transaction date.

Allocation Date

Displays the allocation date.

Fund ID

Displays the fund ID for which the report is generated.

Fund Name

Displays the name of the fund for which the report is generated.

Fund Based Currency

Displays the fund currency.

Fund Corpus

Displays the fund corpus as on the transaction date which is computed as follows:

BOD Outstanding Units * NAV as of transaction allocation date

Unit Holder ID

Displays the identification number of the unit holder.

Transaction Number

Displays the transaction number.

Transaction Type Description

Displays the transaction type.

Ref Type Description

Displays the reference type.

Param Code

Displays the Param Code as S or A. S indicates that dilution levy is applicable to specific transactions and A indicates that dilution levy is applicable for all transactions for the unit holder, fund, and transaction type combination.

Transaction Mode

Displays the transaction mode as Units or Amount.

Transaction Value

Displays the transaction value which is computed as follows:

Units/Transaction Currency + Amount

Breach Amount

Displays the breach amount in the fund based currency.

Gross Amount

Displays the gross amount.

Dilution Levy Amount

Displays the dilution levy amount which is attached to the transaction.

2.7 Creations/Liquidations History Report

This section contains the following topics:

2.7.1 Generating the Creations/Liquidations History Report

This report is the creation or liquidations order history placed with the trustee by the AMC for each fund for three working days prior to the current order date. Reports are printed for a given range of allocation dates and fund.

The ‘Creation Liq History’ screen allows you to enter search criteria for the generation of a Creation/Liquidation Trading History Report. You can invoke this screen by typing ‘UTR00211’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

In this screen, you must specify the following as mandatory sorting parameters for the generation of the report:

2.7.2 Contents of the Creations/Liquidations Report (Trading Box)

Report Heading

Report heading includes the Fund ID, Fund Name, Report From Date and Report To Date.

Status

Displays the status ‘Processed OK’ by default.

Value Date

Displays the price date of the trading record.

Processing Date

Displays the Allocation date of trading record.

Units Created

If the transaction type is of Creation, the number of units created for the day is displayed.

Units Liquidated

If the transaction type is of Liquidation, the number of units liquidated for the day is displayed.

Creation Price

Displays the unit price of trading record.

Liquidation Price

Displays the unit price of trading record.

Amount Created

Displays the trading amount.

Trading amount = Creation Price * Units created

Amount Liquidated

Displays the trading amount

Liquidation Price * Units Liquidated

Units In Issue

Displays the sum total of all units prior to the valuation date of the corresponding trading record for the fund

Client Units

Displays the sum total of all units prior to the valuation date of the corresponding trading record for the fund

Statutory Bal

Displays the balance of unit holder account with account type as “Statutory” in the reporting fund

Unit Inflows

Displays the Net settlement In for trading allocation date.

Unit Outflows

Displays the Net settlement out for trading allocation date

Nett Position

Nett Position = Unit Inflows - Unit Outflows - Trading Balance

Date Captured

Displays the date on which the record was processed.

Captured By

Displays the Maker ID of the creator of the record.

2.8 UCITS-KIID Received Override Report

This section contains the following topics:

2.8.1 Generating the UCITS-KIID Received Override Report

This report is used to check list of Unit holders where the KIID field is selected as ‘Yes’ during Transaction level and the UH level mapping is updated. This includes the system generated transactions for UT and LEP, such as, premiums annuities, recurring switches, periodic fee etc.

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.8.2 Contents of the UCITS-KIID Received Override Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

UH ID

Displays the unit holder ID.

UH Name

Displays the unit holder Name.

Product ID

Displays the Insurance linked Product ID for ILP transaction.

Policy No

Displays the policy ID of the LEP Transaction.

Fund ID

Displays the UCITS Fund ID for which the flag was over ridden at transaction level.

Fund Name

Displays the fund name.

Transaction Date

Displays the transaction date.

Transaction Type

Displays the type of transactions such as subscription, redemption, policy maintenance etc.

Policy Transaction No

Displays the transaction number for which the KIID was over ridden from No ridden from No to Yes for Policy Transactions.

UT Transaction No

Displays the transaction number for which the KIID was over ridden from No ridden from No to Yes.

Maker Date

Displays the maker date.

Maker ID

Displays the transaction maker ID.

2.9 UCITS-KIID Received SI Report

This section contains the following topics:

2.9.1 Generating UCITS-KIID Received SI Report

This report is used to check lists of Standing Instruction’s where the KIID Flag is made Yes during SI maintenance and the UH level mapping is updated.

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.9.2 Contents of the UCITS-KIID Received SI Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

UH ID

Displays the unit holder ID.

UH Name

Displays the unit holder Name.

Fund ID

Displays the UCITS Fund ID for which the flag was over ridden at SI maintenance.

Fund Name

Displays the fund name.

SI Start Date

Displays SI Start date.

SI/Plan Ref No

Displays reference number of SI.

Maker Date

Displays the maker date.

Maker ID

Displays the transaction maker ID.

2.10 Share Class Conversion Report

This section contains the following topics:

2.10.1 Generating the Share Class Conversion Report

Share Class report is a fund wise report which displays the total units (including G1/G2 split) which is under conversion on a given day.

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

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.10.2 Contents of the Share Class Conversion Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

From Fund

Displays the ‘From Fund’ ID for which the report is generated.

From Fund Name

Displays the name of the fund associated with the fund ID.

To Fund

Displays the ‘To Fund’ ID for which the report is generated.

To Fund Name

Displays the name of the fund associated with the fund ID.

Conversion Factor

Displays the conversion factor value.

Conversion Date

Displays the conversion factor date.

Unit Holder ID

Displays the unit holder ID associated with the fund.

Unit Holder Name

Displays the first name and the last name of the unit holder.

Units under Conversion

Displays the units available for conversion

G1 Units Balance

Displays the G1 units available for conversion.

G2 Units Balance

Displays the G2 units available for conversion.

Converted Units

Displays the units converted after applying the conversion factor.

Converted G1 Units

Displays the G1 Units available post conversion.

Converted G2 Units

Displays the G2 Units available post conversion.

Blocked Units

Displays the details of the blocked units.

Provisional Units

Displays the details of provisional units.

2.11 SI/IDS Conversion Transaction Report

This section contains the following topics:

2.11.1 Generating the SI/IDS Conversions Transaction Report

SI/IDS Conversion Transaction report provides details on the Standing Instructions (SI) and Income Distribution Setup for the fund (From Fund) of all unit holders which have undergone conversion during the given date range.

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

In this screen, you must specify the following as mandatory parameters for the generation of the report:

2.11.2 Contents of the SI/IDS Conversion Transaction Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

From Fund

Displays the ‘From Fund’ ID for which the report is generated.

From Fund Name

Displays the name of the fund associated with the fund ID.

Unit Holder ID

Displays the unit holder ID associated with the fund.

Unit Holder Name

Displays the first name and the last name of the unit holder.

Conversion Date

Displays the conversion transaction date.

SI Number

Displays the Standing Instruction reference number.

SI Status

Displays the status of the standing instructions.

SI Transaction Type

Displays the transaction type as Switch, Subscription, Redemption, or Transfer.

SI Start Date

Displays the From Date of the Standing Instructions.

SI End Date

Displays the To Date of the Standing Instructions.

Frequency

Displays the frequency as any one of the following values:

To Fund ID

Displays the identification number of the fund.

To Fund Name

Displays the name of the selected fund ID.

To UH ID

Displays the unit holder identification number.

IDS Rule Effective Date

Displays the effective date of the income distribution setup rule.

Status

Displays the status as Active/Inactive

Distribution Mode

Displays the distribution mode as Full Payment, Full Re-investment, or Both.

Payment Percentage

Displays the payment percentage.

Re-investment Percentage

Displays the re-investment percentage.

Payment Currency

Displays the currency in which is the payment is made.

Payment Mode

Displays the mode of payment as transfer or check.

Reinvestment UH ID

Displays the unit holder ID for reinvestment.

Reinvestment UH Name

Displays the unit holder name for reinvestment.

Reinvestment Fund ID

Displays the fund ID of reinvestment.

Split Percentage

Displays the split percentage.

2.12 Global Order Report

This section contains the following topics:

2.12.1 Generating Global Order Report

The Global Order report details the list of transactions grouped in a GO and also provides details of a specific transaction appearing under a specific GO. You can invoke this screen by typing ‘UTRGOREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button.

In this screen, you must specify any of the following as mandatory parameters for the generation of the report:

2.12.2 Contents of the Global Order Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

GO Number

Displays the GO generation number.

GO Date

Displays GO generation date.

GO Transaction Type

Displays the GO transaction type as Subscription or Redemption.

AMC ID

Displays the Asset Management ID associated with the Global Order.

Fund ID

Displays the Fund ID associated with the Global Order.

GO Mode

Displays the GO mode as amount or units.

GO Status

Displays the GO status as any one of the following:

GO Confirmed Amount

Displays the confirmed amount.

GO Confirmed Units

Displays the confirmed units.

GO Price Date

Displays the date of the global order pricing.

GO Confirmed Price

Displays the confirmed price as on price date.

Details Section

Transaction Number

Displays the subscription or Redemption transaction number.

Reference Number

Displays the reference number of the related subscription or redemption transaction.

Unit Holder ID

Displays the Unit Holder Identification number.

Transaction Type

Displays the transaction type as subscription or redemption.

Transaction Value

Displays the transaction value as amount or units.

Transaction Date

Displays the subscription or redemption transaction date.

Transaction Category

Displays the transaction category as advised, legacy, or execution

2.13 Hedge Fund Report

This section contains the following topics:

2.13.1 Generating the Hedge Fund Report

Hedge Fund Report displays the details related to a hedge fund, based on the transaction date range and Fund ID.

2.13.2 Contents of the Hedge Fund Report

The following details related to hedge funds are displayed in the report:

2.14 Series Funds Report

This section contains the following topics:

2.14.1 Generating the Series Funds Report

The Series Funds Report shows the computed net NAV values of available ‘Series Funds’ for a particular date. The optional parameters based on which the report is generated are listed below:

If Lead Fund is specified then the report will contain net NAV of the lead fund and all of its follow up series funds. If fund ID is provided, then the report will contain net NAV of the given fund only. If the Lead Fund and Fund ID are not specified, the report will contain the net NAV of all available series funds. If the Date is not specified, the report will show the net NAV details for the application date.

2.14.2 Contents of the Series Funds Report

The report contains the following details:

2.15 Back Data Propagation Enquiry Report

This section contains the following topics:

2.15.1 Generating the Back Data Propagation Enquiry Report

The Back Data Propagation Enquiry Report shows the details of the transactions for UT and LEP. You can

this report by typing ‘UTRPRQRY’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

In this screen, select the ‘Propagation Reference Number’ and click ‘OK’. The system will display the ‘UnitHolder ID’ and ‘Propagation Date’. It will also display a screen in which you specify your printing preferences.

2.15.2 Contents of the Back Data Propagation Enquiry Report

The system will accordingly generate a report which has the following details:

Refer the chapter ‘Back Data Propagation’ for a detailed list of contents for each section.