Table of Contents
1. About This Manual 1-1
1.1 Introduction 1-1
1.2 Related Documents 1-1
1.3 Audience 1-1
1.4 Organization 1-1
1.5 Conventions Used in this Manual 1-1
1.5.1 General Conventions 1-2
1.5.2 Keyboard Conventions 1-2
1.6 Glossary of Icons 1-2
1.7 Abbreviations and Acronyms 1-2
1.8 Getting Help 1-3
2. Reports 2-1
2.1 Unit Holder Register Report 2-2
2.1.1 Generating Unit Holder Register Report 2-2
2.1.2 Contents of the Unit Holder Register Report 2-3
2.2 Transaction Load Listings 2-3
2.2.1 Generating the Transaction Load Listings 2-3
2.2.2 Contents of the Transaction Load Listings Report 2-3
2.3 Creations/Liquidations Report 2-5
2.3.1 Generating the Creations/Liquidations Report 2-5
2.3.2 Contents of the Creations/Liquidations Report 2-6
2.4 G2-G1 Unit Conversion Post Dividend Process Report 2-6
2.4.1 Generating the G2-G1 Unit Conversion Post Dividend Process Report 2-6
2.4.2 Contents of G2-G1 Unit Conversion Post Dividend Process Report 2-7
2.5 Swinging Price Report 2-8
2.5.1 Generating the Swinging Price Report 2-8
2.5.2 Contents of the Swinging Price Report 2-9
2.6 Dilution Levy Report 2-10
2.6.1 Generating the Dilution Levy Report 2-10
2.6.2 Contents of Dilution Levy Report 2-11
2.7 Creations/Liquidations History Report 2-13
2.7.1 Generating the Creations/Liquidations History Report 2-13
2.7.2 Contents of the Creations/Liquidations Report (Trading Box) 2-13
2.8 UCITS-KIID Received Override Report 2-15
2.8.1 Generating the UCITS-KIID Received Override Report 2-15
2.8.2 Contents of the UCITS-KIID Received Override Report 2-15
2.9 UCITS-KIID Received SI Report 2-16
2.9.1 Generating UCITS-KIID Received SI Report 2-17
2.9.2 Contents of the UCITS-KIID Received SI Report 2-17
2.10 Share Class Conversion Report 2-18
2.10.1 Generating the Share Class Conversion Report 2-18
2.10.2 Contents of the Share Class Conversion Report 2-19
2.11 SI/IDS Conversion Transaction Report 2-20
2.11.1 Generating the SI/IDS Conversions Transaction Report 2-20
2.11.2 Contents of the SI/IDS Conversion Transaction Report 2-21
2.12 Global Order Report 2-22
2.12.1 Generating Global Order Report 2-23
2.12.2 Contents of the Global Order Report 2-23
2.13 Hedge Fund Report 2-25
2.13.1 Generating the Hedge Fund Report 2-25
2.13.2 Contents of the Hedge Fund Report 2-25
2.14 Series Funds Report 2-25
2.14.1 Generating the Series Funds Report 2-25
2.14.2 Contents of the Series Funds Report 2-25
2.15 Back Data Propagation Enquiry Report 2-26
2.15.1 Generating the Back Data Propagation Enquiry Report 2-26
2.15.2 Contents of the Back Data Propagation Enquiry Report 2-26
3. Generating Reports 3-1
3.1 Activity Reports 3-2
3.1.1 Activity Report Details 3-2
3.1.2 Generating the Fund Activity Report 3-2
3.1.3 Generating Inactive Users Report 3-3
3.1.4 Generating the User Profile Info Report 3-4
3.1.5 Generating SMS Event Log Report 3-5
3.2 Broker Reports 3-6
3.2.1 Broker Reports Details 3-6
3.2.2 Broker Communique Report 3-6
3.2.3 Broker Details Report Description 3-8
3.2.4 Generating Reporting Structure for Brokers Report 3-10
3.2.5 Broker Commission Payment Report Description 3-11
3.3 Confirmation Reports 3-13
3.3.1 Generating Confirmation Reports 3-13
3.3.2 Details in Confirmation Reports 3-14
3.4 Other Reports 3-15
3.4.1 Other Reports Details 3-15
3.4.2 Generating the Allocation Error Report 3-15
3.4.3 Generating the Derived Load Report 3-16
3.4.4 Generating the Entity Details Report 3-17
3.4.5 Generating the Exchange Override Report 3-18
3.4.6 Generating Fund Price Report 3-19
3.4.7 Generating IDS Summary Report 3-20
3.4.8 Generating Income Advice Report 3-21
3.4.9 Generating LOI Non Fulfilment Report 3-22
3.4.10 Generating Transaction Load Override Report 3-22
3.4.11 Generating Load Override Report 3-25
3.4.12 Generating Trailing Commission Report 3-25
3.4.13 Generating Transaction Summary Report 3-26
3.4.14 Generating Transaction Summary Report 3-28
3.5 Queries 3-28
3.5.1 Queries Reports Details 3-29
3.5.2 Generating Consolidated Inquiry 3-29
3.5.3 Retrieving Unitholder/ CIF Basic Details in Client Enquiry Screen 3-29
3.5.4 Viewing Details of Investor Fund Balances 3-30
3.5.5 Viewing Other Details 3-31
3.5.6 Generating Fund Price Inquiry 3-32
3.5.7 Generating Fund Rules Inquiry 3-32
3.5.8 View Jobs Scheduled 3-33
3.6 SI Reports 3-34
3.6.1 SI Reports Details 3-34
3.6.2 Generating Standing Instructions Amendments 3-34
3.6.3 Generating Standing Instructions Escalations 3-35
3.6.4 Generating Standing Instructions Reminders 3-36
3.6.5 Generating Standing Instructions Transaction Details Report 3-36
3.7 Transaction Reports 3-37
3.7.1 Generating Transaction Reports 3-37
3.7.2 Generating Transaction Enquiry Report 3-38
3.7.3 Generating Daily IPO Transactions 3-40
3.7.4 Generating Daily Subscription Transactions 3-41
3.7.5 Generating Daily Redemption Transactions 3-41
3.7.6 Generating Daily Switch Transactions 3-42
3.7.7 Generating Daily Transfer Transactions 3-42
3.7.8 Generating Daily Block Transactions 3-42
3.7.9 Generating Daily Unblock Transactions 3-42
3.7.10 Generating Daily Split Transactions 3-42
3.7.11 Generating Daily Consolidation Transactions 3-43
3.7.12 Generating Daily Reissue Transactions 3-43
3.8 UH Info Reports 3-43
3.8.1 UH Info Reports Details 3-43
3.8.2 Generating Unit Holder Acknowledgment 3-43
3.8.3 Generating Unit Holder Dividend Details Report 3-44
3.8.4 Generating Unit Holder Zero Balance Report 3-45
3.9 Unit Holder Reports 3-46
3.9.1 Printing Account Statements 3-46
3.9.2 Generating Auto Investment Reminder Report 3-48
3.9.3 Generating Unit Holder Register Report 3-50
3.9.4 Generating Unit Holder Holdings Summary Report 3-52
3.9.5 Generating Unit Holder Withholding Tax Report 3-55
3.10 Reinvestment Report 3-57
3.10.1 Generating Reinvestment Report 3-57
3.10.2 Contents of the Reinvestment Report screen 3-57
3.11 Certificate Inquiry 3-58
3.11.1 Generating the Certificate Inquiry Report 3-58
3.11.2 Contents of the Certificate Inquiry Screen 3-58
3.12 Certificate Printing 3-59
3.12.1 Printing New Certificates 3-59
3.12.2 Printing Duplicate Certificates 3-60
3.12.3 Reprinting Certificates 3-61
3.13 Threshold Balance Report 3-61
3.13.1 Threshold Balance Report Details 3-62
3.13.2 By Amount 3-62
3.13.3 By Units 3-63
3.13.4 Fields in Threshold Balance Report screen 3-63
3.14 Transfer Register Report 3-64
3.14.1 Generating Transfer Register Report 3-64
3.14.2 Fields in Transfer Register Report screen 3-64
3.15 Tax Statements Reports 3-65
3.15.1 Employee Tax IT 3(a) Report 3-65
3.15.2 Employee Tax IRP5 Report 3-67
3.15.3 Tax Deduction Directive A&D Report 3-68
3.15.4 Tax Deduction Directive B Report 3-69
3.15.5 Tax Deduction Directive Report 3-71
3.16 Investment Simulator 3-72
3.16.1 Investment Simulator Reports 3-72
3.16.2 For Non Pension Funds 3-72
3.16.3 For Pension Funds 3-74
3.17 Multi Transaction Error Log Report 3-75
3.17.1 Generating Multi Transaction Error Log Report 3-75
3.17.2 Contents of the Multi Transaction Error Log Report 3-76
3.18 Tax Credit Report 3-77
3.18.1 Generating Tax Credit Report 3-77
4. Appendix A - Reporting for Capital Gains Tax 4-1
4.1 Capital Gains Tax 4-1
4.1.1 Processing Capital Gains Tax 4-1
4.1.2 Maintenance for Capital Gains Tax Computation 4-1
4.1.3 Computation of Capital Gains Tax 4-1
4.1.4 Weighted Average Unit Cost approach for computing Capital Gain / Loss 4-2
4.1.5 Computation of EUSD Average Cost/Capital Gain 4-6
4.1.6 Computation of Capital Gains for Redemption 4-6
4.1.7 Computation of Capital Gains for Transfers 4-7
4.1.8 Reporting in Respect of Capital Gains Calculations 4-7
5. FATCA Reports 5-1
5.1 FATCA Status Report 5-1
5.1.1 Generating the FATCA Status Report 5-1
5.1.2 Contents of the FATCA Status Report 5-2
5.2 FATCA Recalcitrant Report 5-3
5.2.1 Generating FATCA Recalcitrant Report 5-4
5.2.2 Contents of the Report 5-4
5.3 FATCA Chasing Date Report 5-5
5.3.1 Generating FATCA Chasing Date Report 5-5
5.3.2 Contents of the Report 5-6
5.4 FATCA Document Status Report 5-7
5.4.1 Generating FATCA Document Status Report 5-7
5.4.2 Contents of the Report 5-8
5.5 Authorized Representative Expiry Report 5-9
5.5.1 Generating the Authorized Representative Expiry Report 5-9
5.5.2 Contents of the Report 5-9
6. Function ID Glossary 6-1