2. Maintaining Customer Information

Oracle FLEXCUBE Investor Servicing provides the facility of maintaining information profiles for customers of your bank. The profile consists of personal as well as business information.

A customer may also wish to invest in the funds of the AMC. In such a case, you can create and maintain one or more investor accounts for the customer in the AMC FC-IS database.

This chapter deals with the maintenance of customer profiles and creation of investor accounts for your customers in the AMC FC-IS database.

This chapter contains the following sections:

2.1 Customer Maintenance Detail Screen

This section contains the following topics:

2.1.1 Invoking Customer Maintenance Detail Screen

When you authorize a CIF profile for a customer in the Customers screen, the following events take place:

This initial unit holder account may need to be altered subsequently. If it is created as an unauthorized account, you can edit it through the Unit Holder New Account Summary screen. If it is created as an authorized account, you can perform an information change through the Unit Holder Information Change menu option.

In either case, the Unit Holder record must be authorized after it is edited or changed through an info change, to take effect.

After the creation of the first unit holder account for the CIF profile, you can create as many unit holder accounts as necessary for the same CIF profile, through the UH New Account screen.

You can invoke the ‘Customer Maintenance Detail’ screen by typing ‘UTDCUST’ 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 Customer Maintenance Screen.

Customer Maintenance Section

Customer No

Display Only

The customer number that you specified for the new CIF customer, in the New Customer No screen, is displayed here.

Customer Category

Alphanumeric; 10 Characters; Mandatory

Specify the investor tax category corresponding to the CIF customer. Use the option list to make your choice.

Description

Display

The system displays the description for the selected customer category.

Customer Type

Optional

Indicate whether the customer is an individual, corporate or bank customer from the drop-down list.

Fee Category

Alphanumeric; 3 Characters; Optional

From the list provided, select the fee category to be deemed applicable for the customer whose account you are creating.

Fee Sub Category

Alphanumeric; 6 Characters; Optional

From the list provided, select the fee subcategory to be deemed applicable for the customer whose account you are creating.

Joint Account

Mandatory

Select ‘Yes’ to indicate that the customer is a joint account holder. If you select ‘Yes’, you must indicate whether the customer is a Primary or Secondary joint account holder.

Joint Holder Type

Optional

From the drop-down list, select whether Primary or Secondary joint account holder.

Note

After authorization, the Identification Details (Identification Type, Identification Number and Place of Issue) of a Joint-Secondary customer alone can be modified in the Customer Information Screen.

Protected Investor Level

Optional

Select protected investor level from the drop-down list. The list displays the following values:

With Right to Access Classified Information, you can create CIF with Classified and Unclassified protection level.

With No Right to Access Classified Information, you can create CIF only with Unclassified protection level.

Note

If the CIF is created through FCUBS-FCIS integration, the system will default ‘Protected Investor Level’ depending upon the user mapped in the maintenance. If user mapped has Right to Access Classified Information then the system will default it to Classified else it will be defaulted to Unclassified.

Protected Investor Level field can be modified till record is authorized once. Once authorized, Protected Investor Level is not amendable.

2.1.2 Individual Dtls Tab

Click ‘Individual Dtls’ tab to enter the details.

Title

Alphanumeric; 10 Characters; Optional

Select the title of the customer.

First Name

Alphanumeric; 105 Characters; Optional

Specify the first name of the customer.

Middle Name and Last Name

Alphanumeric; 105 Characters; Optional

Specify the middle and last names of the customer.

Minor

Optional

Select ‘Yes’ from drop-down list to indicate that the customer is a minor. Else select ‘No’.

Guardian Name

Alphanumeric; 105 Characters; Mandatory for minor customers

Specify the name of the guardian for the minor customer.

Marital Status

Alphanumeric; 1 Character; Optional

Specify the marital status of the customer.

Description

Display

The system displays the description for the selected marital status.

Sex

Optional

Select the sex of the customer from the drop-down list

Date of Birth

Date format; Mandatory only for minor customers

Specify the date of birth of the customer.

Country of Birth

Alphanumeric; 3 Characters; Optional

Select the country of birth from the adjoining option list.

Father/ Spouse Name

Alphanumeric; 105 Characters; Optional

Enter the name of the customer's father or spouse.

Beneficiary

Alphanumeric; 105 Characters; Optional

Specify the name of the preferred beneficiary of the individual customer.

Relationship

Alphanumeric; 20 Characters; Optional

Specify the relationship between the beneficiary and the customer.

Description

Display

The system displays the description for the selected relationship status.

2.1.3 Corporate Dtls Tab

Click Corporate Details Tab in the Customer Maintenance Detail screen:

 

This section is enabled only for 'Corporate' type of customer. The following are the fields in this section:

Corporate Details

Corporate Name

Alphanumeric; 105 Characters; Optional

Specify the name of the corporation here.

Incorporation Date

Date Format; Optional

Specify the date on which the company was incorporated.

Capital

Numeric; 22 Characters; Optional

Enter the Capital (amount) of the corporation.

Business Description

Alphanumeric; 255 Characters; Optional

Specify the business description.

National ID

Alphanumeric; 20 Characters; Optional

Specify the National ID of the customer.

Net Worth

Numeric; 22 Characters; Optional

Specify the Net Worth of the corporation.

Incorporation Country

Alphanumeric; 3 Characters; Optional

Specify the country of incorporation for the customer.

Contact Name

Alphanumeric; 105 Characters; Optional

Specify the name of the contact person for the corporation.

Base Currency

Alphanumeric; 3 Characters; Optional

Specify the base currency of operation for the customer.

Corporation Type

Alphanumeric; 3 Characters; Optional

Indicate the corporate type for the customer. The system displays the description.

Description

Display

The system displays the description for the selection corporation type.

Signature Details

Sequence Number

Alphanumeric; 3 Characters; Mandatory

Specify the order of sequence.

Director ID

Alphanumeric; 12 Characters; Optional

Specify the director identification from the adjoining option list.

Director Name

Display

The system displays the name of the corresponding director.

Designation

Alphanumeric; 100 Characters; Mandatory

Specify the designation.

Date of Birth

Date Format; Optional

Specify the date of birth.

Gender

Optional

Select the gender from the adjoining drop-down list.

ID Type

Alphanumeric; 3 Characters; Optional

Select the identification type from the adjoining option list.

Address Line 1

Alphanumeric; 255 Characters; Optional

Specify the contact address.

Address Line2

Alphanumeric; 255 Characters; Optional

Specify the contact address.

City

Alphanumeric; 105 Characters; Optional

Select the city from the adjoining option list.

State

Alphanumeric; 105 Characters; Optional

Select the state from the adjoining option list.

Country

Alphanumeric; 3 Characters; Optional

Select the country from the adjoining option list.

Zip Code

Alphanumeric; 10 Characters; Optional

Specify the zip code.

Email

Alphanumeric; 255 Characters; Optional

Specify the email ID.

Contact Person

Alphanumeric; 160 Characters; Optional

Specify the contact person.

Bank

Alphanumeric; 12 Characters; Optional

Select the bank from the adjoining option list.

Branch

Alphanumeric; 12 Characters; Optional

Select the branch from the adjoining option list.

Account Type

Alphanumeric; 1 Character; Optional

Select the account type from the adjoining option list.

Account Currency

Alphanumeric; 3 Characters; Optional

Select the currency of the account from the adjoining option list.

Account Number

Alphanumeric; 20 Characters; Optional

Specify the account number.

Account Name

Alphanumeric; 100 Characters; Optional

Specify the name in the account.

IBAN

Alphanumeric; 40 Characters; Optional

Specify the IBAN number.

Percentage Holding

Numeric; 5 Characters; Optional

Specify the percentage of holding.

FATCA Classification

Display

The system displays the FATCA classification type.

US Indicia

Display

On saving the record, the system defaults ‘US Indicia Available’ as Yes or No depending on the following values:

FATCA Status

Display

The system defaults the FATCA Status as Compliant/ Recalcitrant/ Pending Classification/ Not Applicable based on the FATCA maintenance.

2.1.4 Corr.Address Dtls Tab

Click ‘Corr.Address Dtls’ tab to enter the details.

 

Address Details Section

Address Line 1

Alphanumeric; 105 Characters; Mandatory

Enter the address details of the customer.

Address Line 2

Alphanumeric; 105 Characters; Optional

Specify the address details.

City

Alphanumeric; 105 Characters; Optional

You can select the city name. The available options depend on the values defined at the params maintenance. If the city is not available in the list, you can specify the city in the field provided alongside.

Country

Alphanumeric; 3 Characters; Mandatory

Specify the country code.

Description

Display

The system displays the description of the selected country code.

Int. Dialing Code +

Alphanumeric; 10 Characters; Optional

Specify the international dialling code for telephone.

Telephone

Numeric; 60 Characters; Optional

Enter the telephone number of the customer.

Int. Dialing Code +

Alphanumeric; 10 Characters; Optional

Specify the international dialling code for faxing.

Fax Number

Numeric; 60 Characters; Optional

Enter the fax number of the customer.

E-Mail

Alphanumeric; 255 Characters; Optional

Enter the E-mail ID of the customer.

2.1.5 Permanent/Registration Address Tab

Click ‘Permanent/Registration Address’ tab to enter the details.

 

Permanent/Registration Address

Address Line 1 and 2

Alphanumeric; 105 Characters; Mandatory

Enter the address details of the customer. You can select the city from the drop down list provided. The available options depend on the values defined at the params maintenance. If the city is not available in the list, you can specify the city in the field provided alongside.

City

Alphanumeric; 105 Characters; Optional

Specify the city details of the customer.

Country

Alphanumeric; 3 Characters; Mandatory

Specify the country details of the customer.

Description

Display

The system displays the description for the selected country code.

2.1.6 Client Preferences Tab

Click ‘Client Preferences’ tab to enter the details.

 

Client Preferences

Account Currency

Alphanumeric; 3 Characters; Mandatory

From the option list, select the default account currency for the CIF customer.

Resident Status

Optional

Specify whether the customer is a resident or a foreigner from the drop-down list.

Allow ROA at CIF Level

Mandatory

Select if Rights of Accumulation must be made applicable to all unit holders that will have an account under this CIF customer record.

Language

Alphanumeric; 12 Characters; Mandatory

Specify the preferred language of the customer.

Description

Display

The system displays the description for the selected language code.

Nationality

Alphanumeric; 3 Characters; Mandatory

From the option list, select the nationality of the customer.

Description

Display

The system displays the description for the selected nationality code.

Dual Nationality

Alphanumeric; 3 Characters; Optional

Select the dual nationality from the adjoining option list.

Description

Display

The system displays the description for the selected dual nationality code.

Default Broker

Alphanumeric; 9 Characters; Optional

From the option list, select the default broker for the CIF customer.

Broker Name

Display

The system displays the broker name for the selected default broker.

Country of Domicile

Alphanumeric; 3 Characters; Optional

Select the country of domicile of the customer.

Description

Display

The system displays the description for the selected country of domicile.

Substantial Stay in US

Optional

Indicate your substantial stay in US from the adjoining drop-down list. the options available are:

2.1.7 Identification Dtls Tab

Click ‘Identification Dtls’ tab to enter the details.

 

Identification Type

Alphanumeric; 15 Characters; Mandatory

From the list, select the type of identification that is being provided by the customer. The identification type is the mode in which the unit holder will furnish an identification document or proof, and could be a Personnel ID, License, Birth Certificate, etc. This is used for identifying the unit holder during all subsequent transactions.

Description

Display

The system displays the description for the selected identification type.

Identification Number

Alphanumeric; 50 Characters; Mandatory

Specify the number or ID of the identification document or proof that is furnished by the unit holder.

Date of Issue

Date Format; Optional

Specify the date of issue of the identification document or proof that is furnished by the unit holder.

The date of issue that you specify here must not be later than the date of opening the account.

Date of Expiry

Date Format; Optional

Specify the date of expiry of the identification document or proof. It must be later than the date of issue and the application date.

Place of Issue

Alphanumeric; 3 Characters; Mandatory

From the option list, select the place of issue of the identification type. Once authorized, this field cannot be modified.

Description

Display

The system displays the description for the selected place of issue.

US Indicia Available

Display

The system defaults US Indicia Available as Yes or No depending on the following:

FATCA Status

Display

The system displays the FATCA Status based on the FATCA maintenance.

FATCA Classification

Display

The system displays the FATCA classification type.

Tax Deducted at Source

Mandatory

Select ‘Yes’ if tax has to be deducted at source for the customer.

If you select ‘Yes’, you can specify the following information:

Tax ID

Alphanumeric; 50 Characters; Optional

Specify the tax identification number or tax ID for the customer.

Employer ID Number (EIN)

Alphanumeric; 50 Characters; Optional

Specify the employer identification number.

Tax Circle

Alphanumeric; 15 Characters; Optional

Specify the tax circle to which the unit holder belongs.

Tax Category

Alphanumeric; 10 Characters; Optional

Select the tax category under which the customer will be placed in the system.

Description

Display

The system displays the description for the selected tax category.

Tax Certificate Effective Date

Date Format; Optional

Specify the date from which the tax certificate is effective.

Tax Certificate Expiry Date

Date Format; Optional

Specify the expiry date of the tax certificate.

Portfolio Manager ID

Alphanumeric; 16 Characters; Optional

Specify the portfolio manager’s ID here.

2.1.8 Alternate Language Dtls Tab

Click ‘Alternate Language Dtls’ tab to enter the details:

 

Individual Details

First Name

Alphanumeric; 105 Characters; Optional

Specify the first name of the customer in the desired alternate language if the customer is an individual. If the customer is a corporate, then specify the corporate name.

Middle Name

Alphanumeric; 105 Characters; Optional

Specify the middle name of the customer if the customer is an individual in the desired alternate language.

Last Name

Alphanumeric; 105 Characters; Optional

Specify the last name of the customer if the customer is an individual in the desired alternate language.

Correspondence Address

Address Line 1 & 2

Alphanumeric; 105 Characters; Optional

Enter the correspondence address details of the customer in the alternate language.

City

Alphanumeric; 105 Characters; Optional

Specify the city details.

Registration Address

Address Line 1 & 2

Alphanumeric; 105 Characters; Optional

Enter the permanent address details of the customer if the customer is an individual. In case of corporate customer, enter the registration address details in the alternate language.

City

Alphanumeric; 105 Characters; Optional

Specify the city details.

2.2 Customer Maintenance Summary Screen

This section contains the following topics:

2.2.1 Retrieving CIF Profile in Customers Maintenance Summary Screen

You can retrieve a previously entered record in the Customer Maintenance Summary screen, as follows:

Click ‘Search’ button to view the records. All 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 Customer Maintenance detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

Example

You can search the record for Identification Number by using the combination of % and alphanumeric value as follows:

 

2.2.2 Editing CIF Profile before Authorization

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

2.2.3 Viewing CIF Profile before Authorization

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

2.2.4 Deleting CIF Profile before Authorization

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

2.2.5 Authorizing CIF Profile for Customer

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

In the Field Details in the lower grid portion, the changed values for each modification are displayed.

You can authorize any of the modified records, or all of them.

When you have marked the required modifications for authorization, click the OK button to effect the authorization. The Maintenance Authorization Details screen is closed, and you are returned to the Customers main screen.

2.2.6 Amending CIF Profile for Customer

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

2.2.7 Authorizing Amended CIF Profile for Customer

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

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

The Customers screen consists of the following parts:

The Result section

A list of customer records retrieved by the most recent search operation is displayed in this section. To view the details of any record in this list, double click on the record, where a new screen will be opened with the details of the record.

The Button Row

The row of buttons on the right side of the screen is as follows:

The Advanced section

This section is a row in the middle of the screen, with the ‘Advanced Search’ button at the right -hand side of the screen. Click ‘Advanced Search’ button for advanced level of query where records can be retrieved based on specific fields.

The Reset section

This section is a row in the middle of the screen, with the Reset button at the right -hand side of the screen. Click ‘Reset’ button, so that the entire search criteria will be cleared for a new level of search

The Query section

This section is a row in the middle of the screen, with the Query button at the right -hand side of the screen. Click ‘Search’ button to retrieve a record for viewing, use this section.

The Refresh section

This section is a row in the middle of the screen, with the Refresh button at the right -hand side of the screen. Click ‘Advanced Search’ button, so that the search criteria will be refreshed based on existing criteria.

The view section

Any record that you select for viewing is displayed in the lowest portion of the screen, below the button row.

2.2.8 Saving CIF profile in Customers Screen

To set up a CIF customer and enable the creation of a mutual fund investor account in the Customers screen,

2.3 CIF Address Maintenance Screen

This section contains the following topic:

2.3.1 Invoking CIF Address Maintenance Screen

You can maintain as many addresses as required for a given CIF; you are also allowed to specify the media for the address. This can be done through the ‘CIF Address Detail’ screen. You can invoke this screen by typing ‘UTDCADD’ 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 CIF Address screen.

CIF Address Maintenance

CIF Number

Alphanumeric; 12 Characters; Mandatory

Specify the CIF number of the unit holder.

Customer Name

Display

The system displays the name of the customer for the selected CIF number.

Media

Alphanumeric; 15 Characters; Mandatory

Indicate the medium of communication you wish to avail, from the drop-down list. You could choose the Mail media. The List of values in drop down are parameterized in System Parameters under 'CIFMEDIA'.

Location

Alphanumeric; 15 Characters; Mandatory

Specify the location for correspondence with the unit holder.

Address Line 1-2

Alphanumeric; 105 Characters; Mandatory

Specify the postal address that is to be used for correspondence with the unit holder.

City

Alphanumeric; 105 Characters; Optional

Specify the name of the city of residence of the unit holder.

State

Alphanumeric; 105 Characters; Optional

Specify the state in which the city of residence of the unit holder is located.

Zip Code

Alphanumeric; 10 Characters; Optional

Specify the zip code of the specified city of residence of the unit holder.

Country

Alphanumeric; 3 Characters; Optional

Select the country in which the investor is domiciled, from the drop-down list.

Country Name

Display

The system displays the name of the country for the selected country code.

Contact Person

Alphanumeric; 160 Characters; Optional

Specify the name of the contact person at the unit holder’s residence.

Telephone Number 1-2

Alphanumeric; 60 Characters; Optional

Enter the contact telephone numbers of the unit holder.

Cell Phone Number

Alphanumeric; 105 Characters; Optional

Specify the cell phone number of the unit holder.

2.4 CIF Address Summary Screen

This section contains the following topics:

2.4.1 Retrieving CIF Address Record

You can retrieve a previously entered record in the CIF Address Summary screen, as follows:

Invoke the CIF Address Summary screen by typing ‘UTSCADD’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button. Specify any or all of the following details in the corresponding fields:

Click ‘Advanced Search’ button for advanced level of query where records can be retrieved based on specific fields. Click ‘Reset’ button, so that the entire search criteria will be cleared for a new level of search. Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen. Click ‘Refresh’ button, so that the search criteria will be refreshed based on existing criteria.

Note

You can also retrieve the individual record detail from the CIF Address detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list. To edit and amend a record a user has to click unlock button under Action menu.

You can also search the record by using combination of % and alphanumeric value.

Example

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

 

2.4.2 Editing CIF Address Record before Authorization

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

2.4.3 Viewing CIF Address Record before Authorization

To view a record that you have previously entered, you must retrieve the same in the CIF Address Summary screen, as follows:

2.4.4 Deleting CIF Address Record before Authorization

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

2.4.5 Authorizing CIF Address Record for Customer

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

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

2.4.6 Amending CIF Address Record for Customer

After a CIF Address is authorized, it can be modified using the Unlock operation from Action list. To make changes to a transaction after authorization:

2.4.7 Authorizing Amended CIF Address Record for Customer

An amended CIF Address record must be authorized for the amendment to be made effective in the system. The authorization of amended records can only be done from Fund Manager Module and Agency branch Module.

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

2.5 CIF Address - Fund Maintenance Details

This section contains the following topic:

2.5.1 Invoking CIF Address - Fund Maintenance Details Screen

You can map the list of funds in which the unit holder has invested to the addresses that have been maintained for a given CIF. Provided the unit holder specifies the valid combination of the CIF Number, Media and Location as already maintained in the CIF Address Maintenance screen, you will allowed to select all or a list of funds for which this combination would be applicable. You can invoke the ‘CIF Address – Fund Maintenance Detail’ screen by typing ‘UTDCFNMP’ 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 CIF Address – Fund screen.

CIF Address - Details

CIF Number

Alphanumeric; 12 Characters; Mandatory

Select the CIF number of the unit holder for the adjoining list.

All enabled addresses of customer will be listed along with location and Media and maintained from FCC.

Media

Alphanumeric; 15 Characters; Mandatory

Specify the media of communication as maintained in the CIF Address Maintenance screen. Alternatively, you can also select media of communication from the option list.

Location

Display

The system displays the location for correspondence with the unit holder as maintained in the CIF Address Maintenance screen.

Customer Name

Display

The system displays the name of the customer for the selected CIF number.

Address1-2

Display

The system displays the postal address that is to be used for correspondence with the unit holder.

City

Display

The system displays the name of the city of residence of the unit holder.

State

Display

The system displays the state in which the city of residence of the unit holder is located.

Zip Code

Display

The system displays the zip code of the specified city of residence of the unit holder.

Country

Display

The system displays the country in which the investor is domiciled, from the drop-down list.

Contact Person

Display

The system displays the name of the contact person at the unit holder’s residence.

Cell Phone Number

Display

The system displays the cell phone number of the unit holder.

TelephoneNumber1-2

Display

The system displays the contact telephone numbers of the unit holder.

CIF Address – Fund Mapping

You can select the Fund IDs for which you wish the specified address details to be applicable. Once you select the fund ID, the system displays the fund name and the fund identification number.

Fund ID

Alphanumeric; 6 Characters; Mandatory

Specify the fund ID.

Fund Name

Display

The system displays the name of the fund for the selected fund ID.

Fund Identification Number

Display

The system displays the fund identification number.

2.6 CIF Address Fund Summary Screen

This section contains the following topics:

2.6.1 Retrieving CIF Address – Fund Record

You can retrieve a previously entered record in the CIF Address – Fund Summary screen, as follows:

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

Note

You can also retrieve the individual transaction detail from the CIF Address detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

Example

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

 

2.6.2 Editing CIF Address – Fund Record before Authorization

You can modify the details of CIF Address – Fund parameters that you have already entered into the system, provided it has not been subsequently authorized. You can perform this operation as follows:

2.6.3 Viewing CIF Address – Fund Record before Authorization

To view a record that you have previously entered, you must retrieve the same in the CIF Address – Fund Summary screen, as follows:

2.6.4 Deleting CIF Address – Fund Record before Authorization

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

2.6.5 Authorizing CIF Address – Fund Record for Customer

An unauthorized CIF Address – Fund record must be authorized in the system for it to be processed. To authorize a record:

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

2.6.6 Amending CIF Address – Fund Record for Customer

After a CIF Address – Fund is authorized, it can be modified using the Unlock operation from Action list. To make changes to a record after authorization:

2.6.7 Authorizing Amended CIF Address – Fund Record for Customer

An amended CIF Address – Fund record must be authorized for the amendment to be made effective in the system. The authorization of amended records can only be done from Fund Manager Module and Agency branch Module.

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

2.7 CIF-UH Mapping Detail

This section contains the following topics:

2.7.1 Invoking CIF-UH Mapping Detail Screen

You can map customer unit holder using ‘CIF-UH Mapping Detail’ screen. You can invoke this screen by typing ‘UTDCIFUH’ 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 details:

Customer Unit Holder Mapping

Reference Number

Display

The system displays the reference number.

Unit Holder Details

Unit Holder ID

Alphanumeric; 12 Characters; Mandatory

Specify the unit holder ID.

Unit Holder Name

Display

The system displays the name of the specified unit holder ID.

CIF Number

Display

The system displays the CIF number based on the unit holder selected.

You can also search for unit holder by clicking ‘UH Find’ button.

Re-Mapping Details

New CIF Number

Alphanumeric; 12 Characters; Mandatory

Specify the new CIF number that needs to be re-mapped.

Customer Name

Display

The system displays the name of the customer for the selected new CIF number.

You can also search for CIF number by clicking ‘Find CIF’ button.

Note

The system will validate to restrict the UH mapping to new CIF will happen only when the UH Protection level and CIF protection level are same.

2.8 CIF-UH Mapping Summary

This section contains the following topics:

2.8.1 Retrieving CIF-UH Mapping Record

You can invoke the ‘CIF-UH Mapping Summary’ screen by typing ‘UTSCIFUH’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

To retrieve a previously entered third party entity record:

You can also retrieve an CIF-UH Mapping detail from the Detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

2.8.2 Editing CIF-UH Mapping Record

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

  1. Invoke the CIF-UH Mapping Summary screen from the Browser.
  2. Select the authorization status of the records that you want to retrieve for modification in the Authorized field. You can only modify records that are unauthorized. Accordingly, choose the Unauthorized option from the drop-down list.
  3. Specify any or all of the search parameters for retrieving the records.
  4. Click 'Search'. All unauthorized CIF-UH mapping records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to modify. The CIF-UH Mapping Detail screen is displayed.
  6. Select Unlock Operation from Action list to modify the record. Modify the necessary information.
  7. Click Save to save the changes. The CIF-UH Mapping Detail screen is closed and the changes made are reflected in the CIF-UH Mapping Summary screen.

2.8.3 Viewing CIF-UH Mapping Record

To view the CIF-UH mapping details that you have previously entered:

  1. Invoke the CIF-UH Mapping Summary Screen from the Browser.
  2. Select the authorization status of the CIF-UH mapping records that you want to retrieve for viewing in the Authorized field. You can also view all the CIF-UH mapping records that are either unauthorized or authorized only, by choosing the Unauthorized / Authorized option.
  3. Specify any or all of the search parameters  for retrieving the records.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to view. The CIF-UH Mapping screen Detail is displayed in view mode.

2.8.4 Delete CIF-UH Mapping Record

You can delete only unauthorized records in the system. To delete CIF-UH mapping record:

  1. Invoke the CIF-UH Mapping Summary screen from the Browser.
  2. Select the status of the record that you want to retrieve for deletion.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record  that you want to delete. The CIF-UH Mapping Detail screen is displayed.
  6. Select Delete operation from the Action list. The system prompts you to confirm the deletion, and the record is deleted physically from the system database.

2.8.5 Authorizing CIF-UH Mapping Record

An unauthorized CIF-UH mapping record must be authorized in the system for it to come into effect. To authorize CIF-UH mapping record:

  1. Invoke the CIF-UH Mapping Summary screen from the Browser.
  2. Select the status of CIF-UH mapping record that you want to retrieve for authorization. Typically, choose the unauthorized option from the drop-down list.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you wish to authorize. The CIF-UH Mapping screen displayed. Select Authorize operation from Action.

When the checker authorizes CIF-UH mapping details, details of validations, if any, that were overridden by the maker of the CIF-UH mapping details during the Save operation, are displayed.  If any of these overrides results in an error, the checker must reject the maintenance.

2.8.6 Amending CIF-UH Mapping Record

After CIF-UH mapping entity record is authorized, it can be modified using the Unlock operation from Action list. To make changes to CIF-UH mapping record after authorization, you must invoke the Unlock operation which is termed as Amend Operation.

  1. Invoke the CIF-UH Mapping Summary screen from the Browser.
  2. Select the status of the record that you wish to retrieve for amendment. You can only amend records that are authorized.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to amend. The CIF-UH Mapping Detail screen is displayed in Amendment mode.
  6. Click the Unlock operation from the Action list to amend the record.
  7. Amend the necessary information. Click the Save button to save the changes

2.8.7 Authorizing an amended CIF-UH Mapping Record

An amended CIF-UH mapping record must be authorized for the amendment to be made effective in the system. The process of authorization is the same as the process of normal authorization.

2.9 CIF Merge Change Hierarchy Detail

This section contains the following topics:

2.9.1 Invoking CIF Merge Change Hierarchy Detail Screen

You can maintain CIF Merge or hierarchy change details using ‘CIF Merge Change Hierarchy Detail’ screen. You can invoke this screen by typing ‘UTDCMHCH’ 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 details:

CIF Merge Change Hierarchy

Operation Type

Mandatory

Select the type of operation from the drop-down list. The list displays the following values:

Serial Number

Display

The system displays the serial number by clicking the ‘Populate’ button.

From CIF Number

Alphanumeric; 12 Characters; Mandatory

Specify the From CIF number.

To CIF ID

Alphanumeric; 12 Characters; Mandatory

Specify the To CIF number.

You can also search for ‘From CIF Number’ and ‘To CIF ID’ by clicking ‘Find’ button.

Note

In case of CIF merger, From CIF and To CIF should be of the same protection level.

Level of Hierarchy Change

Optional

Select the level of hierarchy change from the drop-down list. The list displays the following values:

Close Account Post Merge

Optional

Select if the account has to be closed post merge operation or not from the drop-down list. The list displays the following values:

Merge Change/Hierarchy Status

Optional

Select the merge change or hierarchy status from the drop-down list. The list displays the following values:

After specifying all the necessary details, click ‘Populate’ button. The system displays the following values:

To UnitHolder ID

Alphanumeric; 16 Characters; Optional

Specify the To unit holder ID. You can also select To Unit Holder ID by selecting ‘Find UH’ button.

Merger or Not

Optional

Check this box if the details has to be merged.

To Agent Code

Alphanumeric; 12 Characters; Optional

Specify the To agent code.

To Branch Code

Alphanumeric; 12 Characters; Optional

Specify the To branch code.

To Account Officer

Alphanumeric; 12 Characters; Optional

Specify the To account officer details.

To IFA

Alphanumeric; 12 Characters; Optional

Specify the To IFA details.

2.10 CIF Merge Change Hierarchy Summary

This section contains the following topics:

2.10.1 Retrieving CIF Merge Change Hierarchy Record

You can invoke the ‘CIF Merge Change Hierarchy Summary’ screen by typing ‘UTSCMHCH’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

To retrieve a previously entered third party entity record:

You can also retrieve an individual CIF Merge Change Hierarchy detail from the Detail screen by doing query in the following manner:

You can perform Edit, Delete, Amend, Authorize, operation by selecting from the Action list.

You can also search the record by using combination of % and alphanumeric value.

2.10.2 Editing CIF Merge Change Hierarchy Record

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

  1. Invoke the CIF Merge Change Hierarchy Summary screen from the Browser.
  2. Select the authorization status of the records that you want to retrieve for modification in the Authorized field. You can only modify records that are unauthorized. Accordingly, choose the Unauthorized option from the drop-down list.
  3. Specify any or all of the search parameters for retrieving the records.
  4. Click 'Search'. All unauthorized CIF Merge Change Hierarchy records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to modify. The CIF Merge Change Hierarchy Detail screen is displayed.
  6. Select Unlock Operation from Action list to modify the record. Modify the necessary information.
  7. Click Save to save the changes. The CIF Merge Change Hierarchy Detail screen is closed and the changes made are reflected in the CIF Merge Change Hierarchy Summary screen.

2.10.3 Viewing CIF Merge Change Hierarchy Record

To view the CIF Merge Change Hierarchy details that you have previously entered:

  1. Invoke the CIF Merge Change Hierarchy Summary Screen from the Browser.
  2. Select the authorization status of the CIF Merge Change Hierarchy records that you want to retrieve for viewing in the Authorized field. You can also view all the CIF Merge Change Hierarchy records that are either unauthorized or authorized only, by choosing the Unauthorized / Authorized option.
  3. Specify any or all of the search parameters  for retrieving the records.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to view. The CIF Merge Change Hierarchy Detail is displayed in view mode.

2.10.4 Delete CIF Merge Change Hierarchy Record

You can delete only unauthorized records in the system. To delete CIF Merge Change Hierarchy record:

  1. Invoke the CIF Merge Change Hierarchy Summary screen from the Browser.
  2. Select the status of the record that you want to retrieve for deletion.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record  that you want to delete. The CIF Merge Change Hierarchy Detail screen is displayed.
  6. Select Delete operation from the Action list. The system prompts you to confirm the deletion, and the record is deleted physically from the system database.

2.10.5 Authorizing CIF Merge Change Hierarchy Record

An unauthorized CIF Merge Change Hierarchy record must be authorized in the system for it to come into effect. To authorize CIF Merge Change Hierarchy record:

  1. Invoke the CIF Merge Change Hierarchy Summary screen from the Browser.
  2. Select the status of CIF Merge Change Hierarchy record that you want to retrieve for authorization. Typically, choose the unauthorized option from the drop-down list.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details that are pending authorization are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you wish to authorize. The CIF Merge Change Hierarchy screen displayed. Select Authorize operation from Action.

When the checker authorizes CIF Merge Change Hierarchy details, details of validations, if any, that were overridden by the maker of the CIF Merge Change Hierarchy details during the Save operation, are displayed.  If any of these overrides results in an error, the checker must reject the maintenance.

2.10.6 Amending CIF Merge Change Hierarchy Record

After CIF Merge Change Hierarchy is authorized, it can be modified using the Unlock operation from Action list. To make changes to CIF Merge Change Hierarchy record after authorization, you must invoke the Unlock operation which is termed as Amend Operation.

  1. Invoke the CIF Merge Change Hierarchy Summary screen from the Browser.
  2. Select the status of the record that you wish to retrieve for amendment. You can only amend records that are authorized.
  3. Specify any or all of the search parameters in the corresponding fields on the screen.
  4. Click 'Search'. All records with the specified details are retrieved and displayed in the lower portion of the screen.
  5. Double click the record that you want to amend. The CIF Merge Change Hierarchy Detail screen is displayed in Amendment mode.
  6. Click the Unlock operation from the Action list to amend the record.
  7. Amend the necessary information. Click the Save button to save the changes

2.10.7 Authorizing an amended CIF Merge Change Hierarchy Record

An amended CIF Merge Change Hierarchy record must be authorized for the amendment to be made effective in the system. The process of authorization is the same as the process of normal authorization.

Note

In case of batch screen or batch activity, there will be no restriction on fetching protected UH/CIF.

Screen or Process where there will be no restriction applicable are as follows:

Batch Activity

Function ID

EOD activity

UTDEODEX

Mini EOD activity

UTDEODMI

Pre EOD check

UTDPREOD

Branch Sign Off/On

UTDBSNOF

Process Dividend Payment

UTDDIPMT

Process Dividend Reinvestments

UTDPRRIN

Mock Dividend

UTDMOCKD

Mock Dividend Execute

UTDMCKDV

Mass Amendment

UTDMASAM

Selected UH Dividend Reversal

UTDSELUH

Dividend Reversal/Mass Reprocess

UTDMASRE

2.11 Customer Find Screen Detail

This section contains the following topics:

2.11.1 Invoking Customer Find Detail Screen

You can query for customer details using ‘Customer Find Screen Detail’ screen. You can invoke this screen by typing ‘UTCCIFND’ 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 details:

Quick Find Options

Investor Type

Optional

Select the type of investor from the drop-down list. The list displays the following values:

First Name

Alphanumeric; 105 Characters; Optional

Specify the first name of the customer.

Last Name

Alphanumeric; 105 Characters; Optional

Specify the last name of the customer.

Middle Name

Alphanumeric; 105 Characters; Optional

Specify the middle name of the customer.

Company Name

Alphanumeric; 105 Characters; Optional

Specify the Company name.

CIF Number

Alphanumeric; 9 Characters; Optional

Specify the CIF number of the customer.

Tax ID

Alphanumeric; 50 Characters; Optional

Specify the Tax ID number.

Identification Number

Alphanumeric; 50 Characters; Optional

Specify the identification number.

Country Of Domicile

Alphanumeric; 3 Characters; Optional

Specify the country of domicile of the customer.

Date Of Birth

Date Format; Optional

Select the date of birth of the customer from the adjoining calendar.

Incorporation Date

Date Format; Optional

Select the date of incorporation from the adjoining calendar.

National ID

Alphanumeric; 3 Characters; Optional

Specify the National ID of the customer.

Advanced Find Options

Address Line 1

Alphanumeric; 35 Characters; Optional

Specify the Address Line 1 of the customer.

Country

Alphanumeric; 3 Characters; Optional

Specify the country name of the customer.

Nationality

Alphanumeric; 3 Characters; Optional

Specify the nationality of the customer.

Employer Identification Number

Alphanumeric; 50 Characters; Optional

Specify the Employer Identification Number of the customer.

Find Results

The system displays the following values

2.12 Customer Log Details

This section contains the following topics:

2.12.1 Invoking Customer Log Details Screen

You can view the status of the CIF moving from FCUBS to FCIS when integration is enabled. You can invoke ‘Customer Log Details’ screen by typing ‘UTDCIFLG’ 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 details:

Customer No

Alphanumeric; 11 Characters; Mandatory

Specify the customer number. Alternatively, you can select customer number from the option list. The list displays all valid customer number maintained in the system.

After specifying the customer number, click ‘Search’ button. The system displays the following values:

Error Code

Display

The system displays the error code for the customer number if any error occurs while customer is moving from UBS to IS.

Error Description

Display

The system displays the description of the error code.