Table of Contents

1. About this Manual

  • 1.1 Introduction
  • 1.2 Related Documents
  • 1.3 Audience
  • 1.4 Organization
  • 1.5 Conventions followed in this Manual
  • 1.5.1 General Conventions
  • 1.5.2 Keyboard Conventions
  • 1.6 Glossary of Icons
  • 1.7 Abbreviations and Acronyms
  • 1.8 Getting Help

    • 2. Maintaining Customer Information

  • 2.1 Customer Maintenance Detail Screen
  • 2.1.1 Invoking Customer Maintenance Detail Screen
  • 2.1.2 Individual Dtls Tab
  • 2.1.3 Corporate Dtls Tab
  • 2.1.4 Corr.Address Dtls Tab
  • 2.1.5 Permanent/Registration Address Tab
  • 2.1.6 Client Preferences Tab
  • 2.1.7 Identification Dtls Tab
  • 2.1.8 Alternate Language Dtls Tab
  • 2.2 Customer Maintenance Summary Screen
  • 2.2.1 Retrieving CIF Profile in Customers Maintenance Summary Screen
  • 2.2.2 Editing CIF Profile before Authorization
  • 2.2.3 Viewing CIF Profile before Authorization
  • 2.2.4 Deleting CIF Profile before Authorization
  • 2.2.5 Authorizing CIF Profile for Customer
  • 2.2.6 Amending CIF Profile for Customer
  • 2.2.7 Authorizing Amended CIF Profile for Customer
  • 2.2.8 Saving CIF profile in Customers Screen
  • 2.3 CIF Address Maintenance Screen
  • 2.3.1 Invoking CIF Address Maintenance Screen
  • 2.4 CIF Address Summary Screen
  • 2.4.1 Retrieving CIF Address Record
  • 2.4.2 Editing CIF Address Record before Authorization
  • 2.4.3 Viewing CIF Address Record before Authorization
  • 2.4.4 Deleting CIF Address Record before Authorization
  • 2.4.5 Authorizing CIF Address Record for Customer
  • 2.4.6 Amending CIF Address Record for Customer
  • 2.4.7 Authorizing Amended CIF Address Record for Customer
  • 2.5 CIF Address - Fund Maintenance Details
  • 2.5.1 Invoking CIF Address - Fund Maintenance Details Screen
  • 2.6 CIF Address Fund Summary Screen
  • 2.6.1 Retrieving CIF Address – Fund Record
  • 2.6.2 Editing CIF Address – Fund Record before Authorization
  • 2.6.3 Viewing CIF Address – Fund Record before Authorization
  • 2.6.4 Deleting CIF Address – Fund Record before Authorization
  • 2.6.5 Authorizing CIF Address – Fund Record for Customer
  • 2.6.6 Amending CIF Address – Fund Record for Customer
  • 2.6.7 Authorizing Amended CIF Address – Fund Record for Customer
  • 2.7 CIF-UH Mapping Detail
  • 2.7.1 Invoking CIF-UH Mapping Detail Screen
  • 2.8 CIF-UH Mapping Summary
  • 2.8.1 Retrieving CIF-UH Mapping Record
  • 2.8.2 Editing CIF-UH Mapping Record
  • 2.8.3 Viewing CIF-UH Mapping Record
  • 2.8.4 Delete CIF-UH Mapping Record
  • 2.8.5 Authorizing CIF-UH Mapping Record
  • 2.8.6 Amending CIF-UH Mapping Record
  • 2.8.7 Authorizing an amended CIF-UH Mapping Record
  • 2.9 CIF Merge Change Hierarchy Detail
  • 2.9.1 Invoking CIF Merge Change Hierarchy Detail Screen
  • 2.10 CIF Merge Change Hierarchy Summary
  • 2.10.1 Retrieving CIF Merge Change Hierarchy Record
  • 2.10.2 Editing CIF Merge Change Hierarchy Record
  • 2.10.3 Viewing CIF Merge Change Hierarchy Record
  • 2.10.4 Delete CIF Merge Change Hierarchy Record
  • 2.10.5 Authorizing CIF Merge Change Hierarchy Record
  • 2.10.6 Amending CIF Merge Change Hierarchy Record
  • 2.10.7 Authorizing an amended CIF Merge Change Hierarchy Record
  • 2.11 Customer Find Screen Detail
  • 2.11.1 Invoking Customer Find Detail Screen
  • 2.12 Customer Log Details
  • 2.12.1 Invoking Customer Log Details Screen

    • 3. Managing Investor Accounts

  • 3.1 Customer Information
  • 3.1.1 Maintaining Customer Information
  • 3.1.2 Maintaining Investor Accounts
  • 3.1.3 Identifying Unit Holder Account in System
  • 3.1.4 Specifying Mandatory Information for New Account
  • 3.1.5 Defaulting of Information for CIF Unit Holder Accounts
  • 3.1.6 Specifying Additional Information for New Account
  • 3.1.7 Choosing Template for Automatic Replication
  • 3.1.8 Maintaining Stop Status on Unit Holder Account
  • 3.1.9 Maintaining IRS Notifications on Unit Holder Account
  • 3.1.10 Saving New Account
  • 3.2 Unit Holder Maintenance Details Screen
  • 3.2.1 Invoking Unit Holder Maintenance Details Screen
  • 3.2.2 Individual Dtls Tab
  • 3.2.3 Corporate Dtls Tab
  • 3.2.4 Contact Dtls Tab
  • 3.2.5 Client Preferences Tab
  • 3.2.6 ID Details Tab
  • 3.2.7 Bank Dtls Tab
  • 3.2.8 Intermediary Dtls Tab
  • 3.2.9 KYC Details Tab
  • 3.2.10 Document Dtls Tab
  • 3.2.11 Add Info Tab
  • 3.2.12 UH Signature Tab
  • 3.2.13 Related Parties Tab
  • 3.2.14 FATCA Audit Log Tab
  • 3.2.15 UH KIID Compliance Tab
  • 3.2.16 Delivery Dtls Button
  • 3.2.17 Beneficiary Dtls Button
  • 3.2.18 Joint Holder Dtls Button
  • 3.2.19 Nominee Dtls Button
  • 3.2.20 Member Dtls Button
  • 3.2.21 Alternate Language Dtls Button
  • 3.2.22 Director Details Tab
  • 3.2.23 Tax Compliance Button
  • 3.2.24 Multiple Tax Details Button
  • 3.3 Unit Holder Maintenance Summary Screen
  • 3.3.1 Retrieving Unitholder Account
  • 3.3.2 Editing New Accounts
  • 3.3.3 Modifying Account through Editing
  • 3.3.4 Viewing New Accounts
  • 3.3.5 Deleting New Accounts
  • 3.3.6 Authorizing New Account
  • 3.3.7 Amending Authorized Account through Information Change
  • 3.3.8 Authorizing Amended Unitholder Accounts
  • 3.4 Unit Holder Find Options
  • 3.4.1 Invoking Unit Holder Find Options Screen
  • 3.5 UH Category Parameter Screen
  • 3.5.1 Invoking UH Category Parameter Screen
  • 3.6 UH Category Parameter Summary Screen
  • 3.6.1 Retrieving UH Category Parameter
  • 3.6.2 Editing UH Category Parameter Details
  • 3.6.3 Deleting UH Category Parameter Details
  • 3.6.4 Authorizing UH Category Parameter Details
  • 3.7 Account Type Maintenance Details Screen
  • 3.7.1 Invoking Account Type Maintenance Details Screen
  • 3.8 Account Type Maintenance Summary Screen
  • 3.8.1 Retrieving Account Type in Account Type Maintenance Summary Screen
  • 3.8.2 Editing Account Type Record
  • 3.8.3 Viewing Account Type Record
  • 3.8.4 Deleting Account Type Record
  • 3.8.5 Authorizing Account Type Record
  • 3.8.6 Amending Account Type Record
  • 3.9 Financial Intelligence Centre Act (FICA)
  • 3.9.1 Maintaining Financial Intelligence Centre Act
  • 3.10 Escheatment Tracking
  • 3.10.1 Tracking Escheatment Process
  • 3.11 Export of Unit Holder Information
  • 3.11.1 Exporting Unit Holder Account Information
  • 3.12 KYC Chasing Details
  • 3.12.1 Invoking KYC Chasing Details Screen
  • 3.13 KYC Chasing Summary
  • 3.13.1 Retrieving KYC Chasing Record in KYC Chasing Summary Screen
  • 3.13.2 Editing KYC Chasing Record
  • 3.13.3 Viewing KYC Chasing Record
  • 3.13.4 Deleting KYC Chasing Record
  • 3.13.5 Authorizing KYC Chasing Record
  • 3.13.6 Amending KYC Chasing Record
  • 3.13.7 Authorizing Amended KYC Chasing Record
  • 3.14 Unit Holder Currency of Expression
  • 3.14.1 Invoking Unit Holder Currency of Expression Screen
  • 3.15 Unit Holder Currency of Expression Summary
  • 3.15.1 Retrieving Unit Holder Currency of Expression Details
  • 3.15.2 Editing Unit Holder Currency of Expression Details
  • 3.15.3 Viewing Unit Holder Currency of Expression Details
  • 3.15.4 Deleting Unit Holder Currency of Expression Details
  • 3.15.5 Authorizing Unit Holder Currency of Expression Details
  • 3.15.6 Amending Unit Holder Currency of Expression Details
  • 3.15.7 Authorizing Amended Unit Holder Currency of Expression Details

    • 4. Setting up Investor Preferences

  • 4.1 Income Distribution Setup Screen
  • 4.1.1 Maintaining Investor Distribution Setup Details
  • 4.1.2 Invoking Income Distribution Setup Screen
  • 4.1.3 Payment Details Tab
  • 4.1.4 Reinvestment Details Tab
  • 4.1.5 Routing Details Tab
  • 4.2 Income Distribution Setup Summary Screen
  • 4.2.1 Retrieving Income Distribution Setup Record
  • 4.2.2 Editing Income Distribution Setup Record
  • 4.2.3 Viewing Income Distribution Setup Record
  • 4.2.4 Deleting Income Distribution Setup Record
  • 4.2.5 Authorizing Income Distribution Setup
  • 4.2.6 Amending Income Distribution Setup
  • 4.2.7 Authorizing Amended Income Distribution Setup Details
  • 4.3 Unitholder Deal Maintenance Detail Screen
  • 4.3.1 Setting Up Deal for Investor
  • 4.3.2 Invoking Unitholder Deal Maintenance Detail Screen
  • 4.4 Unitholder Deal Summary Screen
  • 4.4.1 Retrieving Deals for Investors
  • 4.4.2 Editing Deals for Investors
  • 4.4.3 Viewing Deals for Investors
  • 4.4.4 Deleting Deals for Investors
  • 4.4.5 Authorizing Deals for Investors
  • 4.4.6 Amending Deals for Investors
  • 4.4.7 Authorizing Amended Deals for Investors
  • 4.5 LOI Adjust Proc Screen
  • 4.5.1 Defining Letters of Intent
  • 4.5.2 Non-fulfilling of Letter of Intent
  • 4.6 Setting up Letter of Intent Options for Investor
  • 4.6.1 Invoking Unit Holder LOI Setup Detail Screen
  • 4.7 Unit Holder LOI Setup Summary Screen
  • 4.7.1 Retrieving LOI Setup Options for Investor
  • 4.7.2 Editing LOI Setup Options for Investor
  • 4.7.3 Viewing LOI Setup Options for Investor
  • 4.7.4 Deleting LOI Setup Options for Investor
  • 4.7.5 Authorizing LOI Setup Options for Investor
  • 4.7.6 Amending LOI Setup Options for Investor
  • 4.7.7 Authorizing Amended LOI Setup Options for Investor
  • 4.8 LOI Adjust Proc Screen
  • 4.8.1 Invoking LOI Adjust Proc Screen
  • 4.9 UH Non Tax Limits Detail Screen
  • 4.9.1 Setting Up Non-Tax Limits for Eligible Investors
  • 4.9.2 Processing of Non-Tax Limits for Investors
  • 4.9.3 Invoking UH Non Tax Limits Detail Screen
  • 4.10 UH Non Tax Limits Summary Screen
  • 4.10.1 Retrieving Non-Tax Limits for Investor
  • 4.10.2 Editing Non-Tax Limits for Investor
  • 4.10.3 Viewing Non-Tax Limits for Investor
  • 4.10.4 Deleting Non-Tax Limits for Investor
  • 4.10.5 Authorizing Non-Tax Limits for Investor
  • 4.10.6 Amending Non-Tax Limits for Investor
  • 4.10.7 Authorizing Amended Non-Tax Limits for Investor
  • 4.11 Unit Holder IRRF Preference Detail Screen
  • 4.11.1 Setting up IRRF Preferences for a Unit Holder
  • 4.11.2 Invoking Unit Holder IRRF Preference Detail Screen
  • 4.12 Unit Holder IRRF Preference Summary Screen
  • 4.12.1 Retrieving IRRF Preferences for Investors
  • 4.12.2 Editing IRRF Preferences for Investors
  • 4.12.3 Viewing IRRF Preferences for Investors
  • 4.12.4 Deleting IRRF Preferences for Investors
  • 4.12.5 Authorizing IRRF Preferences for Investors
  • 4.12.6 Amending IRRF Preferences for Investors
  • 4.12.7 Authorizing Amended IRRF Preferences for Investors
  • 4.13 Unit Holder NPI Preference Detail Screen
  • 4.13.1 Invoking Unit Holder NPI Preference Detail Screen
  • 4.14 Unit Holder NPI Preference Summary Screen
  • 4.14.1 Retrieving NPI Payment Preferences for Investors
  • 4.14.2 Editing NPI Payment Preferences for Investors
  • 4.14.3 Viewing NPI Payment Preferences for Investors
  • 4.14.4 Deleting NPI Payment Preferences for Investors
  • 4.14.5 Authorizing NPI Payment Preferences for Investors
  • 4.14.6 Amending NPI Payment Preferences for Investors
  • 4.14.7 Authorizing Amended NPI Payment Preferences for Investors
  • 4.15 Fund UH Category Minimum Holding Period Details Screen
  • 4.15.1 Invoking Fund UH Category Minimum Holding Period Details Screen
  • 4.16 Fund UH Category Minimum Holding Period Summary Screen
  • 4.16.1 Retrieving/Viewing minimum holding period at Fund/UH
    category/transaction level
  • 4.16.2 Editing Minimum Holding period at Fund/UH
    Category/Transaction Level
  • 4.16.3 Deleting Minimum Holding Period at Fund/UH
    Category/Transaction Level
  • 4.16.4 Authorizing Minimum Holding Period at Fund/UH
    Category/Transaction Level
  • 4.16.5 Amending Minimum Holding Period at Fund/UH
    Category/Transaction Level
  • 4.17 UH Status Change Detail Screen
  • 4.17.1 Closing an Unit Holder Account
  • 4.17.2 Invoking UH Status Change Detail Screen
  • 4.18 Unit Holder Status Change Summary Screen
  • 4.18.1 Retrieving Status Change
  • 4.18.2 Editing Status Change
  • 4.18.3 Viewing Status Change
  • 4.18.4 Deleting Status Change
  • 4.18.5 Authorizing Status Change
  • 4.18.6 Amending Status Change
  • 4.18.7 Authorizing Amended Status Change
  • 4.19 Auth Rep Maintenance Detail Screen
  • 4.19.1 Invoking Auth Rep Maintenance Detail Screen
  • 4.20 Auth Rep Maintenance Summary
  • 4.20.1 Retrieving a Record in Auth Rep Maintenance Summary Screen
  • 4.20.2 Editing Auth Rep Maintenance Record
  • 4.20.3 Viewing Auth Rep Maintenance Record
  • 4.20.4 Deleting Auth Rep Maintenance Record
  • 4.20.5 Authorizing Auth Rep Maintenance Record
  • 4.20.6 Amending Auth Rep Maintenance Record
  • 4.20.7 Authorizing Auth Rep Maintenance Record
  • 4.21 NotePad of Entities Detail Screen
  • 4.21.1 Invoking NotePad of Entities Detail Screen
  • 4.22 NotePad of Entities Summary Screen
  • 4.22.1 Retrieving Entity NotePad Information
  • 4.22.2 Editing Entity NotePad Information
  • 4.22.3 Viewing Entity NotePad Information
  • 4.22.4 Deleting Entity NotePad Information
  • 4.22.5 Authorizing Entity NotePad Information
  • 4.22.6 Amending Entity NotePad Information
  • 4.22.7 Authorizing Amended Entity NotePad Information
  • 4.23 Agency Branch Account Officer Maintenance Detail
  • 4.23.1 Invoking Agency Branch Account Officer Maintenance Detail Screen
  • 4.24 Agency Branch Account Officer Maintenance Summary
  • 4.24.1 Retrieving a Record in Agency Branch Account Officer
    Maintenance Summary Screen
  • 4.24.2 Editing Agency Branch Account Officer Maintenance Record
  • 4.24.3 Viewing Agency Branch Account Officer Maintenance Record
  • 4.24.4 Deleting Agency Branch Account Officer Maintenance Record
  • 4.24.5 Authorizing Agency Branch Account Officer Maintenance Record
  • 4.24.6 Amending Agency Branch Account Officer Maintenance Record
  • 4.24.7 Authorizing Amended Agency Branch Account Officer
    Maintenance Record
  • 4.25 Account Officer IFA Maintenance Detail
  • 4.25.1 Invoking Account Officer IFA Maintenance Detail Screen
  • 4.26 Account Officer IFA Maintenance Summary
  • 4.26.1 Retrieving a Record in Account Officer IFA Maintenance Summary Screen
  • 4.26.2 Editing Account Officer IFA Maintenance Record
  • 4.26.3 Viewing Account Officer IFA Maintenance Record
  • 4.26.4 Deleting Account Officer IFA Maintenance Record
  • 4.26.5 Authorizing Account Officer IFA Maintenance Record
  • 4.26.6 Amending Account Officer IFA Maintenance Record
  • 4.26.7 Authorizing Amended Account Officer IFA Maintenance Record
  • 4.27 Agent Price Basis Detail
  • 4.27.1 Invoking Agent Price Basis Detail Screen
  • 4.28 Agent Price Basis Summary
  • 4.28.1 Retrieving a Record in Agent Price Basis Summary Screen
  • 4.28.2 Editing Agent Price Basis Record
  • 4.28.3 Viewing Agent Price Basis Record
  • 4.28.4 Deleting Agent Price Basis Record
  • 4.28.5 Authorizing Agent Price Basis Record
  • 4.28.6 Amending Agent Price Basis Record
  • 4.28.7 Authorizing Amended Agent Price Basis Record
  • 4.29 AMC Agent SLA Maintenance Summary
  • 4.29.1 Invoking AMC Agent SLA Maintenance Summary Screen
  • 4.30 Tax Credit
  • 4.30.1 Invoking Tax Credit Screen

    • 5. Managing Brokers

  • 5.1 Broker Type Detail Screen
  • 5.1.1 Creating Broker Groups
  • 5.1.2 Invoking Broker Type Details Screen
  • 5.2 Broker Type Summary Screen
  • 5.2.1 Retrieving Broker Type in Broker Type Summary Screen
  • 5.2.2 Editing Broker Types
  • 5.2.3 Viewing Broker Types
  • 5.2.4 Deleting Broker Types
  • 5.2.5 Authorizing Broker Types
  • 5.2.6 Amending Broker Types
  • 5.2.7 Authorizing Amended Broker Types
  • 5.3 Broker Maintenance Detail Screen
  • 5.3.1 Maintaining Individual Brokers
  • 5.3.2 Specifying Mandatory Information for Creating Broker Record
  • 5.3.3 Saving Broker Record
  • 5.3.4 Invoking Broker Maintenance Detail Screen
  • 5.3.5 Broker Details Tab
  • 5.3.6 Broker Contact Info Tab
  • 5.3.7 Broker Bank Details Tab
  • 5.3.8 Broker Legacy Details Tab
  • 5.3.9 Broker Preference Tab
  • 5.3.10 Related Parties Tab
  • 5.3.11 Broker Add Info Tab
  • 5.4 Broker Maintenance Summary Screen
  • 5.4.1 Retrieving Broker Records in Broker Maintenance Summary Screen
  • 5.4.2 Editing Broker Records
  • 5.4.3 Viewing Broker Records
  • 5.4.4 Deleting Broker Records
  • 5.4.5 Authorizing Broker Records
  • 5.4.6 Amending Broker Records
  • 5.4.7 Authorizing Amended Broker Records
  • 5.4.8 Amending Broker Details after Transaction Unitization
  • 5.5 Transaction Broker Amendment Screen
  • 5.5.1 Invoking Transaction Broker Amendment Screen
  • 5.6 Broker Payment Currency Preference Detail Screen
  • 5.6.1 Invoking Payment Currency Preference Screen
  • 5.7 FCIS Broker Payment Currency Preference Summary Screen
  • 5.7.1 Retrieving Broker Payment Currency Preference Summary
  • 5.7.2 Editing Broker Payment Currency Preference
  • 5.7.3 Viewing Broker Payment Currency Preference
  • 5.7.4 Deleting Broker Payment Currency Preference
  • 5.7.5 Authorizing Broker Payment Currency Preference
  • 5.7.6 Amending Broker Payment Currency Preference
  • 5.7.7 Authorizing Amended Broker Payment Currency Preference
  • 5.8 Broker Migration Screen
  • 5.8.1 Processing Broker Merger
  • 5.8.2 Invoking Broker Migration Screen
  • 5.9 Broker Migration Summary Screen
  • 5.9.1 Retrieving Broker Migration Summary
  • 5.9.2 Viewing Broker Migration
  • 5.10 Broker Journal Detail Screen
  • 5.10.1 Maintaining Accounting Journal for Broker
  • 5.10.2 Invoking Broker Journal Detail Screen
  • 5.11 Broker Journal Summary Screen
  • 5.11.1 Retrieving Journal Entry in Broker Journal Summary Screen
  • 5.11.2 Editing Journal Entry
  • 5.11.3 Viewing Journal Entry
  • 5.11.4 Deleting Journal Entry
  • 5.11.5 Authorizing Journal Entry
  • 5.12 Income Distribution Setup Screen
  • 5.12.1 Setting Up Income Distribution Options for Brokers
  • 5.12.2 Invoking Income Distribution Setup Screen
  • 5.13 Raise Broker Commission Screen
  • 5.13.1 Invoking Raise Broker Commission
  • 5.13.2 Calculating VAT Amount
  • 5.14 Commission Payment Status Change Screen
  • 5.14.1 Invoking Commission Payment Status Change Screen
  • 5.14.2 Search Results Tab
  • 5.14.3 Exchange Rate Source Tab
  • 5.14.4 Exchange Rate Maintenance Tab
  • 5.15 Broker Commission Payment Screen
  • 5.15.1 Invoking Broker Commission Payment Screen
  • 5.16 Minimum Commission Payment Amount Maintenance Screen
  • 5.16.1 Invoking Minimum Commission Payment Amount Maintenance
  • 5.17 Minimum Commission Payment Amount Maintenance Summary Screen
  • 5.17.1 Retrieving Minimum Commission Payment Amount Maintenance Summary
  • 5.17.2 Editing Minimum Commission Payment Amount
  • 5.17.3 Viewing Minimum Commission Payment Amount
  • 5.17.4 Deleting Minimum Commission Payment Amount
  • 5.17.5 Authorizing Minimum Commission Payment Amount
  • 5.17.6 Amending Minimum Commission Payment Amount
  • 5.17.7 Authorizing Amended Minimum Commission Payment Amount
  • 5.18 Entity Commission Payment Inquiry Detail
  • 5.18.1 Invoking Entity Commission Payment Inquiry Detail Screen
  • 5.18.2 Payable Tab
  • 5.18.3 Accrual Tab

    • 6. Function ID Glossary