5. Interfaces with External Systems

Oracle FLEXCUBE Investor Servicing (FCIS) provides a facility to effect data exchanges and transfers with external systems. You can import exchange rates or NAV from an external system, or export transaction and dividend information to any external accounting system. The external system may be a file system or an application.

The data exchange can be effected through an interface with the external system. This interface consists of the following components:

You can process an interface in one of the following ways:

You can access the interface processing screens from the following menu categories in the Fund Manager component:

This chapter contains the following sections:

5.1 Setting up and Maintaining Interfaces

This section contains the following topics:

5.1.1 Invoking FCIS Interface Maintenance Detail Screen

To set up an interface definition, use the ‘FCIS Interface Maintenance Detail’ screen. You can invoke this screen by typing ‘UTDIFAC’ 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 interface that you wish to maintain.

 

In this screen, you can:

Interface definitions for exporting the following information will be factory shipped:

5.1.2 Fields in Interface Maintenance Screen

Interface ID

Display

Every interface that you define is assigned a unique identification by the system, known as the Interface ID. This ID is generated by the system when you save a new definition, after you have specified all the information that is mandatory for the interface, in this screen.

When you retrieve an existing interface definition using the Find Screen, the ID of the retrieved interface is displayed in this field.

Description

Alphanumeric; 255 Characters; Optional

Describe the interface in a few words, in this field.

Import/ Export Type

Mandatory

You can define an interface to either import or export data. Choose the desired type from the drop down list.

Import/ Export Basis

Mandatory

You can export data from any of the following database object types:

You can import data into any of the following database object types:

You can choose the required option from the drop-down list, according to the type of interface.

Interface Code

Alphanumeric; 3 Characters; Mandatory

The interface code identifies the two components or applications that are on either end of any interface definition. Any interface has a sending system that exports data and a receiving system that receives the exported data as an import.

Specify the interface code that identifies the sending and receiving systems for the interface, using the options in the drop-down list. The interface code is captured for information purposes only.

The following table displays the different codes and the sending and receiving systems identified for each:

Interface Code

Sending System

Receiving System

I2F

FLEXCUBE-Investor Services

Operating System

C2I

FLEXCUBE-Securities

FLEXCUBE-Investor Services

I2C

FLEXCUBE-Investor Services

FLEXCUBE-Securities

F2I

Operating System

FLEXCUBE-Investor Services

I2I

FLEXCUBE -Investor Services

FLEXCUBE-Investor Services

Number of Files (Import-Export)

Numeric, 2 Characters; Mandatory

Specify the number of files that must be imported or exported. For procedure based or table based interfaces, if the number of files is greater than zero, then the names of all the tables that will be impacted by the procedure or SQL string are displayed in the File Specifications Tab grid, in the lower portion of the screen.

Split Column

Alphanumeric; 50 Characters; Optional

This captures details of multiple files that are created for unique set of information and can uniquely identify the files. This option is available only if the Segmentation box is unchecked.

Subroutine Name

Alphanumeric; 50 Characters; Optional

Specify the name of the back-end procedure to be called by the system during interface execution. It is applicable only if import / export basis is procedure.

Enabled?

Mandatory

Select ‘Yes’ to enable the interface from the drop-down list. An interface that is not enabled cannot be processed, and all jobs and tasks that are associated with the interface are not executed.

By default, when you define a new interface and save the definition in this screen, the interface is created as an enabled interface.

When you are editing the record of an interface in this screen, the only editing that is possible is enabling or disabling it, by checking or un-checking this box. All other fields in the screen are locked in Edit Mode.

Process per File?

Optional

Select the option to indicate whether the bulk upload file needs to be processed in a sequential manner. You can select either ‘Yes’ or ‘No’.

Auto Number?

Optional

Select the option to indicate whether the system should automatically generate sequence number for bulk import. The sequence number is automatically generated if you select ‘YES’.

Export Data First?

Optional

Select the option to indicate whether the data needs to be exported first. You can select either ‘Yes’ or ‘No’.

Segmentation?

Optional

In cases where the information is spread over several files, select ‘Yes’ from the drop-down list to upload all the files.

Auto Import Keystring?

Optional

Select if keystring has to be auto imported or not from the drop-down list.

All import and export tables have a key string column. The interface system imports the files into these tables with a specific key string. The import wrapper will pick up the records with the same key string and process them. This improves the multi user capability of interface system and also allows us to reuse the same header and trailer tables for most of the imports and exports.

File Specification Required?

Optional

Choose ‘Yes’ if you wish to indicate that file specifications are required. Else choose ‘No’.

Generate Empty File

Optional

Select if empty file has to be generated or not from the drop-down list. The list displays the following values:

Interface Parameters

Procedure-based interfaces will need certain parameters that you must specify for their execution.

Parameter Name

Alphanumeric, 50 Characters; Mandatory

Select the name of the parameter that is required for the procedure, from the drop down list. You can specify as many parameters as are necessary.

Parameter Value

Alphanumeric, 50 Characters; Optional

If you have selected a non-standard parameter, specify the value for the same in this field.

Standard

Numeric, 1 Character; Mandatory

Specify the standard specific to the FCIS application. You need not specify a value for standard parameters.

File Specification

Every interface involves a data exchange that could be of any of the following types:

For a data exchange that involves no file exports or imports, the Number of Files will be zero, and the file specification tab is not applicable for such exchanges. For exchanges that are procedure-based or SQL-based, and involve file exports or imports, the Number of Files is more than zero, and all tables in the FCIS system that are associated with the specified procedure or SQL string are displayed in the File Specifications screen, with each file having a serial File Number. You can edit any details (except the File Number) or add new tables.

Invoke the File Specifications Screen by clicking ‘File Specification’ button in the main Interface Detail screen.

File Number

Numeric; 3 Characters; Mandatory

Specify the serial number for the file that is involved in the data exchange. When you add a new file or table name, it is given a new sequential file number.

No of Segments

Numeric; 2 Characters; Optional

Specify the number of segments to be uploaded.

Segment Identifier

Optional

Select the value associated with the segment identifier to be uploaded from the drop-down list. The list displays the following values:

Field Occurrence

Optional

Select the field corresponding to the segment identifier to be uploaded from the drop-down list. The list displays the following values:

Field Length

Numeric; 2 Characters; Optional

Specify the length of the field to be uploaded.

Field Type

Optional

Select the type of the field from the drop-down list. The options available are ‘String’ or ‘Number’.

Segment Delimiter

Optional

Select the delimiter to be used for the different segments from the drop-down list. The list displays the following values:

Delimited Occurrence

Alphanumeric, 255 Characters; Optional

Specify the delimited occurrences.

Table Name

Alphanumeric, 30 Characters; Mandatory

Specify the name of the table associated with the specified procedure that will receive imported data or contain the data that is to be exported

The value mentioned here must correspond to a valid database table. You can use the option list to specify a new table name.

Criteria

Alphanumeric, 255 Characters; Optional

Specify a clause that filters the data that is being exported or imported. For example, you can specify an SQL statement such as a Where clause here. The clause will look for and pick up all data that satisfies the Where clause, in the data that is being exported or imported.

File Name

Alphanumeric, 255 Characters; Mandatory

The system displays the name of the file for the selected file ID. However, you can amend this value:

Specify the name of the file that will be involved in the data exchange.

For example, if the specified file name is nav.xls, and unique file name is 'Yes', only the file nav.xls will be picked up. If not, all files that bear the name nav*.* will be picked up.

File name generation will be based on the mask value given in the File name of the interface definition.

This feature is enabled if you have selected ‘Unique File Name’ field as ‘No’.

You can maintain the mask values as follows. The system will derive the value from Pkgglobal parameter.

Mask Definition (.txt represents sample file extension)

Value that will be replaced

$m$_filename.txt

moduleid_filename.txt

$u$_filename.txt

userid_filename.txt

$a$_filename.txt

agentcode_filename.txt

$b$_filename.txt

branchcode_filename.txt

$t$_filename.txt

<datetime>_filename.txt (date will be the Application date)

$d$_filename.txt

<date>_filename.txt (date will be the Application date)

$c$_filename.txt

<Customvalue>_filename.txt . Kernel will generate file­name and custom should be able to override the file name only if $c$ mask is maintained.

$v$_filename.txt

<SplitColumnValue>_filename.txt

SplitColumn mentioned in the maintenance will be used.

Maximum length of the file name will be limited to 100 characters without the extension. If file name length exceeds more than 100, then the system will consider the first 100 characters of file name from the left.

File Path

Alphanumeric, 255 Characters; Mandatory

Specify the path in which the specified file will be found. Click the button alongside this field to browse to the desired location.

Archive Directory

Alphanumeric, 255 Characters; Mandatory

Specify a location where the specified file may be stored or archived for future reference, after the data is either exported or imported. If you do not specify an archive directory, the file is deleted from the specified File Path once the interface is processed and the data exchange is done.

Unique File Name?

Optional

Choose 'Yes' to indicate that, only files that exactly correspond with the specified file name will be imported/exported. If you choose 'No', all the files that resemble the specified file name will be picked up for import. And for export, the file name generation will be based on the mask value given in the file name of the interface definition.

File Type

Alphanumeric, 1 Character; Mandatory

Select the type of file that is being exported or imported.

ASCII File Format

Mandatory for ASCII file types

Select the format for ASCII files, either Fixed or Delimited from the drop-down list.

Field Delimiter

Optional

Select the delimiter to be used for the different fields from the drop-down list. The list displays the following values:

Column Header

Optional

Select ‘Yes’ from the drop-down list if column headings must be picked up in the export or import file, typically in an MS Excel Worksheet.

String Delimiter

Optional

Select the delimiter to be used for the different strings from the drop-down list. The list displays the following values:

Date Format

Alphanumeric; 12 Characters; Optional

Select the date format from the option list.

Decimal Symbol

Optional

Select the decimal symbol from the drop-down list:

Time Delimiter

Optional

Select the time delimiter from the drop-down list. The list displays the following values:

Digit Grouping

Optional

Select the digit grouping from the drop-down list. The list displays the following values:

Date Time Option?

Optional

Select the date-time format that is applicable in the data that is being imported or exported.

Click ‘Populate’ button to view the column specification details as follows:

Column Specification

Field

Alphanumeric; 50 Characters; Mandatory

The system displays the field number. However, you can amend this value.

You can specify the actual columns or fields in the file that will be exported or imported or in the specified table, in the Column Specifications Maintenance screen. You can also define a sequence in which the data must be ordered.

File Number

Numeric; 3 Characters; Mandatory

The sequential number for the selected file from the File Specifications Tab grid in the Interface Maintenance screen is displayed here. It represents the file for which you are specifying the column details in this screen. All the columns that are found in the specified table are displayed in the grid in this screen, with their details. Making changes to any of these details will result in a corresponding change in the output data. If you delete a particular row in the grid, then that column will not appear in the output data.

Field Type

Alphanumeric; 30 Characters; Mandatory

The system displays the field type. However, you can amend this value.

Field Length

Numeric; 22 Characters; Mandatory

The system displays the field type. However, you can amend this value.

Column Heading

Alphanumeric; 50 Characters; Mandatory

The heading of the column or field in the table is displayed here. You can alter the heading.

File Col Sequence

Numeric; 3 Characters; Mandatory

The system displays the field type. However, you can amend this value.

The Interface system allows you to maintain the sequence of fields in the export and import tables. This lets you reuse common tables for header and trailers. The import or export file need not be in the same sequence as the fields of the tables created for them

Select

Optional

Select Yes or No from the drop-down list.

You can also indicate any or all of the following format specifications for the file in the File Specifications grid:

The default values for these specifications are given below:

Format Specification

Allowable

Default

Field Delimiter

Comma, colon, semi-colon, space, tab, null

Space

String Delimiter

Single and double quotation marks; null

Null

Date Format

DMONY; DMY; MDY; YMD; Registry Setting

Registry Setting

Date Delimiter

Hyphen, comma, space, forward slash, Regis­try Setting

Registry Setting

Decimal Symbol

Comma, space, null, period, Registry Setting

Registry Setting

Digit Grouping Symbol

Comma, period, space, null, Registry Setting

Registry Setting

Time Delimiter

Colon, semi-colon, space, null, Registry Setting

Registry Setting

Segment Specifications

File Number

Display

The system displays the file number.

Table Name

Alphanumeric; 30 Characters; Mandatory

Specify the table name.

Segment Number

Alphanumeric; 3 Characters; Mandatory

Specify the segment number.

Identifier Field Name

Alphanumeric; 30 Characters; Optional

Specify the identifier field name.

Identifier Field Value

Alphanumeric; 30 Characters; Optional

Specify the identifier field value.

First Row/Last Row

Optional

Select if the segment is first row or last row from the drop-down list. The list displays the following values:

Click ‘Populate’ button to populate the following details:

Column Specification

Field

Alphanumeric; 50 Characters; Mandatory

The system displays the field number. However, you can amend this value.

You can specify the actual columns or fields in the file that will be exported or imported or in the specified table, in the Column Specifications Maintenance screen. You can also define a sequence in which the data must be ordered.

File Number

Numeric; 3 Characters; Mandatory

The sequential number for the selected file from the File Specifications Tab grid in the Interface Maintenance screen is displayed here. It represents the file for which you are specifying the column details in this screen. All the columns that are found in the specified table are displayed in the grid in this screen, with their details. Making changes to any of these details will result in a corresponding change in the output data. If you delete a particular row in the grid, then that column will not appear in the output data.

Field Type

Alphanumeric; 30 Characters; Mandatory

The system displays the field type. However, you can amend this value.

Field Length

Numeric; 22 Characters; Mandatory

The system displays the field type. However, you can amend this value.

Column Heading

Alphanumeric; 50 Characters; Mandatory

The heading of the column or field in the table is displayed here. You can alter the heading.

File Col Sequence

Numeric; 3 Characters; Mandatory

The system displays the field type. However, you can amend this value.

The Interface system allows you to maintain the sequence of fields in the export and import tables. This lets you reuse common tables for header and trailers. The import or export file need not be in the same sequence as the fields of the tables created for them

Select

Optional

Select Yes or No from the drop-down list.

5.2 Interface Maintenance Summary Screen

This section contains the following topics:

5.2.1 Retrieving Record in Interface Maintenance Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘FCIS Interface Maintenance Summary’ screen by typing ‘UTSIFAC’ 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 ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

5.2.2 Editing Interface Maintenance Record

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

5.2.3 Viewing Interface Maintenance Record

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

5.2.4 Deleting Interface Maintenance Record

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

5.2.5 Authorizing Interface Maintenance

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

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

5.2.6 Amending Interface Maintenance

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

5.2.7 Authorizing Amended Interface Maintenance record

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

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

5.2.8 Copying Attributes

If you want to create a new Interface Maintenance with the same attributes of an existing maintenance, you can copy the attributes of an existing Interface Maintenance to a new one.

To copy the attributes:

5.3 Online Execution of Interfaces

This section contains the following topics:

5.3.1 Invoking Online Interface Execution Screen

To execute or process an interface maintenance definition, use the ‘Online Interface Execution’ screen. You can invoke this screen by typing ‘UTSONLIN’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Interface ID

Alphanumeric; 16 Characters; Optional

Specify the interface ID.

Description

Alphanumeric; 255 Characters; Optional

Specify the description of the selected interface ID.

All the interface definitions available for processing are displayed in the Available Interface Definitions box. You can select any or all of these to be executed by highlighting them in the Available box and using the arrow buttons to move them to the Selected Interface Definitions box. After you have made the desired selections, click the Execute button. You must indicate that you want to continue with the processing. The selected interfaces are processed, and the system displays a message to indicate successful completion of the processing. If any errors result, you can view the same using the View Interface Error Log menu item in the Data Entry menu of the Fund Manager component.

Once tanking is enabled, the system will not fetch any record in the summary screen

To exit the screen without processing any selected interface definitions, click the Close button.

Note

The system will not support the processing of multiple files at same time.

5.3.2 Setting up Excel Export Parameterization

You can copy parameterization data from Oracle FLEXCUBE Investor Servicing environment to any other environment and vice versa. The data from Oracle FLEXCUBE Investor Servicing can be exported into an excel sheet or an XML format.

If ‘Excel Export Required’ option is checked for a function id in the ‘Function Description Maintenance’ screen then an ‘Export’ button is enabled in the summary screen of that function id. In the Summary screen you can query records based on the query parameters available and then select the required records to be exported and click ‘Export’ button. On clicking ‘Export’ button, system would export the data into an excel sheet and opens the excel sheet with data populated. You can then save the excel sheet.

Note

The records can be exported either in .XLS or .XLSX format. The format of the export file must be maintained in ‘CSTB_PARAM’ against the parameter ‘EXCEL_FORMAT’.

5.3.3 Invoking Excel Import Screen

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

 

The following details are captured here:

File Name

Alphanumeric; 4000; Optional

Select the excel file to be imported by clicking ‘Browse’ button.

Click ‘Browse’ button to browse the file name.

Total No of Records

Display

The total number of records to be uploaded is displayed here.

Successfully Uploaded

Display

The system displays the number of successfully uploaded record.

No of Failed Records

Display

The total number of records which failed to get uploaded is displayed here.

Function ID

Alphanumeric; 8 Characters; Optional

The function ID mentioned in the excel file chosen is displayed here.

Batch Reference

Display

The unique reference number generated for an upload is displayed here.

Post Upload Status

Optional

Select the status to be set for the file post upload, from the drop-down list. The following statuses are available in the drop-down list:

Override Action

Optional

Select the action to be taken if an override message is encountered, from the drop-down list. The following options are available:

Action

Display

The action is displayed here.

Generate or Upload

Optional

Select the action to be taken for importing the file, from the drop-down list. The following options are available for selection:

Note

To start the upload process click ‘Upload’ button. Once you click this button system starts importing the data from the excel file.

Upload Source

Alphanumeric; 50 Characters; Optional

Specify the source code of the file to be used for generating the XML file. You need to specify the source if you have chosen ‘Generate’ option in the ‘Generate or Upload’ field.

Click ‘Upload’ button to upload the attached file.

Excel Upload Details

The following details are captured here:

Record Id

Display

The unique number of the record uploaded is displayed here.

Record Key

Display

The record key is displayed here.

Status

Display

The upload status of the record is displayed here.

Excel Upload Errors

Record Id

Alphanumeric; 255 Characters; Optional

Specify the unique number of the record, which encountered error while uploading.

Error Code

Alphanumeric; 40 Characters; Optional

Specify the error code corresponding to the error encountered during upload.

Error Message

Alphanumeric; 4000 Characters; Optional

Specify the error message corresponding to the error code displayed.

Clicking ‘Upload’ button, the system uploads the records maintained.

5.4 Scheduler Services

This section contains the following topics:

5.4.1 Scheduler Services Description

Oracle FLEXCUBE Investor Servicing provides you with the facility of scheduling internal activities and having them executed as pre-programmed proceedings by the system. In the system, the Scheduler component facilitates such proceedings.

Typically, you can schedule any activity through the Scheduler Services. Some of these activities may be frequently occurring or recurrent activities, some activities may need to be initiated on demand, and some may be one-time activities.

To schedule activities using this Scheduler Service, you must

You may schedule jobs at a time-based frequency (simple or cron), or you may require them to be executed every time a business event occurs in the system. Accordingly, an event is an occurrence of a business proceeding in the system, such as allocation, or dividend declaration, or the End of Day procedures.

All business proceedings in the system that must be designated as events are pre-defined, according to the requirements at each installation, by the implementers. No new definitions of events are possible after this.

At the Security Management component, you can access all the Scheduler Services from the following menu categories:

5.4.2 Invoking Job Maintenance Screen

A job is a business activity which the system performs repeatedly on timely basis. Oracle FLEXCUBE enables you to define a job and schedule it using ‘Job Maintenance’ screen. You can invoke this screen by typing ‘UTDJOB’ 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 fields in this screen.

Job Details

Job ID

Display

The system displays the unique code to identify the Job.

Task ID

Alphanumeric; 16 Characters; Mandatory

Specify the task ID.

Frequency Basis

Optional

Select the frequency basis from the drop-down list. The list displays the following options:

Job Description

Alphanumeric; 255 Characters; Mandatory

Specify a brief description of what the job is supposed to do.

Schedule

Schedule Type

Optional

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

Job Mandatory

Optional

Select if job is mandatory or not from the drop-down list. The following options are available for selection:

One Time Details

On Date

Date Format; Optional

Select on date from the adjoining calendar.

On Time(HH:MM)

Time Format; Optional

Select the time.

Event Code

Alphanumeric; 50 Characters; Optional

Specify the event code.

Occurs

Occurs

Optional

Select the occurrences from the drop-down list. The list displays the following values:

Every Month On

Optional

Select the monthly occurrences from the drop-down list. The list displays the following values:

Of Every(Days/Weeks/Months)

Optional

Select the monthly occurrences from the drop-down list. The list displays the following values:

Day Of Week

Optional

Select the day of week from the drop-down list. The list displays the following values:

Day Of Month

Optional

Select the day of month from the drop-down list.

Week Of Month

Optional

Select the week of the month from the drop-down list:

Week of Month

Duration

Start Date

Date Format; Optional

Specify the start date.

End Date

Date Format; Optional

Specify the end date.

End Date Reqd?

Optional

Select if end date is required or not from the drop-down list.

Time

Interval Type

Optional

Select the interval type from the drop-down list.

Interval Value

Alphanumeric; 4 Characters; Optional

Specify the interval value.

Interval Unit

Optional

Select the interval unit from the drop-down list.

Starting At(HH:MM)

Numeric; 5 Characters; Optional

Specify the starting time details.

Ending At(HH:MM)

Numeric; 5 Characters; Optional

Specify the ending time details.

Event

Event Code

Alphanumeric; 50 Characters; Optional

Specify the event code.

5.4.3 Task Details Button

Click ‘Task Details’ button in ‘Job Maintenance Detail’ screen to invoke the following screen:

 

You can specify the following details:

Task Details

Task ID

Alphanumeric; 16 Characters; Mandatory

Specify the task ID.

Description

Display

The system displays the description for the selected task ID.

Report Burst Details

The system displays the following values:

Click ‘Execute’ button to apply conditions and view parameters.

Click ‘Condition’ button to view the conditions.

 

You can specify the following values:

Query Criteria

Field For Criteria

Alphanumeric; Optional

Specify the field for criteria.

Values To Be Used

Alphanumeric; Optional

Specify the values to be used.

Enter Values

Alphanumeric; Optional

Specify the values to be entered.

Operator

Optional

Select the operator from the drop-down list. The list displays the following list:

Parameter

Optional

Select the parameters.

Query Criteria

Optional

Specify the query criteria by selecting the required parameters such as (, And, Not, Or, )

5.4.4 Parameter Button

You can specify the job specific parameters, which are passed to job class or procedure at runtime. The following details are captured here:

 

Parameter Number

Display

The system displays the parameter number.

Parameter Name

Alphanumeric; 255 Characters; Optional

Specify the name of the job parameter. The parameter name you specify here is passed to job class or procedure at run time.

Standard

Optional

Select the standard type from the drop-down list.

Parameter Type

Alphanumeric; 20 Characters; Optional

Specify the data type of the parameter.

Parameter Value

Alphanumeric; 255 Characters; Optional

Specify the value of the parameter.

In or Out

Optional

Select if the parameters are in or out from the drop-down list.

5.5 Job Maintenance Summary Screen

This section contains the following topics:

5.5.1 Invoking Job Maintenance Summary Screen

You can perform the following operations in the Job Maintenance Summary screen:

 

5.5.2 Retrieving Record in Job Maintenance Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Job Maintenance Summary’ screen by typing ‘UTSJOB’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding fields:

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

5.5.3 Editing Record in Job Maintenance Summary Screen

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

5.5.4 Viewing Job Maintenance Record

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

5.5.5 Deleting Job Maintenance Record

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

5.5.6 Authorizing Job Maintenance Record

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

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

5.5.7 Amending Job Maintenance Record

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

5.5.8 Authorizing Amended Job Maintenance record

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

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

5.6 Scheduling Jobs

This section contains the following topics:

5.6.1 Scheduling Jobs

All jobs for scheduling are stored in a static data store and each job is associated with a name indicating where the job has to execute. Jobs are created in the Application Server and are scheduled based on this data.

Note

The job name should be unique across the schedulers available in the system.

When the application server starts, the job details from static data store will get cached. These cached jobs will then be scheduled using either the quartz or flux scheduler.

For example, the notification process can be handled by the job schedulers as follows:

5.6.2 Controlling Jobs

The details of jobs that are scheduled can be viewed using the ‘Job Details’ screen. In this screen you can pause or resume a job that has been scheduled. You can invoke the ‘Job Details’ screen by typing ‘SMSJOBBR’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.

 

You can a search for a scheduled job by specifying any of the following:

Job Name

Alphanumeric; 100 Characters; Optional

Select the name of the job that you want to search for from the option list provided.

Trigger State

Optional

Select the state of the job you want to search for from the option list provided. The following options are possible for Quartz schedulers:

Scheduler

Alphanumeric; 100 Characters; Optional

Select the scheduler to which the job you want to search for has been assigned.

Job Group

Alphanumeric; 200 Characters; Optional

Select the group to which the job you want to search for belongs, from the option list provided.

Next Fire Time

Numeric; 22 Characters; Optional

Select the time when the job is scheduled to be run next.

Click ‘Search’ button to view the details related to the job. You can pause a job by selecting it and clicking the ‘Pause’ button.

You can resume a paused job by clicking ‘Resume’ button and the job is scheduled for its next fire time.

A job can take any of the following states.

5.7 Interface with External Asset Management Systems

Oracle FLEXCUBE Investor Servicing provides a facility that enables you to effect data exchanges with an external accounting system. You can export transaction and dividend information to this accounting system and import the NAV or the NAV per unit from this external system. Typically, the accounting system is Oracle FLEXCUBE Securities.

You must perform the following in order to configure the system to effect the export or import of accounting system information:

To configure the system for the interface with FLEXCUBE Securities or any external accounting system, use the following screens available in the Browser:

5.8 Accounting System Component Setup

This section contains the following topics:

5.8.1 Invoking Accounting System Component Setup

You can use this screen in the Fund Manager Browser.

You can invoke the ‘Accounting System Component Setup Detail’ screen by typing ‘UTDACSYC’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

When you open this screen, all the codes that have already been mapped are displayed.

Accounting System Component Mapping

FCIS Code

Mandatory

Select the FCIS code that must be mapped to an accounting system code in FLEXCUBE Securities from the drop down list. The list displays the following values:

Account System Component Details

AMC Code

Alphanumeric; 10 Characters; Mandatory

Specify the AMC code.

Transaction Type

Optional

Select the transaction type pertaining to the selected FCIS code, from the drop down list. If you do not select a transaction type in this field, then it is reckoned that the mapping will apply to all transaction types.

Description

Alphanumeric, 255 Characters; Optional

Describe the accounting system code in a few words.

5.9 Accounting System Component Setup Summary

This section contains the following topics:

5.9.1 Retrieving a Record in Accounting System Component Setup Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Accounting System Component Setup Summary’ screen by typing ‘UTSACSYC’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button and specify any or all of the following details in the corresponding details

 

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value

5.9.2 Editing Accounting System Component Setup Record

You can modify the details of Accounting System Component Setup record that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

Click Save to save your changes. The Accounting System Component Setup Detail screen is closed and the changes made are reflected in the Accounting System Component Setup Summary screen.

5.9.3 Viewing Accounting System Component Setup Record

To view a record that you have previously input, you must retrieve the same in the Accounting System Component Setup Summary screen as follows:

5.9.4 Deleting Accounting System Component Setup Record

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

5.9.5 Authorizing Accounting System Component Setup Record

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

5.9.6 Amending Accounting System Component Setup Record

After a Accounting System Component Setup record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.9.7 Authorizing Amended Accounting System Component Setup Record

An amended Accounting System Component Setup record must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

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

5.10 Asset Management Import NAV Setup

This section contains the following topics:

5.10.1 Invoking the Asset Management NAV Detail

You can use this screen in the Administration menu category of the Fund Manager component to

Before you import the NAV for a fund, you must specify these import options in this screen.

You can invoke Asset Management NAV Detail screen by typing ‘UTDAMNAV’ in the field at the top right corner of the Application tool bar and click the adjoining arrow.

 

Fund ID

Alphanumeric, 6 Characters; Mandatory

Select the fund for which you are specifying the NAV import options in this record.

Import Authorized NAV

Mandatory

Select whether the NAV is to be imported as authorized information or not from the drop-down list. The list displays the following values:

If you specify an import that is unauthorized, the same will have to be authorized normally as part of the authorization of fund prices in the system.

By default, NAV is imported as authorized information.

Import NAV

Mandatory

Select whether the NAV must be imported or not from the drop-down list. The list displays the following values:

Floor Variation

Numeric; 7 Characters; Optional

Specify the applicable floor variation (as a percentage) for the imported NAV.

Ceiling Variation

Numeric; 7 Characters; Optional

Specify the applicable ceiling variation (as a percentage) for the imported NAV.

If you do not specify the applicable floor and ceiling variations in this screen, these values are reckoned by the system from the specifications in the Fund Price screen record for the same fund.

5.11 Asset Management NAV Summary Screen

This section contains the following topics:

5.11.1 Retrieving a Record in Asset Management NAV Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

You can invoke ‘Asset Management NAV Summary’ screen by typing ‘UTSAMNAV’ in the field at the top right corner of the Application tool bar and click the adjoining arrow.

 

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value

5.11.2 Editing Asset Management NAV Record

You can modify the details of Asset Management NAV record that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

Click Save to save your changes. The Asset Management NAV Detail screen is closed and the changes made are reflected in the Asset Management NAV Summary screen.

5.11.3 Viewing Asset Management NAV Record

To view a record that you have previously input, you must retrieve the same in the Asset Management NAV Summary screen as follows:

5.11.4 Deleting Asset Management NAV Record

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

5.11.5 Authorizing Asset Management NAV Record

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

5.11.6 Amending Asset Management NAV Record

After a Asset Management NAV record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.11.7 Authorizing Amended Asset Management NAV Record

An amended Asset Management NAV record must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

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

5.12 UH NAV Alert Setup Detail

This section contains the following topics:

5.12.1 Invoking UH NAV Alert Setup Detail Screen

You can configure the NAV alerts for a fund using ‘UH NAV Alert Setup Detail’ screen. You can invoke this screen by typing ‘UTDUHNAV’ 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:

UH NAV Alert Set Up

Unit Holder ID

Alphanumeric; 12 Characters; Mandatory

Specify the unit holder ID. You can query for unit holder ID by clicking ‘Fund’ button.

Name

Display

The system displays the name of the unit holder for the selected unit holder ID.

Fund ID

Alphanumeric; 6 Characters; Mandatory

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

Fund Name

Display

The system displays the name of the selected fund ID.

Indicator

Mandatory

Select the indicator from the drop-down list. The list displays the following values:

Value

Numeric; 30 Characters; Optional

Specify the NAV value.

Alert By E-Mail

Optional

Select ‘if alert has to be received by e-mail or not from the drop-down list. The list displays the following values:

Alert By SMS

Optional

Select ‘if alert has to be received by e-mail or not from the drop-down list. The list displays the following values:

5.13 UH NAV Alert Setup Summary Screen

This section contains the following topics:

5.13.1 Retrieving a Record in UH NAV Alert Setup Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

You can invoke ‘UH NAV Asset Setup Summary’ screen by typing ‘UTSUHNAV’ in the field at the top right corner of the Application tool bar and click the adjoining arrow.

 

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value

5.13.2 Editing UH NAV Alert Record

You can modify the details of UH NAV Asset Setup record that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

Click Save to save your changes. The UH NAV Asset Setup Detail screen is closed and the changes made are reflected in the UH NAV Asset Setup Summary screen.

5.13.3 Viewing UH NAV Alert Record

To view a record that you have previously input, you must retrieve the same in the UH NAV Asset Setup Summary screen as follows:

5.13.4 Deleting UH NAV Alert Record

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

5.13.5 Authorizing UH NAV Alert Record

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

5.13.6 Amending UH NAV Alert Record

After a UH NAV Asset Setup record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.13.7 Authorizing Amended UH NAV Alert Record

An amended UH NAV Asset Setup record must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

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

5.14 General Ledger Setup

This section contains the following topics:

5.14.1 Setting up General Ledger Template

Oracle FLEXCUBE Investor Servicing provides the facility to set up a General Ledger for the purpose of generating accounting entries that would be passed at each event in the life cycle of a transaction.

The events at which the accounting entries could be required for a transaction are as follows:

Also, a set of theoretical entries could be required at initiation of the transaction.

For these accounting entries, the relevant reporting heads are to be mapped to each transaction. According to the components mapped and the setup in the system, the appropriate accounting entries / theoretical entries are passed at either the Distributor or AMC installation, for the funds for which the setup has been maintained.

You can set up the General Ledger by setting up an accounting template for each transaction type and transaction event, and then mapping the template for a fund-investment account type combination, so that the template comes into effect for transactions in the fund-investment type combination.

5.14.2 Invoking GL Template Detail Screen

You can set up a General Ledger Template for each event in the life cycle of a transaction of a certain type, in the ‘GL Template Detail’ screen. You can invoke this screen by typing ‘UTDGLTMP’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Details Section

Template ID

Alphanumeric; 10 Characters; Mandatory

Enter a unique id for the template that you are setting up.

Template Description

Alphanumeric; 35 Characters; Mandatory

Enter a description for the template.

Business Event

Alphanumeric; 2 Characters; Mandatory

Select the type of transaction/process for which the template is being defined.

Trigger Event

Alphanumeric; 15 Characters; Mandatory

Select the event on which GL Extraction will be initiated. The Trigger Event could be Unitization, Authorization or Settlement.

Theoretical Entries

Mandatory

Select one of the options from the drop-down to indicate if there are entries that will be used for reporting only.

GL Currency

Alphanumeric; 3 Characters; Mandatory

Select the GL Currency from the option list provided.

Product Level Apply

Optional

Indicate if the template is applicable at the product level or not from the drop-down list.

Note

You can maintain a GL Setup for more than one currency. This is done by choosing the option ‘All Currency’ against the field GL Currency. This allows you to maintain one GL for transactions carried out by the customer in different currencies. There will be a currency wise posting in the GL.

Component & Primary Account Details

Component ID

Alphanumeric; 20 Characters; Mandatory

Select the component ids of the components that must appear as entries in the general ledger sub-accounts of the selected funds, for the selected business event.

All the loads that have been defined in the system will be included in the drop-down list. You can also select the option ‘VAT’.

Component Description

Alphanumeric; 255 Characters; Mandatory

The description of the component id that you have selected will be displayed.

Debit/Credit

Mandatory

Indicate whether the entries arising due to the selected business event are to be deemed as positive (debit) entries or negative (credit) entries in the general ledger. Select the appropriate option from the drop-down list.

Primary Account Details

Entity

Mandatory

Select the primary initiating entity from the drop-down list. The list displays the following values:

GL SetUp For

Mandatory

The GL set up may be defined for Payment, General Ledger, CASA or SAP. Indicate the same in this field.

Different fields are displayed, enabled or disabled depending on what option you choose. The same is explained below:

Accounting Currency

Mandatory

Select the accounting currency for the primary entity from the drop-down list provided. The list displays the following values:

Bank Branch

Alphanumeric; 12 Characters; Optional

Select the bank branch from the option list provided.

Account Number

Alphanumeric; 16 Characters; Mandatory

Specify the bank account number.

Transaction Currency

Alphanumeric; 3 Characters; Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Direct Debit Applicable

Optional

Select if direct debit is applicable or not from the drop-down list. The list displays the following values:

Contra Account Details

Contra Entity

Mandatory

Select the counter party initiating entity from the drop-down list. The list displays the following values:

GL SetUp For

Mandatory

The GL set up may be defined for Payment, General Ledger, CASA or SAP. Indicate the same in this field from the drop-down list.

Different fields are displayed, enabled or disabled depending on what option you choose. The same is explained below:

Depending on what you choose, certain fields will be displayed. The same is explained below:

Contra Accounting Currency

Mandatory

Select the accounting currency for the counter party entity from the drop-down list provided. The list displays the following values:

Contra Bank Branch

Alphanumeric; 12 Characters; Optional

Select the bank branch from the option list provided.

Contra Account Number

Alphanumeric; 16 Characters; Mandatory

Enter the bank account number.

Contra Transaction Currency

Alphanumeric; 3 Characters; Mandatory

This field will be disabled if you choose the option Fund Base Currency in the field Accounting Currency. If you choose the option Transaction Currency, you can choose the Transaction Currency.

Direct Debit Applicable

Optional

Select if direct debit is applicable or not from the drop-down list. The list displays the following values:

5.15 GL Template Summary Screen

This section contains the following topics:

5.15.1 Invoking GL Template Summary Screen

Invoke the ‘GL Template Summary’ screen by typing ‘UTSGLTMP’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

You can perform the following operations in the GL Template Summary screen:

5.15.2 Retrieving Record in GL Template Summary screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the summary screen and specify any or all of the following details in the corresponding fields:

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value.

For example:

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

5.15.3 Editing GL Template

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

5.15.4 Viewing GL Template

To view a record that you have previously input, you must retrieve the same in the GL Template Summary screen as follows:

5.15.5 Deleting GL Template

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

5.15.6 Authorizing GL Template

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

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

5.15.7 Amending GL Template

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

5.15.8 Authorizing Amended GL Template

An amended GL Template must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module. The subsequent process of authorization is the same as that for normal transactions.

5.15.9 Copying Attributes

If you want to create a new GL Template with the same attributes of an existing maintenance, you can copy the attributes of an existing GL Template to a new one.

To copy the attributes:

5.16 GL Template Mapping to Fund – Investment Account Type Combination

This section contains the following topics:

5.16.1 Invoking GL Interface Setup Detail Screen

After authorized templates have been created, you can map the relevant template to a fund-investment account type combination, in the ‘GL Interface Set-Up Detail’ screen.

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

 

Fund Details Section

GL Reference Number

Alphanumeric; 10 Characters; Mandatory

Specify a reference number for the GL. The field GL Reference Number allows you the flexibility of creating several GL templates with a common Fund ID, Template ID, Component and Account Type. You can distinguish between them by entering a unique GL Reference Number for each.

Template ID

Alphanumeric; 10 Characters; Mandatory

Select the template that you desire to map to the fund-investment account combination to.

Note

When you choose the Template ID, the following sections are displayed in the screen:

These have been explained in detail in the section ‘Setting Up a General Ledger Template’ in this chapter. Please refer to the same for more information.

Template Description

Display

The description of the template is displayed when you select the Template Id.

Fund ID

Alphanumeric; 6 Characters; Optional

Select the fund to which the template is being mapped from the option list provided.

ISIN Code

Display

The ISIN Code of the fund that you choose will be updated in this field.

You could, alternatively, select the ISIN Code of the fund and the Fund ID will be updated.

Apply at Product Level

Optional

Select if the template has to be applied at product level or nor from the drop-down list. The list displays the following values:

Product ID

Alphanumeric; 10 Characters; Optional

Select the Product to which the template is being mapped, from the option list provided.

Account Type

Alphanumeric; 2 Characters; Mandatory

Select the investment account type for which the template is being mapped.

GL Currency

Alphanumeric; 3 Characters; Mandatory

Select the GL Currency from the option list provided.

Note

For example, if you want to define a GL setup for a fund FUND1 for two account types CPFOA and Cash Direct, you can choose the option ‘All Account Types’ instead defining two different GL templates for each of the account types.

You can maintain a GL Setup for more than one currency. This is done by choosing the option ‘All Currency’ against the field GL Currency. This allows you to maintain one GL for transactions carried out by the customer in different currencies. There will be a currency wise posting in the GL.

Template Details

Business Event

Alphanumeric; 2 Characters; Optional

Select the type of transaction/process for which the template is being defined.

Trigger Event

Alphanumeric; 15 Characters; Optional

Select the event on which GL Extraction will be initiated. The Trigger Event could be Unitization, Authorization or Settlement.

Theoretical Entries

Optional

Select one of the options from the drop-down to indicate if there are entries that will be used for reporting only.

Component Details

The system displays the following component details:

Restricted Reference Type

Restricted Reference Type

Alphanumeric; 10 Characters; Optional

Specify the Restricted Reference Type.

Restricted Sub Types

Restricted Sub Types

Alphanumeric; 255 Characters; Optional

Specify the Restricted Sub Type.

5.16.2 Extraction and Generation of Event based Accounting Entries

A batch process extracts the relevant accounting entries according to the GL setup for the fund, and generates the accounting entries that would be passed, automatically at EOD.

For cash nominee accounts, no theoretical entries are generated at the AMC when the GL extract is generated, since these accounts are of the Distributor.

The System checks whether the transaction date is a holiday in any of the calendars. The settlement date (Contractual Settlement Date) is derived based on the mode of payment, payment lag maintained for the fund.

As of the unitization or allocation date, the theoretical (cash flow indicator) entries, if indicated in the GL maintenance, are generated. At the Distributor, the accounting entries generated for the underlying transaction reflect the movement of funds to Distributor, unit holder and fund accounts. At the AMC, the accounting entries generated for the underlying transaction reflect the credit or debit to fund investment, fund manager, Distributor, rounding and transaction charge account.

The payment date for the underlying transaction is also arrived at according to the transaction payment mode. The settlement process is initiated on the date on which payment clearing is performed, which is tracked as the Actual Settlement Date. At the Distributor, the accounting entries generated reflect the movement of funds between the fund receivable account and the Distributor. At the AMC, the accounting entries generated reflect the movement of funds between the fund account and unit holder pooled investment account.

For cash based transactions, the unitization and payment date are the same and both theoretical and actual entries are passed as on this date.

5.16.3 Regeneration of Extract

Once the accounting data passed due to a GL setup has been extract, you can re-extract and regenerate the data, if required.

To re-extract the data, you must provide the ID of the fund and the unit holder for which you wish to re-extract the data and the date range between which the data was extracted. If you do not provide a fund or unit holder ID, the data is re-extracted for entries generated within the date range specified.

After re-extraction, you can either regenerate the entries or generating a report containing the entries.

5.17 GL Interface Set-Up Summary

This section contains the following topics:

5.17.1 Retrieving a Record in GL Interface Set-Up Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘GL Interface Set-Up Summary’ screen by typing ‘UTSGLISD’ in the field at the top right corner of the Application tool bar. Click on the adjoining arrow button and specify any or all of the following details in the corresponding details.

 

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value

5.17.2 Editing GL Interface Set-Up Record

You can modify the details of GL Interface Set-Up record that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

Click Save to save your changes. The GL Interface Set-Up Detail screen is closed and the changes made are reflected in the GL Interface Set-Up Summary screen.

5.17.3 Viewing GL Interface Set-Up Record

To view a record that you have previously input, you must retrieve the same in the GL Interface Set-Up Summary screen as follows:

5.17.4 Deleting GL Interface Set-Up Record

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

5.17.5 Authorizing GL Interface Set-Up Record

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

5.17.6 Amending GL Interface Set-Up Record

After a GL Interface Set-Up record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.17.7 Authorizing Amended GL Interface Set-Up Record

An amended GL Interface Set-Up record must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

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

5.18 Accounting System General Ledger Setup

This section contains the following topics:

5.18.1 Invoking Accounting System GL Setup Detail Screen

You can use this screen in the Administration menu category of the Fund Manager component to

When you map each load component code (GL Account Code) to its corresponding charge code that is defined for the load in the external system, the load information in the exported transaction data is recognized and assimilated in the external system.

Invoke the ‘Accounting System GL Setup Detail’ screen by typing ‘UTDGLACM’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

When you open this screen, all the codes that have already been mapped are displayed.

GL Account Code

Alphanumeric, 10 Characters; Mandatory

Select the account code in the FCIS system that must be mapped to its corresponding charge code in the external system. This is the GL Account Code that has been assigned to this load component in the Fund Load Setup record.

External Code

Alphanumeric, 10 Characters; Mandatory

Specify the account code in the external system that corresponds to the selected FCIS system code.

5.19 Accounting System GL Setup Summary

This section contains the following topics:

5.19.1 Retrieving a Record in Accounting System GL Setup Summary Screen

You can retrieve a previously entered record in the Summary Screen, as follows:

Invoke the ‘Accounting System GL Setup Summary’ screen by typing ‘UTSGLACM’ in the field at the top right corner of the Application tool bar. Click on the adjoining arrow button and specify any or all of the following details in the corresponding details.

 

Click ‘Search’ button to view the records. All the 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 detail screen by querying in the following manner:

You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operations by selecting the operation from the Action list. You can also search a record by using a combination of % and alphanumeric value

5.19.2 Editing Accounting System GL Setup Record

You can modify the details of Accounting System GL Setup record that you have already entered into the system, provided it has not subsequently authorized. You can perform this operation as follows:

Click Save to save your changes. The Accounting System GL Setup Detail screen is closed and the changes made are reflected in the Accounting System GL Setup Summary screen.

5.19.3 Viewing Accounting System GL Setup Record

To view a record that you have previously input, you must retrieve the same in the Accounting System GL Setup Summary screen as follows:

5.19.4 Deleting Accounting System GL Setup Record

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

5.19.5 Authorizing Accounting System GL Setup Record

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

5.19.6 Amending Accounting System GL Setup Record

After a Accounting System GL Setup record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:

5.19.7 Authorizing Amended Accounting System GL Setup Record

An amended Accounting System GL Setup record must be authorized for the amendment to be made effective in the system. The authorization of amended records can be done only from Fund Manager Module and Agency Branch module.

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

5.20 FCIS - Finware Interface

This section contains the following topics:

5.20.1 FCIS-Finware Interface Description

This interface supports the online settlement for the following:

When a customer makes an investment and the transaction is captured through FCIS, the CASA account in FINWARE will be debited with the gross amount of the subscription and will be credited to AMC Pool account. This activity will be trigged as an ‘Authorization’ event. The settlement will take place just before the transaction is saved and if a successful response is received from Finware, the transaction will be successfully saved in FCIS.

FCIS will post the Debit/Credit request to FC@Connect, which will then send the actual request to Finware, build the response as expected by FCIS and send the response.

Note

5.20.2 GL Setup for FCIS – Finware Interface

You will have to setup a GL for the entries to be passed to FINWARE during authorization of subscription transactions in FCIS.

The following section lists the steps involved in setting up a GL for the FCIS – Finware interface:

You will also have to setup a GL for the entries to be passed to FINWARE during authorization of subscription cancellations in FCIS. To do this, follow the procedure as explained above. The only difference here will be that the debit account will be the AMC CASA Account and the credit account will be the Customer CASA Account.

Each of the screens mentioned above has been explained in the section General Ledger Setup in this chapter. Refer to the same for further information.

5.20.3 Data Flow Diagram

The following diagram illustrates the flow of information:

5.20.3.1 Request Element

The table below describes the important elements of the request XML.

Level

Request Element

DTD

Field

Value

TRANSAC­TION

Header

RRFAA51.xsd

idrequest

RRFAA51(Maintained as parameter in FCIS)

 

 

 

datpost

FCIS Date in RRRR-MM-DD Format

 

 

 

referen­ceno

FCIS Transaction Number

 

 

 

extsystem

IS

 

 

 

flgrepeat

N

TRANSAC­TION

txndata >debit

RRFAA51.xsd

drac­countno

Customer Bank Account Number

 

 

 

drnarrative

Customer Account Debit

 

 

 

custid

Customer ID(CID)

 

txndata > credit

 

crac­countno

AMC Bank Account Number

 

 

 

crnarrative

AMC Account Credit

 

 

 

custid

AMC Cust ID maintained in Finware and Entity Add Info 1

 

txndata

 

txnamount

Gross Amount of Subscrip­tion

 

 

 

txncurrcod

Currency Code for Transac­tion Currency

5.20.3.2 Response Element

The table below describes the important elements of the response XML.

Level

Response Element

Field

Description

Transac­tion

status

returncodesta­tus

Return Status of Finware Procedure.

0 means success.

 

 

Errorcode

0 means Success. Error Code

 

 

Errormessage

Error Message in case of Error.

The table below lists the various parameters to be maintained:

ParamCode

ParamValue

ParamText

FINCON­NECT

URL

 

FINCON­NECT

PROXY_SERVER

 

FINCON­NECT

NO_PROXY_DO­MAINS

 

FINCON­NECT

HTTP_VERSION

HTTP/1.0

FINCON­NECT

CONTENT_TYPE

text/xml

FINCON­NECT

TIMEOUT

 

FINCON­NECT

CONTENT_REQ

 

The id request,exts ystem for the XML will be fetched from the following Parameter Setup:

ParamCode

ParamValue

ParamText

FINXML

IDREQ_NEWSUB

RRFAA51 

FINXML

IDREQ_SUBREV

RRFAA51

ParamCode

ParamValue

ParamText

FINXML

EXTSYSTEM

IS

FINXML

XSD_PATH

 

5.20.4 Error Handling

The flow chart illustrates the possible errors during a subscription:

The flow chart illustrates the possible errors during a subscription reversal:

5.21 EPU Upload

This section contains the following topics:

5.21.1 EPU Upload Processing

In EPU Upload, FCIS receives distribution rates for all non Money Market Funds from an external system. The frequency of the upload depends on the frequency of distribution rates declared for each fund.

5.21.2 Interface Workflow

When a file is received, the system processes a record only if there is no previous EPU entry (for the fund as on the distribution date) and the dividend record is unprocessed. If there is an EPU record already existing, the system displays an error message ‘Duplicate Record’. If the system does not find any duplicate records, it stores the data in tables and deletes the file.

5.21.3 Attributes

The attributes present in the EPU upload file interface are as follows:

Outgoing responses are not within the scope of this interface.

5.21.4 Message Format

Refer the chapter ‘Appendix B - Upload file formats – B’, Volume IV of Upload Format User Manual.

5.22 Tax Aggregation Interface

This section contains the following topics:

5.22.1 Tax Aggregation Interface Description

The Tax Aggregation Interface facilitates the export and subsequent import of all tax information relating to Annuity Income. The dispatch and receipt of the information is done on a monthly basis.

5.22.2 Interface Workflow

FCIS collates tax information across all lines of business every month only for clients with Annuity income. This is sent across to an application which checks if the tax payable by the client has been accurately calculated. The application then sends the accurate values of tax which will be updated in the designated tables in FCIS. There will be no processing of the data imported.

5.22.3 Attributes

The attributes present in the Tax Aggregation File interface are as follows:

The incoming information into FCIS is handled the same manner as the outgoing information.

5.22.4 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual.

5.23 Agent Reference File

This section contains the following topics:

5.23.1 Agent Reference File Description

The Agent Reference File is an import interface. The broker details like Broker Name, Broker Type, etc are updated in the FCIS using this interface. . The repository of OMIPAY, i.e., SAP, will send a file to the system which includes the broker details. These records are compared with the records present in the system. If there is any mismatch in the OMIPAY data, the system will be updated accordingly.

Note

This interface does not create new brokers; instead the existing broker details will be up­dated.

5.23.2 Interface Attributes

The attributes present in the Agent Reference File interface are as follows:

5.23.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.

5.24 Oracle Financial Interface

This section contains the following topics:

5.24.1 Oracle Financial Interface Description

Oracle Financial Interface is an export interface that will be done daily. The GL entries posted through out the day will be sent to the external system. The Oracle Financial Accounting System interface consolidates the journal postings and produces the accounts. All transactions and fees will be recorded in Oracle Financials General Ledger. This is an automated process that will run during EOD.

5.24.2 Interface Attributes

The attributes present in the Oracle Financial interface are as follows:

5.24.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.

5.25 Product-Fund- Asset Code Mapping Interface

This section contains the following topics:

5.25.1 Product-Fund- Asset Code Mapping Interface Description

For every Product – Fund ID combination, the system creates an Asset Code. For every valid Product and Fund ID available as part of Product Portfolio mapping combination, the system will generate an Asset Code. The system picks up the Asset Code for reporting purpose for the Global Order Placement Interface/Report.

The Global Placement Interface has been explained in detail in the section ‘Global Order Placement Interface’ of this chapter.

5.25.2 Executing Product–Fund–Asset Code Mapping Interface

The Product Fund Asset Code Upload supports the Product Fund Asset Code Mapping and is a file based upload.

You can execute the Product Fund Asset Code Mapping through the ‘Online Execution of Interfaces’ screen.

Refer the section ‘Online Execution of Interfaces’ in this chapter for details on executing the interface maintenance definitions.

5.26 Global Order Placement Interface

This section contains the following topics:

5.26.1 Global Order Placement Interface Description

The Global Order Placement is an export interface. This interface will extract policy transaction information like Investment amount (minus Initial Admin and Initial Broker fees), Disinvestment Amount etc. from FCIS and creates a text file which will be handed over to the different AMC. This interface is manually triggered.

You can also report the net value of the Initial admin and Broker Fee to the AMC/ UT along with the UT initial fee return value using Global Order Placement. Hence the exported files will contain both the net amount (Policy amount – Fees) and UT fee return value.

You can group the transactions based on the following:

Note

System will consider Internal Switches (switch in and switch out) as separate transaction types.

5.26.2 Batch Process for Global Order Generation

The Global Order or Manco Instructions is generated using the batch process. The system will check for all the transactions in this batch process, i.e., if there are fees attached to the policy transaction, the system will forecast the Initial Admin fees and Initial Broker fees using the Project Allocation procedure.

Project Allocation projects the allocation which contains the allotted units based on the price available from the global order. The forecasted fee values are received through the project allocation package.

You can calculate the investment amount using the following formula: Investment Amount = (Policy Transaction Amount) – (Initial Admin Fee) – (Initial Broker Fee).

Investments and Disinvestment Adjustments (Reversals), i.e., Buying and reversal of Selling, will be consolidated into a single value per day’s transactions. Similarly, Disinvestments and Investment Adjustments (Reversals), i.e., Selling and reversal of Buying will be consolidated into a single value per day’s transactions.

Note

Netting of Investments and Disinvestments is not allowed.

You can report the separate records for the transactions such as Investment Amounts, Disinvestment Amounts, Disinvestment Units, Switches In and Switches Out, for the same Manco Fund per day.

Following points can be used as reference:

5.26.3 Message Format

Refer to the chapter ‘Appendix B - Upload file formats – B’ of Upload Format User Manual for details on Message format.

5.27 Upload Master

This section contains the following topics:

5.27.1 Invoking Upload Master Screen

You can monitor the uploads being done through macro using ‘Upload Master’ screen. You can invoke this screen by typing ‘CVDUPLOD' in the field at the top right corner of the Application tool bar and click the adjoining arrow button.

 

You can specify the following details:

Action Code

Optional

Select the action to monitor for which the upload is being done from the drop-down list. The list displays the following values:

Function

Alphanumeric; 10 Characters; Optional

Specify the function ID to monitor the upload of the same. Alternatively, you can select from the option list. The list displays all valid function IDs maintained in the system.

On clicking ‘Monitor’ button, you can initiate the monitoring process.