5. FATCA Reports

Oracle FLEXCUBE Investor Servicing provides FATCA related reporting facility. Following are the reports that are related to FATCA:

This chapter contains the following sections:

5.1 FATCA Status Report

This section contains the following topics:

5.1.1 Generating the FATCA Status Report

You can generate FATCA US Indicia report using ‘FATCA Status Report’ screen. This report provides information on the entities where US indicia is available in their records. To invoke the screen, type ‘UTR300’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

 

5.1.2 Contents of the FATCA Status Report

You can specify the following report parameters:

Entity Type

Optional

Select the entity type from the adjoining drop-down list. The options available are:

FATCA Classification

Alphanumeric; 25 Characters; Optional

Select the FATCA classification from the adjoining option list.

Description

Display

The system defaults the description.

FATCA Status

Optional

Select the status of FATCA from the adjoining drop-down list.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

The report contains the following details:

Header Section

Field

Description

Title

Name of the report

Report as on Date

Date as on which date the report is generated

Report Generation Date

Application date

Generated by

Maker ID

 

Detail Section

Field

Description

Entity Name

First name and last name of the corresponding UH

FATCA Classifica­tion

FATCA classification of the UH

FATCA Classifica­tion Reason

FATCA classification reason of the UH

FATCA Compliant

FATCA compliance status of the UH

FATCA Status

FATCA Status of the UH

Nationality

Nationality of the corresponding UH

Dual Nationality

Dual nation of the corresponding UH

Country of Birth

Country of birth of the corresponding UH

Country of Incorpo­ration

Country of incorporation of the corresponding UH

Country of Domicile

Country of domicile of the corresponding UH

Correspondence Address

Address lines 1 to 4 with name of the country, separated by comma

Alternate Address

Alternate address lines 1 to 4 with name of the country, separated by comma

Registered/perma­nent Address

Registered permanent address lines 1 to 4 with name of the country, separated by comma

Telephone Number1

Country code and the first telephone number

Telephone Number2

Country code and the second telephone number

Cell Phone Number

Country code and the cell phone number

TAX ID

TAX ID of the corresponding UH

TAX Circle

TAX circle of the corresponding UH

TAX ID Expiry Date

Expiry date of the Tax ID of the corresponding UH

Auth Rep ID

Authorized representative if any

Auth Rep Name

First and last names of the authorized representative

Auth rep US Indicia Available

Value in the field ‘US Indicia Available’ for authorized representa­tive CIF

 

 

 

5.2 FATCA Recalcitrant Report

This section contains the following topics:

5.2.1 Generating FATCA Recalcitrant Report

You can generate FATCA Recalcitrant report using ‘FATCA Recalcitrant Report’ screen. This report provides information on total number of recalcitrant accounts in the records. To invoke the screen, type ‘UTR301’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

 

You can specify the following report parameters:

Entity Type

Optional

Specify the entity code for which the report is being generated. The option list displays following options:

Select the appropriate one.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

Once you have set the parameters, click ‘OK’ button. The system generates the report in MS Excel format.

5.2.2 Contents of the Report

The report contains the following details:

Header Section

Field

Description

Title

Name of the report

Report As On Date

Date as on which date the report is generated

Report Generation Date

Date on which the report was generated

Generated by

Maker ID

Detail Section

Field

Description

Entity Type

Individual / Corporate

Number of Recalci­trant Accounts

Total number of recalcitrant accounts

Total Holding Value

Total holding value of all the recalcitrant accounts

5.3 FATCA Chasing Date Report

This section contains the following topics:

5.3.1 Generating FATCA Chasing Date Report

You can generate FATCA Chasing Date report using ‘FATCA Chasing Date Report’ screen. This report provides information on all the entities whose chasing date has expired or will expire within a specific period mentioned in the report options. To invoke the screen, type ‘UTR302’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

 

Report As On

Date Format; Optional

Specify the date as on which the report needs to be generated. You can use the adjoining date button to select the appropriate date from the calendar.

Entity Type

Optional

Specify the entity code for which the report is being generated. The option list displays following options:

Select the appropriate one.

No of Days

Numeric; 22 Characters; Optional

You can include the entities with chasing date that are about to expire in a certain number of days. Specify the number of days here.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

Once you have set the parameters, click ‘OK’ button.

5.3.2 Contents of the Report

The report contains the following details:

Header Section

Field

Description

Title

Name of the report

Report As On Date

Date as on which date the report is generated

Entity Type

The type of entity, whether individual, corporate, entity, broker or auth rep

Entity ID

The ID of the entity

No of Days

The number of days for which the documentation is pending

Report Generation Date

The date on which the report was generated

Generated by

Maker ID

Detail Section

Field

Description

Entity Details

Entity

Unit holder

Entity ID

ID of the entity listed

Document Details

Document ID

The document ID maintained as part of Entity FATCA Classification Maintenance

Document Name

Name of the Document (the document type maintained against each entity in the document maintenance)

Expiry Date

Date of expiry of that document

5.4 FATCA Document Status Report

This section contains the following topics:

5.4.1 Generating FATCA Document Status Report

You can generate FATCA Document Status report using ‘FATCA Document Status’ screen. This report provides information on the status of the FATCA documents. To invoke the screen, type ‘UTR303’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

 

You can specify the following report parameters:

Expiry Date

Date Format; Optional

Specify the expiry date of the documents that should be covered the report. You can use the adjoining date button to select the appropriate date from the calendar.

Entity Type

Optional

Specify the entity code for which the report is being generated. The option list displays following options:

Select the appropriate one.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

Once you have set the parameters, click ‘OK’ button.

5.4.2 Contents of the Report

The report contains the following details:

Header Section

Field

Description

Title

Name of the report

Report Generation Date

Date as on which date the report is generated

Expiry Date

Expiry date provided in the search criteria

Generated by

Maker ID

Detail Section

Field

Description

Entity Details

Entity

Entity name

Entity ID

ID of the entity listed

Document Details

Document ID

The document ID maintained as part of Entity FATCA Classification Maintenance

Document Name

Name of the document (the document type that will be maintained against each entity)

Expiry Date

Date of expiry of that document

For a given entity, you can find the details of multiple documents in the report.

5.5 Authorized Representative Expiry Report

This section contains the following topics:

5.5.1 Generating the Authorized Representative Expiry Report

You can generate Authorized Representative Expiry Report using ‘Auth Rep Expiry Report’ screen. This report provides information on the status of the authorized representatives that have expired or are going to expire on the date of report. To invoke the screen, type ‘UTR304’ in the field at the top right corner of the application toolbar and click the adjoining arrow button.

 

You can specify the following report parameters:

Expiry Date

Date Format; Optional

Specify the date as on which you need to generate the report. You can use the adjoining date button to select the appropriate date from the calendar.

No of Days

Numeric; 4 Characters; Optional

You can include the authorized representatives that are about to expire in a certain number of days. Specify the number of days here.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

Once you have set the parameters, click ‘OK’ button.

5.5.2 Contents of the Report

The report contains the following details:

Header Section

Field

Description

Title

Name of the report

Report Generation Date

Date as on which date the report is generated

Generated by

Maker ID

Detail Section

Field

Description

Entity

Entity

Entity name

Entity ID

Authorized representative ID

Document Details

Expiry Date

Date of expiry of the authorized representative

Linked UH Details

UH ID of the linked unit holder

Linked UH ID

Name of the linked unit holder

No of Days

The number of days left for expiry

5.6 Unit Holder Balance Holding

This section contains the following topic:

5.6.1 Generating Unit Holder Balance Handling for US Source Accounts Re­port

You can generate Unit Holder Balance Handling for US source accounts Report using ‘Unit Holder Balance Handling for US source accounts Report’ screen. You can invoke this screen by typing ‘UTR00401’ 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:

Date

Date Format; Optional

Select the date to generate unit holder balance handling report from the adjoining calendar.

Investor Type

Optional

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

FATCA Classification

Alphanumeric; 1000 Characters; Optional

Specify the FATCA classification.

FATCA Fund ID

Optional

Select the FATCA fund ID status from the drop-down list. The list displays the following values:

FATCA Status

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

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

After making your specifications, click ‘Ok’ button. The report details are displayed.

5.7 FATCA Di-Minimus Report

This section contains the following topic:

5.7.1 Generating FATCA Di-Minimus Report

You can generate FATCA Di-minimus report using ‘FATCA Di-Minimus Report’ screen. You can invoke this screen by typing ‘UTR00402’ 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:

Date

Date Format; Optional

Select the date to generate FATCA Di-Minimus Report from the adjoining calendar.

Investor Type

Optional

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

FATCA Limit Crossed

Optional

Select if FATCA limit is crossed or not from the drop-down list. The list displays the following values:

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

5.8 FATCA With Holding Report

This section contains the following topic:

5.8.1 Generating FATCA With Holding Report

You can generate FATCA With Holding report using ‘FATCA With Holding Report’ screen. You can invoke this screen by typing ‘UTR00403’ 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:

From Date and To Date

Date Format; Optional

Select the dates that specify the period between which you want to view FATCA holding details.

Entity Type

Optional

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

Entity Category

Optional

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

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

5.9 FATCA Sponsor Report

This section contains the following topic:

5.9.1 Generating FATCA Sponsor Report

You can generate FATCA sponsor report using ‘FATCA Sponsor Report’ screen. You can invoke this screen by typing ‘UTR00408’ 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:

Sponsoring Entity Type

Alphanumeric; 1 Character; Optional

Specify the sponsoring entity type. Alternatively, you can select sponsoring entity type from the option list. The list displays all valid sponsoring entity type.

Sponsoring Entity ID

Alphanumeric; 12 Characters; Optional

Specify the sponsoring entity ID. Alternatively, you can select sponsoring entity ID from the option list. The list displays all valid sponsoring entity ID.

Format

Optional

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

Output

Optional

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

Print At

Optional

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

Printer

Alphanumeric; 15 Characters; Optional

Specify the printer details from adjoining option list.

After making your specifications, click ‘Ok’ button.